Epidemiologic Studies

Los Alamos National Laboratory

Overview
The purpose of this guide is to describe each series of records that pertains to the epidemiologic studies conducted by the Epidemiology Section of the Occupational Medicine Group (ESH-2) at the Department of Energy's (DOE) Los Alamos National Laboratory (LANL) in Los Alamos, New Mexico. The records described in this guide relate to occupational studies performed by the Epidemiology Section, including those pertaining to workers at LANL, Mound Plant, Oak Ridge Reservation, Pantex Plant, Rocky Flats Plant, and Savannah River Site. Also included are descriptions of other health-related records generated or collected by the Epidemiology Section and a small set of records collected by the Industrial Hygiene and Safety Group. This guide is not designed to describe the universe of records generated by LANL which may be used for epidemiologic studies of the LANL work force.

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 LANL, the history and functions of LANL's Health Division and Epidemiology Section, and the various epidemiologic studies performed by the Epidemiology Section. It provides information on the methodology that HAI used to inventory and describe records housed in the offices of the LANL Epidemiology Section in Technical Area 59 and at the LANL Records Center. Other topics include the methodology used to produce the guide, the arrangement of the detailed record series descriptions, and information concerning access to records repositories.

Epidemiologic Records Inventory Project
The Epidemiologic Records Inventory Project is indicative of DOE Secretary Hazel R. 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), now the Office of Epidemiologic Studies (EH-62), 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. These inventories should be completed in 1995.

Role of HAI
In August 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 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 the National Science Foundation (NSF), the Bureau of Mines and the Office of Coal Research of the Department of Interior, and the Environmental Protection Agency (EPA).(2) The establishment of ERDA represented the effort of the Nixon Administration to institute a centrally directed national energy policy. Events such as the 1973 Arab oil embargo and the 1973-1974 price increases instituted by the 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.

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. With the easing of Cold War tensions, the DOE restructured its priorities around nuclear waste management, environmental restoration, conservation, and the development of new energy sources.(3)

History of Los Alamos National Laboratory
Los Alamos, New Mexico, is the site of the first scientific laboratory in the United States dedicated to developing and testing nuclear weapons. Established in 1943 as Project Y of the MED, Los Alamos produced the nuclear device for the July 1945 Trinity Test and for the atomic bombs dropped on Hiroshima and Nagasaki, Japan, in August 1945. Laboratory and housing construction began in 1943, after the MED chose the University of California to manage and operate the site. During World War II, scientific research at the site focused on developing the first atomic bombs. Following the war, Los Alamos continued to improve fission bombs and also began to research thermonuclear weapons. In April 1946, the Zia Company became the support services contractor and took over those activities from the Army. The Zia Company held the contract until June 1986, when Pan American World Services won the contract. The site was named the Los Alamos Scientific Laboratory (LASL) in 1947. In the 1950s, attention shifted to peaceful uses of atomic energy. LASL expanded its research to include thermonuclear power, nuclear propulsion of rockets for space applications, plutonium fuels, and studies on the effects of nuclear radiation at the molecular and cellular levels. In 1980 its name was changed to Los Alamos National Laboratory.

History and Functions of Los Alamos National Laboratory's Health Division and Epidemiology Section
The Epidemiology Section of the Occupational Medicine Group began in 1976 as part of the Biomedical and Environmental Research Program of the LASL Health Division. The primary responsibility of the Health Division was to protect the health and safety of workers and the public. These activities required a professional staff devoted to many disciplines, including health physics, industrial hygiene, safety, occupational medicine, environmental surveillance, and waste management. The broad research and development activities at LANL meant that new health and safety problems would be encountered from time-to-time. The staff assembled to resolve these problems ultimately addressed similar circumstances across the DOE complex.

In September 1979, The University of California reorganized the office of the Director of LASL and made several changes in the technical divisions. The Health Division split and a second division, Life Sciences, was created. Programs which remained in the Health Division included radiological hazard evaluations, epidemiology of plutonium workers, tissue studies on plutonium depositions in humans, and industrial hygiene studies.

In 1980, the Biomedical and Environmental Research Program became the Occupational Health and Environmental Research Program. One year later, it became known as the Occupational Health, Waste Management, and Environmental Research Program. The Health Division also changed names, becoming the Health, Safety, and Environment Division in 1983. However, during all these name changes, the basic function of the Epidemiology Section remained the same: to conduct epidemiologic studies of workers at LANL and other DOE contractor facilities, and, when appropriate, to study the health of populations living near those sites.(4)

In December 1990, a Memorandum of Understanding (MOU) between the DOE and the Department of Health and Human Services (HHS) transferred responsibility for the management and conduct of energy-related analytic epidemiologic research to HHS. The National Institute for Occupational Safety and Health (NIOSH), a part of HHS and the Centers for Disease Control and Prevention (CDC), is responsible for occupational health studies covered by this MOU.

