Epidemiologic Studies

Rocky Flats Plant Site

ABBREVIATIONS AND ACRONYMS
INTRODUCTION
BACKGROUND
ACCESS
METHODOLOGY
SCOPE
ARRANGEMENT
DATA ITEMS IN RECORD SERIES DESCRIPTIONS
NOTES

APPENDIX A -- NARA Standard Form 35 and Records Storage Receipt Examples
APPENDIX B -- Records Selection Criteria
APPENDIX C -- Inactive Epidemiologic Records Reviewed by HAI at Rocky Flats and the Denver Federal Records Center for the Period Ending January 27, 1995
APPENDIX D -- Other Sources of Information
APPENDIX E -- Information Required by the Department of Energy for Epidemiologic and Health Studies
APPENDIX F -- Determining Suitability for Scanning

ALPHABETICAL LIST OF SERIES TITLES

INTRODUCTION

Overview
This is the first in a series of seven volumes which constitute a guide to records useful for conducting health-related research at the Department of Energy's (DOE) Rocky Flats Plant, now named the Rocky Flats Environmental Technology Site, near Denver, Colorado. The primary purpose of Volume I is to provide comprehensive information on the location and classification of records described in Volumes II through VII and how those records 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 volume briefly describes the Epidemiologic Records Inventory Project, HAI's role in the project, and the history of the DOE and Rocky Flats. It provides information on the methodology used to inventory and describe the record series contained in subsequent volumes. In addition, Volume I contains all of the appendices developed for this guide.

Other volumes in the guide pertain to administrative and general subjects, facilities and equipment, waste management, production and materials handling, workplace and environmental monitoring, and employee health. In addition, HAI has produced a subject-specific guide titled The September 1957 Rocky Flats Fire: A Guide to Record Series of the Department of Energy and Its Contractors, which researchers should consult for further information about records related to this incident.

The 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), responsible for the coordination of 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. It should be noted, however, that 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 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.

As part of its task to verify and conduct inventories of epidemiologic and health-related records at DOE and DOE contractor sites, HAI conducted a pilot study at the DOE Rocky Flats Environmental Technology Site. The primary purpose of this project was to help DOE provide information relating to health-related records, as requested by the Colorado Department of Public Health and Environment (CDPHE) and other stakeholders in meetings held during October 1993. As part of the project, HAI inventoried pertinent active and inactive records and identified protocols and restrictions governing access to them. HAI's work would not have been possible without DOE's commitment to openness and to facilitating access to these records.

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 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.

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 in the late 1980s, the DOE restructured its priorities around nuclear waste management, environmental restoration, conservation, and the development of new energy sources.(3)

Site History
Located in Golden, Colorado, the Rocky Flats Environmental Technology Site is situated on 384 acres amid a 6,550-acre natural preserve (buffer zone). The AEC chose the site because Rocky Flats possessed a dry, moderate climate and was isolated enough not to require the displacement of many people but had a supporting population in the vicinity. The site also had "attractive environs" that would compensate skilled personnel conducting hazardous work at the plant.(4)

The AEC began operations at Rocky Flats in 1952. One of the plant's main missions was to fabricate plutonium pits, or triggers, which contain fissile plutonium fuel for nuclear weapons. Rocky Flats did the foundry and machine shop work needed to manufacture and assemble the pits into finished products and then shipped them to the DOE Pantex Facility near Amarillo, Texas, for final assembly. In addition, Rocky Flats performed plutonium recovery and waste management activities. Dow Chemical Company (1952-1975), Rockwell International Corporation (1975-December 31, 1989), and EG&G Corporation (January 1, 1990-1995) have operated the plant for DOE.(5)

On June 6, 1989, the Federal Bureau of Investigation raided the Rocky Flats Plant as part of its investigation of allegations of mismanagement, negligence, and criminal practices. On the first day of the raid, federal agents seized an unknown quantity of official DOE records without allowing photocopies to be made. Afterwards, records management personnel were able to make photocopies of other records being taken by the agents. Rockwell International, the plant operator at the time, eventually pled guilty to ten counts, including violations of the Clean Water Act, and agreed to pay a fine of $18.5 million.(6)

In September 1989, the Rocky Flats Plant was placed on the national priorities list of the EPA's Superfund hazardous waste sites. The plant ceased operations in November 1989 and began its transformation to a cleanup site in February 1992. The plutonium production facilities have been deactivated, and the plant site eventually will be decommissioned. Current principal program activities at Rocky Flats include safety, environmental protection, and environmental restoration.

