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Epidemiologic Studies

Hanford Site

HANFORD SITE:
A GUIDE TO RECORD SERIES SUPPORTING EPIDEMIOLGIC STUDIES CONDUCTED FOR THE DEPARTMENT OF ENERGY

INTRODUCTION

Overview

The primary purpose of this guide is to describe each series of records which pertains to studies of worker health and mortality funded by the U.S. Department of Energy (DOE) at the Hanford site. Additionally, the guide provides information on the location and classification of the records and how they may be accessed. History Associates Incorporated (HAI) prepared this guide as part of its work as the support services contractor for DOE's Epidemiologic Records Inventory Project.

This introduction briefly describes the Epidemiologic Records Inventory Project, HAI's role in the project, the history of the DOE and the Hanford site, and Hanford's organizational structure. It provides information on the methodology used to inventory and describe pertinent records stored in various onsite offices, in Hanford's Records Holding Area (RHA), and at the Seattle Federal Records Center (SFRC). Other topics include the methodology used to produce the guide, the arrangement of the record series descriptions, and information on accessing records repositories.

Epidemiologic Records Inventory Project

The Epidemiologic Records Inventory Project is indicative of DOE Secretary Hazel O'Leary's efforts to support openness initiatives in the areas of environment, safety, and health. In view of the importance of various administrative, organizational, and operational records to epidemiologic and health-related studies, a moratorium on the destruction of such records has been in effect since 1989.

In May 1992, the DOE Office of Epidemiology and Health Surveillance (EH-42), the office responsible for the coordination of all health-related activities throughout the DOE complex, directed each DOE and DOE contractor site to prepare an inventory of all records useful for worker or community health-related studies. EH-42 prepared and furnished each site with guidelines that defined epidemiologic records, provided instructions for describing record series, outlined the sites' role in inventorying epidemiologic records, and discussed the relationship of the epidemiologic inventory to DOE's comprehensive records inventory. The epidemiologic inventories should be completed in 1995. However, some of the information contained in the site records inventories, such as the location of active (still in use) records or the volume of the records, may change over time. The continued usefulness of the inventories and this guide depends on their systematic update.

Role of HAI

In August of 1993, DOE selected HAI as its support services contractor for the Epidemiologic Records Inventory Project. HAI, a professional records management, archives, and historical research services firm incorporated in 1981, has provided records management, historical research, and technical support for a number of DOE projects. HAI's role in the Epidemiologic Records Inventory Project includes verifying the accuracy, comprehensiveness, and quality of existing inventories, providing guidance to site records management teams, and, in some cases, performing additional records inventories.

BACKGROUND

History of the DOE

The DOE is responsible for developing and administering national energy programs and policies. Authorized by Congress in 1977, the history of the department's predecessor agencies and functions dates back to 1942, with the establishment of the Manhattan Engineer District (MED) of the U.S. Army Corps of Engineers. The MED spearheaded the development and manufacture of the first atomic weapons during World War II. In 1946, Congress passed the Atomic Energy Act, which reorganized the MED into the Atomic Energy Commission (AEC). Although the primary purpose of the AEC was to develop and manage the nation's expanding nuclear weapons production complex, the organization also reflected the nation's interest in developing broader commercial applications of atomic energy.(1)

For nearly three decades, the AEC directed the nation's nuclear program, from the development of nuclear weapons to the production of nuclear power. In 1974, Congress passed the Energy Reorganization Act, which split the AEC into the Energy Research and Development Administration (ERDA) and the Nuclear Regulatory Commission (NRC). ERDA assumed responsibility for nuclear research and development and oversight of the nuclear weapons program, while the NRC licensed and regulated the industrial and commercial use of radionuclides and nuclear power. ERDA also took charge of the energy research and development programs of other federal agencies, including the Bureau of Mines, National Science Foundation, and the Interior Department's Office of Coal Research. The creation of ERDA represented the Nixon Administration's interest in establishing a centrally directed national energy policy. Events such as the 1973 Arab oil embargo and the 1973-1974 price increases instituted by OPEC [Organization of Petroleum Exporting Countries] demonstrated the need to identify immediate energy needs and priorities and establish long range goals as a way to lessen the nation's dependency on foreign sources of energy.(2)

A shortage of natural gas during the winter of 1976-1977 further exposed the nation's vulnerability as an energy consumer. In response to the crisis, the Carter Administration urged Congress to reorganize ERDA and establish a cabinet-level organization to direct national energy policy. In August 1977, President Carter signed legislation creating the DOE. During the late 1980s, as Cold War tensions eased, the DOE restructured its priorities around nuclear waste management, environmental restoration, conservation, and the development of new energy sources.(3)

Site History

Hanford was selected in 1942 to be the site for the construction of facilities used to produce plutonium for the Manhattan Project. Originally called the Hanford Engineer Works, the site has also been known as the Hanford Reservation and the Hanford Plant. Located on approximately 560 square miles of land adjacent to the Columbia River in southeastern Washington state, Hanford was chosen as a production site because of its geographic remoteness and abundant supply of water and electrical power.