Epidemiologic Studies
The DOE and its predecessor agencies have a history of conducting epidemiologic research programs. Of primary interest in this guide are the records relating to epidemiologic studies conducted by LANL, most of which dealt with mortality and/or morbidity at a number of DOE sites. These sites include: LANL, Mound Plant, Oak Ridge Reservation, Pantex Plant, Rocky Flats Plant, and the Savannah River Site. In addition, the Industrial Hygiene and Safety Group undertook a feasibility study for determining chemical exposures among Rocky Flats workers. This study originated in the LANL Epidemiology Section, and descriptions of the records collected for it are also included in the guide.

The major studies conducted by LANL, and their associated electronic files, are described in the Comprehensive Epidemiologic Data Resource (CEDR). A catalog describing the CEDR program is available from the DOE Office of Health. A list of the publications of the LANL Epidemiology Staff, 1981-1993, is included as Appendix A.

An understanding of the methodology employed by Epidemiology Section staff members for research is crucial for any researcher attempting to use the files described in this guide, and the following is a brief discussion of the steps taken by epidemiology study teams. In preparation for a study, a team visited a site to microfilm pertinent records, such as personnel files. Following this, the data was coded and entered into computer files. Next, databases of specific types of information, such as personnel hire and termination dates and dosimetry information, were developed.

Researchers then determined the current vital status of individuals in the study. Such information was usually obtained from the Social Security Administration, the National Death Index, various state motor vehicle departments, and a commercial service called TRAX. After researchers compiled this information, they performed small studies based on the data. These studies explored, for example, a particular type of exposure. Control group studies were also performed to serve as quality control checks.

LANL performed most analytical work on electronic files that were coded in the American Standard Code for Information Interchange (ASCII) format. The information gathered by researchers was not joined until it was put into an analysis file, which underwent a series of tests to make sure data matched properly. If there were any problems matching data, the researchers went through the hardcopy records to resolve discrepancies and clean up record sets. Vital status information was added to the analysis file.

Final data matchups of the most accurate information the researcher could obtain for a particular study were contained in the researcher's analysis file. Various statistical programs were applied to the data in these files to calculate results. Epidemiologists used various computer programs, such as the Monson Program, which compiled expected U.S. mortality rates, and the MOX program at Hanford, which was used to study and compare characteristics among workers at one site, such as workers exposed to radiation versus unexposed workers. Study results were normally published in scientific journals, including the Health Physics Journal and the Journal of Occupational Medicine.

ACCESS

Researchers should note 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 required for daily activities and are not usually found in office areas. Inactive records may be housed in a temporary storage facility until they are either destroyed or sent to the National Archives and Records Administration for permanent retention.

Records created at LANL by DOE and its contractors are administered and controlled by the DOE and University of California/LANL records management organizations at that site. Materials relating to epidemiologic studies conducted for DOE are considered inactive because the DOE has ceased performing this work. At the time the records were inventoried the majority were stored in offices of the Epidemiology Section although some study records were housed at the LANL Records Center. In March 1996, the records which were in the offices of the Epidemiology Section were transferred to the LANL Records Center, which is in a security-classified area. Researchers must hold a DOE Q clearance in order to use this facility. Researchers should note that this situation may change in the future and the records themselves may be moved to another location.

For specific information or permission to access LANL Epidemiology Section records, please contact the following:

Records Management Prog. Coord.-ALB
U.S. Department of Energy
Albuquerque Operations Office
APB/IRMD
P.O. Box 5400
Albuquerque, NM 87125-5400
Telephone Number: (505) 845-4826
Fax Number: (505) 845-4793

METHODOLOGY

Identification and Selection of Records on Epidemiologic Studies
HAI conducted the project at LANL in cooperation with site personnel and representatives of NIOSH, Oak Ridge Associated Universities, and the Colorado Department of Public Health and Environment. HAI located, inventoried, and described record series in files relating to epidemiologic studies supported by DOE and performed by the Epidemiology Section of LANL's Occupational Medicine Group, located within the Environment, Safety, and Health Division. HAI inventoried records in the offices of the Epidemiology Section and the Industrial Hygiene and Safety Group and in the LANL Records Center. Once the site visits were complete, HAI staff analyzed the inventory forms and wrote descriptions for the record series.

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 categorize and describe the major information contained in the record series. The HAI team, as part of its inventory and description of records related to epidemiologic studies, determined which data elements were pertinent to each record series for both active and inactive records. The data elements list is included as part of this guide in Appendix B.