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 regular 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. 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 prior approval to review unclassified records that are in the permanent custody of NARA.

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 a federal records center must be granted by the custodial agency.

Records Locations
Rocky Flats' inactive records are housed in two main locations: the Building 881 Archives and the Denver Federal Records Center (DFRC). To gain access to records stored at these locations, researchers must request permission from the DOE Records Management Department at Rocky Flats. The Building 881 Archives is located in a security-controlled area and researchers must hold a DOE Q clearance to use this facility.

As part of the DOE site reconfiguration process, some Rocky Flats records are in the process of being transferred to Los Alamos National Laboratory (LANL) and the Kansas City Plant. Researchers should verify the location of records listed in this guide prior to making access arrangements.

For specific information or permission to access Rocky Flats records, please contact:

U.S. Department of Energy
Records Management Department
Contracts and Services Division
Rocky Flats Office
P.O. Box 928
Golden, CO 80402-0928
Telephone Number: (303) 966-6177

For information on NARA, please contact:

Denver Federal Records Center
P.O. Box 25307
Denver, CO 80225
Telephone number: (303) 236-0804

For specific information or permission to access Rocky Flats records at LANL, please contact:

Los Alamos National Laboratory
Records Specialist
Weapon Component Technology
Technical Area 55, NMT-5
MS E506
Los Alamos, NM 87545
Telephone number: (505) 665-3918

Finding Aids
Finding aids are indexes or other lists, either manual or automated, that are designed to help researchers locate relevant files or retrieve information.(7) The following are the most widely used finding aids for records concerning Rocky Flats:

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.

Records scheduling at all DOE sites are governed by two main sets of guidelines: the General Records Schedules (GRS) and the DOE Records Schedules (DOERS).(8) The GRS provides retention periods for records that are common to all federal offices, such as those pertaining to procurement, civilian personnel, printing, communications, or 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.(9)

NARA Standard Form 135s
Federal records centers can provide the researcher with access to NARA Records Transmittals and Receipts (Standard Form 135s, hereafter referred to as NARA Standard Form 135s) which are valuable research tools.(10) NARA Standard Form 135s are storage receipts which accompany inactive records transferred from the originating agency to a federal records center. They provide brief box lists, disposition authorities, accession numbers, transfer dates, and an indication of volume for each accession. NARA Standard Form 135s also note whether the records have been permanently withdrawn by the originating agency from the federal records center. Researchers may examine the unclassified NARA Standard Form 135s without the permission of the agency that deposited the records. Examples of NARA Standard Form 135s are provided in Appendix A.

Records Storage Receipts
Records Storage Receipts are available for inactive records transferred to the Building 881 Archives. These receipts provide much of the same information found on the NARA Standard Form 135s. Researchers should be aware that a number of Records Storage Receipts are classified documents. Review of Records Storage Receipts governed by classification restrictions requires possession of a DOE Q clearance. Examples of Records Storage Receipts are also provided in Appendix A.

Pit Surveillance Program (PSP) Database
The PSP database is located at LANL in the Technical Area 55 Warehouse. This database is the principal finding aid for the Stockpile Approved Product Records, commonly known as the War Reserve Bomb Books, transferred from Rocky Flats to LANL. Researchers interested in gaining access to the PSP Database should contact LANL's Nuclear Materials Technology Pit Surveillance Program office.

Photocopying Protocol
The DOE Records Management Department at Rocky Flats suggests the following procedures for obtaining copies of its and its contractors' records:

DOE's procedure on the photocopying of documents for the general public and the pedestrian researcher consists of presenting a written request to DOE outlining as much information as possible concerning the document, report, etc. The information should include the date, title of the document (or subject matter), and division responsible for receiving or generating the document. The written request must be addressed to the Records Management Department. Once the document is located and pulled, it is sent to the responsible division for the department manager's approval. If the department manager is hesitant to release a copy of the document, the document is sent to the Freedom of Information/ Privacy Act Officer for the final approval or denial. If approved, the document is shown to a classification officer for approval to be released. Once the document has met with complete agreement to be released, the document is sent to the public reading rooms where the requester is charged for the copy. FOIA [Freedom of Information Act] regulations state that any document containing less than 300 pages is free to the requester. Documents containing more than 300 pages to be copied will be charged the appropriate fees determined by the public reading room.