After World War II, Hanford continued to manufacture plutonium as well as other nuclear materials and also participated in reactor research and development. At peak production, nine reactors were in operation at the plant. In 1989, the DOE, the Washington State Department of Ecology, and the Environmental Protection Agency (EPA) signed the Hanford Federal Facility Assessment and Consent Order (also known as the Hanford Tri-Party Agreement), which outlined a 30-year, multi-billion dollar cleanup plan to bring Hanford into compliance with state and federal environmental laws. The following year, DOE transferred responsibility for the Hanford site from the Office of Defense Programs (DP) to the Office of Environmental Restoration and Waste Management (EM). Since that time, the site has focused on cleanup, environmental restoration, and waste management.

Organization

In 1943, the Manhattan Engineer District hired the Du Pont Chemical Company as the contractor responsible for the design, construction, and operation of Hanford. Du Pont was succeeded as the primary contractor in 1946 by the General Electric Company. In 1953, J.A. Jones Construction Company became the site's construction and engineering contractor.

In 1965, the AEC decided to divide the operations of Hanford by function among several different contractors. Douglas Nuclear, Inc. (1965-1973), and United Nuclear Corporation Nuclear Industries (1973-1987) were successive contractors in charge of reactor operations. Atlantic Richfield Hanford Company (1967-1977) and Rockwell Hanford Company (1977-1987) were chosen as consecutive reprocessing operations contractors. In 1987, the DOE selected Westinghouse Hanford Company (WHC) and Boeing Computer Services, Richland, Inc. (BCS), as the operations and engineering contractors and Kaiser Engineers Hanford (KEH) as the architectural and engineering contractor. Bechtel Hanford, Inc. (BHI), was awarded the environmental restoration contract in 1994.

Since 1965, Batelle Memorial Institute has operated the Pacific Northwest Laboratory (PNL), Hanford's research and development center. In the same year, the Hanford Environmental Health Foundation (HEHF) began providing comprehensive occupational health services to site personnel. PNL and HEHF are the organizational units which are most directly involved with conducting DOE-funded epidemiologic research at Hanford.

Pacific Northwest Laboratory (PNL)

PNL's primary mission is to conduct scientific research in the areas of energy, national security, and the environment. In particular, PNL is concerned with waste management, environmental restoration, energy conservation, and global climate changes. PNL conducts more than 1,400 research projects annually for DOE, other government agencies, and private industry.

Hanford Environmental Health Foundation (HEHF)

Services provided by HEHF include primary health care for DOE and DOE contractor employees. In addition, HEHF is concerned with monitoring employee health, assessing exposure risk, and identifying potential work-related health hazards.

Occupational Epidemiologic Studies

Epidemiologic studies are conducted to explore the health characteristics shared by members of a population group. DOE-funded epidemiologic studies at Hanford generally focus on the relationship between health and occupational factors, particularly exposure to radioactive and chemical agents. Epidemiologists involved in these studies tend to refine the results of their research by recognizing the influence of confounding factors, including tobacco use and personal health history.

Epidemiologists utilize a variety of records to ascertain whether a relationship exists between employees' work environment and their health and mortality. The most frequently used occupational records include personnel, medical, and exposure files. Health researchers also utilize several different resources to determine the vital status of former employees. Until the mid 1980s, the Social Security Administration (SSA) provided important data to researchers, including information concerning whether an individual was employed, retired, or deceased. SSA data was supplemented by information from death certificates and motor vehicles records. Currently, mortality data are usually obtained from the National Death Index (NDI), various state departments of motor vehicles, and a commercial service called Equifax Government and Special Services, Inc.