SCOPE

This guide reflects information collected during HAI's three site visits in August and September 1994. Researchers should keep in mind that the majority of the records described in this Guide are now located in the LANL Records Center and may be moved to another location in the future.

ARRANGEMENT

History Associates grouped record series descriptions into three categories in order to facilitate research. A brief explanation of each category is as follows:

I. ADMINISTRATIVE RECORDS
This section pertains to the general operations of the Epidemiology Section. Record series included in this section generally consist of correspondence, audit and review records, committee and subject files, and reading files.

II. STUDY DOCUMENTATION
This category includes series of records which document the studies conducted by the Epidemiology Section. The studies may pertain to a single DOE facility or may utilize data from several sites, as in the Health Study of Workers.

General Source Materials
This group includes series of records which provide raw data, such as death certificates or Personnel Security Questionnaires (PSQs). Data from these records were used in multiple studies and in studies relating to more than one facility. When the use of some data could not be readily determined, it was placed in this category.

Study Titles and Sites
This category includes series which relate to specific DOE sites and to the studies concerning those sites. For each site, record series pertaining to studies of workers at more than one site are followed by record series relating to a single study.

III. ELECTRONIC RECORDS
This section pertains to records stored in electronic form. The Epidemiology Section prepared and used electronic records and associated documentation in support of the epidemiologic studies it conducted for several DOE sites. Together, the electronic files and documentation may be used to comprehend the universe of the Epidemiology Section's electronic recordkeeping practices.

In its inventory of electronic records, HAI has sought to describe generally the types of electronic files created and used by the Epidemiology staff. HAI arranged the files by facility and then by file type. The three file types described within this guide are analysis, raw data, and supporting files.

Analysis files are the completed files of data on which study results are based. Raw data files are those which are received from sources and have undergone no manipulation by researchers. Files referred to as supporting files are usually used to define or explain variables contained in other computer files.

Electronic files at LANL are housed primarily on magnetic tape and disk storage media. Most files are accessed using a Digital Equipment Corporation 6240 Minicomputer. However, some files exist that were created in the past on other computer systems. In addition, the Epidemiology staff has used more than one software package over the years.

Currently, most data are in tables in either the DATATRIEVE or ORACLE database management systems. Most older data are in flat files in the ASCII coding scheme. Due to time, cost, and equipment constraints, HAI did not attempt to read older files maintained on magnetic tape and created on now obsolete computer systems. HAI has included a directory listing of these files which may be found in Appendix C.

DATA ITEMS IN RECORD SERIES DESCRIPTIONS

Textual Record Series Descriptions
Series descriptions for records in sections I-II and the first half of section III 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 number. 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.

Data items are listed alphabetically and further explained below.

Access Restrictions
Access restrictions apply to some of the record series. Personnel and other employee files that contain personal information are protected under the Privacy Act and may not be available for public inspection. For information about accessing these records, researchers should contact the Freedom of Information and Privacy Act Office of the Albuquerque Operations Office at (505) 845-4370. HAI has indicated which records may be protected under the terms of the Privacy Act.

Although these records are unclassified, most are now stored in the LANL Records Center, which cannot be entered without a DOE Q clearance. Since the Laboratory itself is a controlled area, researchers must arrange for approval before planning to visit the site.

Accession or Other Identification Number
The records maintained in the offices of the Epidemiology Section and the Industrial Hygiene and Safety Group at the time of the inventory did not have accession or other identification numbers. Records housed in the LANL Records Center at the time of the inventory had a Records Transfer Request number.

Arrangement
The arrangement of the records series, for example chronological or alphabetical, is described when possible.

Condition
HAI judged the physical condition of records 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 or photographs.

Container Number
This field lists cabinet and shelf locations for records which were maintained in the offices of the Epidemiology Section at the time of the inventory and are now housed in the LANL Records Center. Those records which were stored at the LANL Records Center and the Industrial Hygiene and Safety Group at the time of the inventory should still have the container numbers which are indicated here.

Data Elements
The data elements that HAI considered pertinent to the records series are listed in numerical order. The numbers correspond to the data elements list in Appendix B.

Disposition Authority
Disposition authorities are not listed for the records which were stored in the offices of the Epidemiology Section because none have been assigned. For these records, HAI has written "unscheduled." For records held in the LANL Records Center during the inventory, the appropriate DOE Records Disposition Schedule number has been supplied.

Duplication
Some records may exist elsewhere in a duplicate form, such as on recording tape or a computer hard drive. If the exact whereabouts of the duplication is known, HAI has provided this information.

Finding Aids
Information is provided for any finding aids which may exist for the records. For many of the inactive records stored in the offices of the Epidemiology Section at the time of the inventory, a shelf list shows where those records were located. Records Transfer Requests are the principal finding aid for records stored in the LANL Records Center.