For any researcher who is onsite and locates a document that the researcher wants copied, the procedure is the same except that the document should be attached to the written request. If the document is less than three hundred pages and has been approved for release, it is then the Records Management Department's duty to inform the public reading room that the document is in the public domain and can be added to their document accountability system.

METHODOLOGY

For this project, HAI verified DOE's and EG&G's inventories of active records and inventoried inactive records generated by present and past operators of the Rocky Flats site. Descriptions of the methodology concerning these two activities are discussed separately.

Active Records Inventory
DOE and EG&G records managers are in the process of inventorying active records at Rocky Flats. DOE has completed the inventory of its 4,692 cubic feet of active records. EG&G has inventoried approximately 70 percent of its estimated 88,000 cubic feet of active records. Wackenhut Services, Inc.'s Records Management Department has completed 15 percent of the 1,000 cubic feet of its active records inventory. These inventories identify epidemiologic and health-related records, as stipulated by the DOE directive of May 1992.

During three site visits, HAI verified the inventory data that DOE and EG&G collected for records in the Industrial Hygiene, Occupational Health, and Waste Management organizations. Planning began with HAI's review of the inventory worksheets prepared by DOE and EG&G records management staff. As a result of this review, HAI targeted certain inventory forms to be checked by HAI staff. While onsite, HAI compared actual records to the completed inventory forms. During the performance of the active records work, HAI verified inventory worksheets for approximately 1,300 cubic feet of records and 204 reels of microfilm and interviewed about one hundred employees about the records in their care.

During the completion of onsite active records verification, HAI also gathered additional information regarding records described in the site inventories, using a supplemental inventory form, titled Active Records Verification Worksheet. Using this method, HAI incorporated active record series descriptions with inactive records whenever possible.

Inactive Records Inventory
At the start of the epidemiologic pilot study, records management organizations at Rocky Flats had not started to inventory inactive records, since DOE had directed sites to focus their initial effort on describing active records systems. HAI selected inactive records of the Industrial Hygiene, Occupational Health, Production, and Waste Management organizations for inclusion within this guide.

HAI planned for the inactive records inventory by reading secondary source materials and discussing the types of records selected for review with several individuals, including staff at Rocky Flats, the National Institute for Occupational Safety and Health, and CDPHE. HAI also reviewed the active records inventory sheets prepared by Rocky Flats records management staff to gain further insight into the types of inactive records created by these organizations in the past.

HAI staff members also reviewed organizational charts and finding aids, including Records Storage Receipts and NARA Standard Form 135s. Using these tools, HAI developed selection criteria for the project which outlined HAI's methodology for choosing boxes to review. When the project began, HAI also developed a methodology for sampling records, since the initial number of boxes falling under the selection criteria numbered several thousand. As the project's scope expanded, however, HAI eventually inventoried most epidemiologic records held by the site, excluding administrative files, word processing files, reference materials, schedules of daily activities, time control logs, and routine procurement files. For more information on HAI's selection criteria, see Appendix B.

Using the selection criteria, HAI compiled box lists of inactive Industrial Hygiene, Occupational Health, Production, and Waste Management records to review during its work at Rocky Flats. A small number of storage receipts for classified records, which also proved to be classified, were reviewed in the Building 881 Archives.

HAI inventoried a total of 3,875 cubic feet of records stored at the DFRC and other Rocky Flats repositories during six site visits. HAI staff members examined records contained in each box and recorded the information on more than 1,818 of HAI's Inventory Form-Epidemiologic and Health Records. For a complete list of records reviewed by HAI for this project, see Appendix C. Potential sources of information, reviewed by HAI but not included in the series descriptions, have been compiled in Appendix D.

Once the site visits were complete, HAI staff analyzed and compiled the inventory forms and described the record series. Often the record series descriptions combined information on active and inactive records, stored in a number of locations or maintained in a variety of media, including audiovisual and electronic.