Brief summaries of the epidemiologic studies represented by records series in this guide are provided below:

Breast Cancer Incidence Study

HEHF implemented the Breast Cancer Incidence Study in response to a preliminary examination of data from the Epidemiologic Surveillance System (see below). Findings suggested that a higher breast cancer rate existed among female employees at Hanford who worked in the nuclear trades (e.g., reactor operators, radiation monitors, fuels technicians, waste workers, and decontamination and decommissioning workers) than among those who did not. The study utilized data from 1984-1989 relating to nineteen Hanford employees diagnosed with breast cancer and to a control group consisting of 71 women either employed at Hanford or from the general population. HEHF researchers also considered smoking habits, employment histories, childbirth patterns, and other lifestyle characteristics of the women under analysis. The study concluded that there was no evidence that the discerned excess in number of cancer diagnoses were linked to radiation exposure, but it recommended continued studies of women employees. An article which describes the methods of data collection and analysis used for the Breast Cancer Incidence Study was published in a 1993 issue of Health Physics.(5)

Epidemiologic Surveillance System (ESS)

HEHF supports the DOE-Headquarters Epidemiologic Surveillance System (ESS) by collecting relevant data elements for the Hanford site. The purpose of the ESS is to provide the DOE with a timely means of identifying new or unexpected health hazards which may occur as a result of occupational exposures at any of its nuclear facilities. Formerly known as the Health Surveillance System (HSS), the ESS maintains data concerning employee illnesses and injuries involving seven or more consecutive days of absence; incidences of disabilities; new diagnoses of malignancies; and causes of death and disabilities among active workers. These events are identified through a daily review of HEHF medical records and personnel data obtained from other contractors for workers at the Hanford Site.

DOE Health and Mortality Studies

AEC Feasibility Study

The early MED worker health studies set the stage for health monitoring practices and data collection by the AEC and its successor organizations. In 1964, the AEC initiated a feasibility study to evaluate the use of plant personnel and other records as the basis for long-term studies of health and mortality among its work force. The AEC Feasibility Study focused on uranium workers at Mallinckrodt's Chemical Works plants in St. Louis and Weldon Springs, Missouri, and the Feed Materials Production Center (FMPC) at Fernald, Ohio. The University of Colorado conducted the study and concluded in a series of internal reports that the records provided a suitable foundation for epidemiologic research.

AEC Pilot Study

In 1965, the AEC mounted a five-year pilot study that extended its inquiry to the feasibility of using plant records to investigate the health and mortality of workers employed at contractor and former MED facilities (including Mallinckrodt, Fernald, Hanford, Oak Ridge, Harshaw Chemical, and the University of Chicago's Metallurgical Laboratory) and determine if any adverse health effects were related to their occupations. The study also questioned the suitability of existing records for use in studies designed to estimate the upper bound of the cancer risk associated with exposure to low-level radiation. The AEC selected Thomas F. Mancuso, M.D., of the University of Pittsburgh as the project director of the AEC Pilot Study. Consequently, the project became known informally as the Mancuso Study.

For the study, Mancuso located and identified original records at the Hanford and Oak Ridge sites and at offsite federal and other record repositories. In addition, through agreements with the SSA and state vital records offices, Mancuso obtained demographic information necessary to determine the vital status of the workers, that is, whether workers were still living at the time of the survey. Death certificates served as the primary source for this determination. As the project progressed, Mancuso found that the data did not meet his initial expectations but required further editing, verification, and other processing to assure the comprehensiveness and epidemiologic validity of his data analyses. During this period, Mancuso also expanded the data set to include AEC facilities at Los Alamos, Rocky Flats, and Mound.

AEC Health and Mortality Study

In 1970, Mancuso, under a contract with the AEC, initiated the AEC Health and Mortality Study. With his colleague, Dr. Barkev S. Sanders, a former statistician and actuary from the SSA and the Public Health Service, Mancuso analyzed the data collected in the pilot study in terms of worker longevity. Beginning in 1971, Mancuso and his colleagues routinely published the results of their analyses in annual progress reports to the AEC, although they did not submit their findings for review and publication in professional or medical journals.

Dr. Samuel Milham of the Washington State Department of Social and Health Services reported increased mortality within the Hanford work force from several cancer types in 1974. His findings were part of a broader examination of occupational mortality throughout Washington state from 1950 to 1971. Milham's study encouraged Mancuso to conduct his own analysis of mortality at Hanford, the results of which were published in 1977. Mancuso's results, in which he purported to show increased risks for several types of cancer with increased radiation doses, received substantial criticism. Other epidemiologists and biostatisticians reanalyzed Mancuso's data set and repudiated many of his conclusions, with the exception of his findings concerning the elevated risk of multiple myeloma in individuals exposed to low-level radiation.

In 1975, ERDA decided not to renew Mancuso's status as the prime contractor for the Health and Mortality Study. At the beginning of fiscal year 1978, ERDA transferred specific aspects of the HMS to Oak Ridge Associated Universities (ORAU), Los Alamos National Laboratory (LANL), and HEHF and PNL at Hanford. ORAU epidemiologists, with the support of the University of North Carolina School of Public Health, were placed in charge of data analyses for uranium workers at Oak Ridge, Paducah, Portsmouth, Fernald, Mallinckrodt, Niagara Frontier sites, and, later, the Savannah River Plant. In addition, ORAU was assigned responsibility for the management of the DOE/SSA interface for the three sites and for related data collection, especially the retrieval, processing, and storage of death certificates. LANL assumed responsibility for DOE's National Plutonium Workers Study and for other site studies of workers routinely monitored for exposure to plutonium. HEHF/PNL epidemiologists continued to collect, process, and analyze data associated with the health and mortality of workers at the Hanford site.