Location
Information concerning records location and status, as active or inactive, is found here. Active and inactive records are listed by their location within LANL at the time of the inventory.

Medium
The physical nature of the records, such as paper, microfilm, electronic, or audio-visual, is noted.

Originating Office
The office of the organization (e.g., LANL, Occupational Medicine Group, Epidemiology) which produced the records is provided here.

Scanning Suitability
HAI has indicated when records are suitable or not suitable for optical scanning. In instances where records are not clearly suitable, HAI has provided descriptions of materials that may prove problematic for some scanners. Depending on the state-of-the- art in scanning technology, this statement may not be accurate in the future. See Appendix D 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 they were created, and the manner in which they were used. In some cases, the series descriptions contain cross references to related textual and electronic records described elsewhere in the guide.

Title and Inclusive Dates
Each records series description begins with a title that reflects the broad content of the records series and the dates that the records span.

Volume
The approximate volume of the records series is provided in cubic or linear feet and inches. Cubic measurements are used for records in vertical file cabinets and boxes; linear measurements refer to records on open shelving and lateral file cabinets.

Electronic File Descriptions
Descriptions for electronic records are found in the second half of section III of the guide. The electronic records series descriptions contain nine major data items, some of which are the same as, or similar to, those in the textual records series descriptions. These are file name, location, access restrictions, name of the originating office, and disposition authority. Also included are data items pertaining to characteristics unique to the electronic records format, including file type and hardware/software used to support the file.

Data items are listed alphabetically and further explained below.

Access Restrictions
See information under this heading for textual records.

Disposition Authority
Disposition authorities have been listed as unscheduled, since records disposition and retention periods have not yet been assigned.

File Description
HAI has generally described types of electronic files prepared by LANL's Epidemiology Section. Wherever possible, HAI tried to mention the types of records used and personal identifiers contained within the files. Also, HAI has provided additional information for files with unique characteristics.

File Name
The file names recorded here were assigned at the time of file creation.

File Type
HAI determined whether the files included as part of this description are analysis, raw data, or supporting files.

Hardware/Software
HAI has listed the hardware and software used to support the electronic files.

Location
All files described were located within the LANL Epidemiology Section and are now at the LANL Records Center.

Originating Office
The originating office is the office that actually created the records, whether they are analysis, raw data, or supporting files.

Related Records
Record series containing documentation relating to the development of electronic files have been indicated in this section.

NOTES

(1) Richard G. Hewlett and Oscar E. Anderson, A History of the United States Atomic Energy Commission, Vol. 1, The New World, 1939-1946 (University Park: Pennsylvania State University Press, 1962); Richard G. Hewlett and Francis Duncan, A History of the Atomic Energy Commission, Vol. 2, Atomic Shield, 1947-1952 (University Park: Pennsylvania State University Press, 1969); Charles W. Johnson and Charles O. Jackson, City Behind a Fence: Oak Ridge Tennessee, 1942-1946 (Knoxville: University of Tennessee Press, 1981); Vincent C. Jones, The Army and the Atomic Bomb (Washington, DC: U.S. Army, Center for Military History, 1984); James W. Kunetka, City of Fire: Los Alamos and the Atomic Age, 1943-1945 (Albuquerque: University of New Mexico Press, 1979); Richard Rhodes, The Making of the Atomic Bomb (New York: Simon and Schuster, 1986).

(2) Richard G. Hewlett and Jack M. Holl, A History of the United States Atomic Energy Commission, Vol. 3, Atoms for Peace and War: Eisenhower and the Atomic Energy Commission, 1953-1961 (Berkeley: University of California Press, 1989) and Richard G. Hewlett and B.J. Dierenfield, The Federal Role and Activities in Energy Research and Development, 1946-1980: An Historical Summary (Oak Ridge: Oak Ridge National Laboratory, 1983).

(3) Terrence R. Fehner and Jack M. Holl, The United States Department of Energy: An Historical Summary, 1977-1994 (Washington, DC: United States Department of Energy, History Division, 1994).

(4) D.F. Petersen and E.M. Sullivan, "Progress Report of the Biomedical and Environmental Research Program of the LASL Health Division, 1976," Vol. UC-48, July 1977; "Progress Report of Biomedical and Environmental Research Program of the LASL Life Sciences and Health Divisions," 1979, 87; George Voelz, "Progress Report of the Occupational Health and Environmental Research Program of the Health Division, 1980," Vol. UC-41, December 1981; and George Voelz, "Progress Report of the Occupational Health, Waste Management, and Environmental Research Program of the Health Division, 1981," Vol. UC-41, September 1983.