DOE authorized ORAU in 1979 to expand the scope of the HMS to include all active and inactive workers throughout the entire Energy complex. Under this phase of the HMS, approximately 600,000 workers from 76 sites were eligible for eventual inclusion in the study. Of this population, 360,000 present and former workers are the basis for ongoing studies currently conducted by ORAU, LANL, and Hanford. Since the expansion of the HMS, ORAU has conducted the Five Rem Study, which examined workers who were exposed to five or more rems of radiation in the course of a single employment year. It also launched the Oak Ridge Facility Comparison (ORFCOM) Project, which analyzed the relationship of occupational, lifestyle, and health variables among specific occupational cohorts. (6)

In 1990, a Memorandum of Understanding (MOU) between DOE and the Department of Health and Human Services (HHS) transferred responsibility for the management and conduct of energy-related epidemiologic research to HHS's Centers for Disease Control and Prevention (CDC). Under the terms of this MOU, the National Institute for Occupational Safety and Health (NIOSH), a part of CDC, is responsible for conducting the major worker health studies for DOE sites. That same year, the collection and analysis of information that would be necessary to update the Hanford study ceased. Copies of electronic files of data supporting the Hanford epidemiologic studies are available on DOE's Comprehensive Epidemiologic Data Resource (CEDR), a public-use database. (7)

Lung Cancer, Ionizing Radiation, and Tobacco Smoking Among Males at Hanford Case-Cohort Study


The Lung Cancer, Ionizing Radiation, and Tobacco Smoking Case-Cohort Study was a cooperative project conducted by HEHF and PNL. The purpose of this study was to determine the relationship between lung-cancer risk and occupational radiation exposure among male employees, with an appropriate adjustment for tobacco use. Researchers involved in the study examined 86 lung cancer deaths between 1965-1980 and a random sample of 445 employees. Tobacco-use data were obtained from medical records collected for the duration of each worker's employment at Hanford. The study concluded that tobacco use was not strongly related to levels of radiation exposure, and that the adjustment for tobacco use did not greatly affect analyses concerning the relationship between an employee's lung-cancer risk and cumulative dose equivalent. Researchers determined that, with or without the adjustment for tobacco use, the estimated lung cancer risks per unit of cumulative dose equivalent were negative. The study's findings were published in a 1990 edition of Health Physics.(8)

Goodtime, Trauma, and Timeout Studies

Between 1986 and 1989, HEHF conducted several small descriptive studies. The Goodtime Study evaluated the relationship between aspects of employee lifestyles and the occurrence and types of injuries among workers. Although data collection was completed, data analysis was not performed because the principal investigator left HEHF. A database remains in existence at HEHF. The purpose of the Trauma Study was similar to that of the Goodtime Study. Although there is a database labeled "Trauma" at HEHF, it appears to contain only injury events that were collected for the HSS. The Timeout Study, an assessment of the length of absences from work, was done to determine the most appropriate event criteria to use for the HSS. The results of this study were published in the January 1992 Journal of Occupational Medicine. (9) Hard copy records exist for all three projects and are in long-term storage. Data for these studies were abstracted from pre-existing records.

ACCESS

Overview

Researchers should be aware that records are often housed according to whether they are active or inactive. Active records are necessary for conducting the current business of an office and, as such, must be maintained in office space. Inactive records are those which are no longer needed on a frequent basis. Inactive records may be housed in temporary storage facilities until they are either destroyed or sent to the National Archives and Records Administration (NARA) for permanent retention.

NARA is responsible for overseeing the management of records by federal agencies and for storing federal records. Headquartered in Washington, DC, NARA operates regional branch offices. NARA and its branches permanently store valuable archival records and also assist patrons in conducting research in historical records.

In addition, NARA's Office of Federal Records Centers operates regional records centers. Federal agencies have the option of storing their inactive records at one or more of the federal records centers. The records stored in these facilities, however, remain the property of the agency. As such, they may be recalled by the custodial agency at any time, and may or may not be returned to the center. In addition, permission to review records stored in the federal records center must be granted by the custodial agency.

Records Locations

Hanford's inactive records are housed in two main locations: the Records Holding Area (RHA), located onsite in the 712 Building, and the Seattle Federal Records Center (SFRC). To gain access to records stored at these locations, offsite researchers must request permission from the DOE site Records Officer and the contractor records management organization having custodial as well as disposition authority for the records. Access requests, from other than the retiring organization, are reviewed and approved on a case-by-case basis to insure records are protected from physical damage and to reduce the risk of inappropriate disclosure of Privacy Act or other sensitive information.

Permanent records, when transferred to NARA's Office of the National Archives, become the property of NARA. Researchers are not required to have the originating agency's approval to review unclassified records held by NARA. Following a review of the Guide to Records in the National Archives-Pacific Northwest Region, HAI determined that, as of 1989, NARA did not have records relating to Hanford in its custody. (10)

Records Retention and Disposition Schedules

Records retention and disposition schedules are important resources for understanding the life cycle of records. Following an initial inventory and appraisal of an office's records, records management staff create schedules, the primary function of which is to provide the disposition authority that governs the length of time records are to be maintained. NARA reviews and approves the records retention and disposition schedules of all federal agencies.

Record scheduling at all DOE sites are governed by two main sets of guidelines: the General Records Schedules (GRS) and the DOE Records Schedules (DOERS). (11) The GRS provides retention periods for records that are common to all federal offices, such as those pertaining to procurement, civilian personnel, printing, communications, and other routine functions. The GRS does not address the disposition of DOE program records, which are unique to that agency. These records are regulated by the DOERS. The two records schedules should be considered together to gain an understanding of the universe of DOE recordkeeping requirements. For further information, see NARA's Disposition of Federal Records and DOE Order 1324.2A. (12)

RIDS Database

The DOE and Hanford's contractor records management departments have completed Records Inventory and Disposition Schedules (RIDS) for active records. Information from Hanford's RIDS is maintained in a database which is shared by DOE and its contractors. Administered by BCS, the system provides information concerning record types, volumes, custodians, media, locations, retention periods, and disposal authorities. Offsite access to information in the RIDS database is available upon request through the DOE site Records Officer.

RHA-MIS Database

The RHA-Management Information System (RHA-MIS) is used to track boxes of inactive records which have been transferred for storage either to the onsite RHA or to the SFRC. Established in the mid-1970s and also maintained by BCS, the database provides multiple fields of data, including a general description, inclusive dates, retention periods, and classification status of transferred records. The database also indicates which records have been destroyed. Offsite access to information in the RHA-MIS database is also available upon request through the DOE site Records Officer.

NARA Standard Form 135s

The SFRC can provide researchers with access to Records Transmittals and Receipts (Standard Form 135, hereafter referred to as NARA Standard Form 135s), which are valuable research tools. NARA Standard Form 135s are storage receipts which accompany records transferred from the originating agency to the SFRC. They provide a brief box list, disposition authority, accession number, and volume for each accession. (13)S Researchers may examine the unclassified NARA Standard Form 135s without permission of the agency that deposited the records. Examples of NARA Standard Form 135s are given in Appendix A.

METHODOLOGY

HAI traveled to the Hanford site for one week during November 1994 to inventory records pertaining to DOE-funded epidemiologic studies. While at Hanford, HAI worked cooperatively with site personnel and representatives of NIOSH and ORAU (a contractor of NIOSH). HAI located pertinent records utilizing records inventories and schedules prepared by site records management personnel. HAI inventoried 81 cubic feet of PNL, HEHF, and other contractor inactive records stored in the RHA and SFRC; 63 cubic feet of active records retained in offices of PNL and HEHF; and electronic files maintained by PNL and HEHF. HAI also conducted nine interviews with DOE and DOE contractor personnel concerning the records. Once the site visit was completed, HAI staff analyzed and compiled the inventory forms and wrote the records series descriptions. In addition, HAI reviewed record inventories and informational literature from repositories in Pittsburgh, Pennsylvania; Washington state; California; and the Washington, DC, area. HAI determined that the records in these repositories are, for the most part, of tangential interest to the focus of this guide.

Data Elements

In accordance with the guidelines in Information Required by the Department of Energy for Epidemiologic and Health Studies, DOE developed a list of 123 (later revised to 86) data elements to assign to record series descriptions. In general, the data elements consist of terms pertaining to contractor organizations, individual employees, industrial hygiene activities, and facility characteristics that help describe the major information contained in a record series. The HAI team, as part of its inventory and description of records, determined which data elements were pertinent to each record series for both active and inactive records. A list of the data elements is included as part of this guide in Appendix B. Please note that the list is arranged topically, not numerically.

SCOPE

This guide reflects the status of records as of November 1994, when they were reviewed and inventoried by HAI. It contains series descriptions for records created mostly by the Operations Analysis Department of HEHF and the Epidemiology and Biometry Group of PNL, the organizational units most directly involved with conducting DOE-funded studies. For the most part, HAI targeted records which document data collection, integration, and analysis rather than raw data records. HAI described only those electronic files which were the most complete. Researchers also should be aware that HAI did not attempt to verify the comprehensiveness of the site record inventories and schedules used to identify and locate relevant records.

Because of time constraints and the large volume of files, HAI did not inventory electronic files which were created for the Three-Mile Island (TMI) Fund, International Agency for Research on Cancer (IARC), and the Comprehensive Epidemiologic Data Resource (CEDR). These are data files in which all employee identifiers have been removed. The same data, with employee identifiers, are found in electronic record series described in this guide.

HAI had originally intended to inventory and describe records relating to two separate DOE-funded studies of congenital malformations among children born between 1968 and 1980. The first study focused on children of Hanford workers and the second was devoted to children born in Benton and Franklin counties in southeastern Washington. Unfortunately, HAI was unable to review these records because they were being used by a researcher offsite. The conclusions of both of the congenital malformations studies were published in a single issue of the Journal of Epidemiology.(14)

HAI has included, as Appendix C, additional sources of information which may be useful to researchers.

Administrative Contacts

For specific information or permission to access Hanford's records, please contact the following:
U.S. Department of Energy
Site Records Officer - Site Infrastructure Division
Richland Operations Office
P.O. Box 550, A7-27
Richland, WA 99352
Telephone Number: (509) 376-4466

U.S. Department of Energy
Records Management
ATTN: HR-833
Washington, DC 20585
Telephone Number: (301) 903-4310

Seattle Federal Records Center
6125 Sand Point Way NE.
Seattle, WA 98115
Telephone number: (206) 526-6575

National Archives and Records Administration - Pacific Northwest
6125 Sand Point Way NE.
Seattle, WA 98115
Telephone Number: (206) 526-4344

National Archives and Records Administration
7th and Pennsylvania Avenue, N.W.
Washington, DC 20408
Telephone Number: (202) 501-5400

ARRANGEMENT

To facilitate research, HAI grouped the record series descriptions into five sections. A brief explanation of each section is provided below:

I. Administrative and General

This section relates to the administrative and reporting functions of HEHF and PNL. Record series generally consist of departmental correspondence, periodic progress reports, committee meeting records, study reports, annual reports, planning records, and project working files.

II. Database Management

This section documents efforts, mostly by PNL, to develop database programs, edit data discrepancies, and, in general, maintain quality control of those databases. Record series mostly consist of programming code books, handwritten notes, computer-generated reports with handwritten edits, instruction manuals, and general correspondence.

III. Data Collection

Record series in this section document the compilation of personal data used in the HMS and other studies. Data include family health statistics, social security numbers and other personal identifiers, radiation exposure rates, mortality rates, alcohol and tobacco usage profiles, and injury and accident frequencies. Record series generally consist of computer-generated reports, health and occupational histories, handwritten logs, questionnaires, personnel records, medical records, injury and accident reports, worker absence reports, dosimetry records, data abstract forms, death certificates, and organizational charts.

IV. Data Analysis

This section consists of series of records without personal identifiers which have been extrapolated from raw data collected for the HMS and other studies. The data have been arranged according to various permutations to facilitate data integration and analysis. It includes mortality rates, radiation dosimetry readings, labor force characteristics, and worker disease profiles. Most of the data pertain to Hanford workers, although some information about Oak Ridge and Rocky Flats employees is also included. Records largely consist of computer-generated reports, tables, and graphs.

V. Electronic Record Series

This section pertains to records in electronic format. Electronic records at Hanford relating to the HMS are housed primarily in either HEHF's Mortality Study Database (MORT) or PNL's Hanford Mortality Study Database. They are also backed up and stored on optical disks and magnetic tapes. Both HEHF and PNL have written guides which describe the capabilities, structure, and purpose of their databases. (15) Due to time, cost, and equipment constraints, HAI was unable to read files maintained on computer disks and magnetic tapes that were created on obsolete computer systems. They have been described, in general terms, within the textual record series.

HAI has arranged the electronic records described in this section into the following subcategories: Master Files, Personal Information Files, Work History Files, Occupational Radiation Exposure Files, and Vital Status Files. Master Files contain all data found in the other files. The Personal Information Files pertain primarily to employee name changes, social security numbers, and family histories. In addition to personal data, the Work History files contain dates, titles, and codes for jobs held; work locations; and organization codes. Occupational Radiation Exposure Files consist of employee external and internal exposure data, most of which were extracted from dosimetry and bioassay records. Vital Status Files contain dates and causes of death for current and former Hanford employees. In cases where records may fit into more than one subcategory, HAI placed them in the most appropriate file subcategory.

Under these subcategories, the records have further been divided by four file types: analysis, raw data, supporting, or working files. Analysis files contain the data on which study results were based; raw data files contain data which have not been manipulated by researchers; supporting files are used to define or explain variables contained in other files; working or intermediate files contain data which have been manipulated and may sometimes be a combination of several raw data files. HAI placed the records into the file type which it determined to be the most appropriate. Individual electronic records have been further organized under these four file types alphabetically by file name.

To facilitate research, HAI has also listed record series titles into general categories by record type. Record types include project case files, source records, project management and working records, input records, analysis files, raw data files, and computer-generated reports. See Appendix D for this list.

DATA ITEMS IN RECORD SERIES DESCRIPTIONS

Due to the differences between paper and electronic records, HAI collected different data for each of these record formats. Below are listed the data items, with corresponding explanations, included in paper record series descriptions. A similar list for electronic file descriptions is also provided.

Record Series Descriptions

Record series descriptions contain sixteen major data items. These include series title, inclusive dates, location, active or inactive status, access restrictions, accession or other identification number, volume, and container numbers. Also provided is information concerning the type of media, suitability of the records for scanning, physical condition of the records, availability of finding aids, arrangement of the records, the originating office, duplication, and disposition authority.
Each data item is listed alphabetically and further explained below.

Access Restrictions

Access restrictions apply to some of the record series found within this guide. In particular, medical and other employee files which contain personal information are covered under a DOE Privacy Act System of Records and may not be available for public inspection. HAI has indicated which records series may fall under the Privacy Act of 1974.(16)

Access to Hanford's records is also determined by the government security classification system. Researchers should note that all of the records described in this guide are unclassified. However, certain procedures must be followed to gain access to Hanford's unclassified records. The DOE onsite records management department has issued an access procedure which outlines steps to be followed by health researchers interested in unclassified records as well as in classified, Privacy Act, and proprietary records. See Appendix E for a copy of this procedure. Researchers should also be aware that some unclassified records are stored in buildings or areas which cannot be entered without proper security clearances.

For additional information concerning the security classification system and other restrictions that govern access, researchers may consult DOE's Understanding Classification (17) and Security Education and Awareness Overview Handbook(18).

Accession/Other Identification Number

Most of the entries for the record series found in this guide were developed from records contained in one or more record collections. In addition, HAI sought to link active and inactive records that belong to the same series. All accession or other identifying numbers for the records described in the series are found under this heading. The identifying numbers are listed in sequential order: e.g., 1) 35006-35008; 2) 434-83-0301.

Container Numbers and Disposition Authorities that correspond to these accession/identification numbers also are listed sequentially and are inclusive. For example, accession number 1) 35006-35008 corresponds to container number 1) 350006-35008; accession number 2) 434-83-0301 corresponds to container number 2) 35115. In the case of disposition authority, accession number 1) 35006-35008 corresponds to disposition authority 1) DOE (1980) C19.5; accession number 2) 434-83-0301 corresponds to disposition authority 2) DOE (1988) 1.3.

Arrangement

HAI has described the arrangement of the record series, for example, chronological, alphabetical, or subject, when possible.

Condition

HAI judged the physical condition of record series, categorizing them as either good, fair, or poor. Records are rated poor when they contain aged and faded typewritten originals or photocopies, illegible and faded handwritten copies, or badly torn or damaged documents. Examples include deteriorating microfilm, water-damaged photographs, or fading 30-year-old photocopies. Records are rated fair when documents are older but are not too damaged or faded to be read or viewed clearly. Examples include 15-year-old photocopies, legible handwritten journals, or slightly torn but readable onionskin copies. Records are rated good when they contain current photocopies, well-kept originals on quality paper, and undamaged, clear, and dark print copies of documents. Examples include original letters on bond paper, 5-year-old photocopies, or well-preserved microfilm and photographs.

Container Number

Most inactive records are stored in standard containers that hold one cubic foot of documents. HAI recorded the container number as part of the record description. Other types of record containers, such as binders, file cabinets, and book shelves are described as completely as possible.

Data Elements

The data elements that HAI considered pertinent to the record series are listed in numerical order. The numbers correspond to the revised data elements list.

Disposition Authority

Disposition authorities cited refer to the GRS and DOERS. The schedule number and item number are provided whenever possible (e.g., DOE (1988) 7.9b, refers to DOE Order 1324.2A, schedule 7, item 9b). Before a record series is assigned a disposition authority under the DOERS, NARA assigns an interim schedule number which begins with the internal classification "N1." Researchers should note that disposition authorities beginning with "N1" are pending approval by NARA.

Duplication

Some records may exist elsewhere in a duplicate form, such as on magnetic tape or a database file. If the exact whereabouts of the duplication is known, HAI has provided this information. For all other cases, "unknown" is used.

Finding Aids

HAI has provided information as to whether an index or other reference guide, called a "finding aid," exists for each record series. For active records, the RIDS database is provided as the principal finding aid; for inactive records, the RHA-MIS database and NARA Standard Form 135s are listed as the principal finding aids.
Location Information on the physical location of the record series and an indication of its status, active or inactive, are found here. HAI has listed records first by building or originating office abbreviation (RHA, HEHF, PNL, or SFRC), then by area number (when applicable), then by building number, and then by room number.

Medium

The physical nature of the records, such as paper, microfiche, or computer disk, is noted.

Originating Office

HAI has provided the originating office of the organization (e.g., HEHF or PNL) under this heading. Researchers should be aware that the office or organization which created the records may not be the entity that controls access to them. Access to the records is controlled by the office in whose custody the records reside.

Scanning Suitability

HAI has indicated when records are suitable or not suitable for optical scanning. In instances where records are clearly not suitable, HAI has provided descriptions of materials that may prove problematic for some scanners. Depending on the state-of-the-art in optical scanning technology, this statement may not be accurate for all scanners in the future. See Appendix F for guidelines used by HAI to determine scanning suitability.

Series Description

The series description provides, in a narrative format, essential information concerning the content of the records, the reasons for their creation, and the manner in which they were used. In some cases, the series descriptions contain cross references to related files and records described elsewhere in the guide.

Title and Inclusive Dates

Each record series description begins with a title that reflects the broad content of the record series and the dates that the records span. The record series inventoried were often given descriptive titles by their creators and, in these instances, HAI has used this title. If records creators did not provide descriptive and accurate titles, HAI assigned them.

Volume

The approximate volume of the record series is provided in cubic feet. Records stored at the RHA and SFRC are usually kept in standard one-cubic foot archival boxes which measure 15 inches (length) by 12 inches (width) by 10.5 inches (height). For records housed in file cabinets, on shelves, or containers other than standard one-cubic foot archival boxes, 12 inches of records roughly equals one cubic foot. For example, a standard file cabinet drawer measures approximately two cubic feet.

Electronic Record Series Descriptions

Descriptions for electronic records are found in Section V of the guide. The electronic record series descriptions contain eleven major data items, some of which are the same as, or similar to, those in the record series descriptions. These are file name, location, active or inactive status, access restrictions, name of the originating office, and disposition authority. Also included are data items pertaining to characteristics unique to the electronic record format, including file type, directory name, hardware/software used to support the file, and name of office/program supported.
Each data item is listed alphabetically and further explained below.

Access Restrictions

See the information provided under this heading for record series descriptions.

Data Elements

The data elements that HAI considered pertinent to the record series are listed in numerical order. The numbers correspond to the data elements list.

Directory Name

This is the directory under which the file may be found.

Disposition Authority

Disposition authorities cited refer to the NARA's GRS and the DOERS. The schedule number and item number are provided whenever possible (e.g., DOE (1988) 7.9b, refers to DOE Order 1324.2A, schedule 7, item 9b).

File Description

The file description provides, in a narrative format, essential information concerning the informational content of the electronic files. Other data include the number of records and characters in the files, frequency of updates, and purpose. In some cases, the file descriptions contain cross references to related records described elsewhere in the guide.

File Name

This is the name given to the file at the time it was created. HAI has also indicated a corresponding file name as it appears in Description of the Process Used to Create 1992 Hanford Mortality Study Database. (19) For example, MASTER_V10.DAT [aka MST79].

File Type

HAI has indicated whether the files are analysis, raw data, working, or supporting files.

Hardware/Software

HAI has listed the hardware and software used to support the electronic files. Most electronic files relating to the HMS are accessed using a Digital MicroVAX 3600 Minicomputer, although some files were created on other computer systems. The files are usually in the American Standard Code for Information Interchange (ASCII) coding scheme.
Most of the HMS analyses were conducted using the Mortality and Occupational Exposure (MOX) program.(20) Remaining analyses were performed using the Monson program,(21) commercial software, and other programs developed by the Epidemiology and Biometry Group at PNL.

Location

Information on the physical location of the record series and an indication of its status, active or inactive, are found here. HAI has listed records first by building or originating office abbreviation (RHA, HEHF, PNL, or SFRC), then by area number (when applicable), then by building number, and then by room number.

Office/Program Supported

This is the office or program which used the files. The originating office and office/program supported by the electronic records are frequently the same.

Originating Office

This is the name of office that actually created the files.