SCOPE

The seven volumes in this guide reflect information collected from research conducted during site visits from March 1994 through January 1995. Users of this guide should note that omissions are likely due to the nature of the records targeted for research. For example, the June 6, 1989, seizure of records by the Federal Bureau of Investigation rendered an unknown quantity of records unavailable for review by HAI staff. Moreover, HAI team members did not inventory records stored in radiation-controlled areas.

HAI relied on existing finding aids prepared for Rocky Flats records. HAI was unable to verify that these research tools include all records that may exist. In addition, researchers should note that records at all of the repositories listed in this guide may be moved, reviewed for changes in disposition authority, transferred to a different location, and changed to a different format (i.e., from paper to microfilm).

ARRANGEMENT

HAI grouped the record series descriptions into seven volumes to facilitate research. A brief explanation of each volume is as follows:

I. Introduction
The first volume contains the most comprehensive version of the introductory sections and appendices for subsequent volumes.

II. Administrative and General
This volume pertains to the administration of individual contractor organizations and DOE divisions at Rocky Flats. It also contains record series descriptions which encompass several different subject areas and therefore cannot be placed in a single category. Record series included in this section generally consist of correspondence, audit records, committee and meeting records, status reports, incident and accident records, and reading files.

III. Facilities and Equipment
This volume relates to the construction and routine maintenance of plant buildings and the purchase and installation of equipment. Record series generally consist of inspection reports, construction project files, equipment operating manuals, and specifications.

IV. Production and Materials Handling
Records in this volume relate primarily to the inventory and production of nuclear materials and weapon components. Record series include materials inventories, manufacturing specifications, engineering orders, transfer and shipment records, and War Reserve Bomb Books.

V. Waste Management
Record series found under this volume relate to the storage, handling, treatment, and disposal of radioactive, chemical, or mixed materials produced or used at Rocky Flats. Records series consist mostly of waste sampling and shipment records.

VI. Workplace and Environmental Monitoring
The record series found in this volume pertain to monitoring of the workplace and the environment outside of buildings, either onsite or offsite. Records in this category are usually not specific to individual employees. Record series generally consist of sampling data and environmental impact reports.

VII. Employee Occupational Exposure and Health
This volume pertains mostly to the health and occupational exposures of employees and visitors at Rocky Flats. Record series generally consist of dosimeter data, radiation exposure records, and medical records. Many of the records contain personal data pertaining to individual employees and may, therefore, be covered under the Privacy Act of 1974.(11)

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 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 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, originating office, duplication, and disposition authority.

Data items are listed alphabetically and further explained below:

Access Restrictions
Because the Rocky Flats Plant is an access-controlled area, researchers must arrange for access before planning to visit the site. In addition, some unclassified records are stored in restricted buildings at Rocky Flats which cannot be entered without having the proper security clearances. Researchers should also be aware that some access procedures at the site are presently undergoing reevaluation due to changing priorities and openness initiatives.

Access restrictions apply to some of the record series found within the guide. Record series containing documents that are classified for national security reasons require a DOE Q clearance and a need-to-know for access. Need-to-know applies to classified records only; individuals holding clearances must be granted need-to-know by the office responsible for granting access to the records.

Personnel and other employee files may contain personal information which is protected in a Privacy Act System of Records and may not be available for public inspection. HAI has indicated which records may be protected under the terms of the Privacy Act.(12)

Certain DOE records, though unclassified, are considered sensitive. These records may include designations such as Unclassified Controlled Nuclear Information (UCNI) and Official Use Only (OUO). Researchers interested in gaining access to unclassified sensitive records should consult the DOE Records Management Department for further guidance.

To assist researchers and others in understanding the types of classified information, and the restrictions that govern access, the following excerpts from the DOE's Understanding Classification (June 1987) are provided(13)

Categories of Classified Information
There are three categories of classified information: Restricted Data; Formerly Restricted Data; and National Security Information.

1. RESTRICTED DATA (RD) is a special category of classified information with which the DOE is principally concerned. The Restricted Data category is defined in the Atomic Energy Act as follows:

The term RESTRICTED DATA means all data concerning (1) the design, manufacture, or utilization of atomic weapons; (2) the production of special nuclear material; or (3) the use of special nuclear material in the production of energy, but shall not include data declassified or removed from the Restricted Data category pursuant to section 142.

2. FORMERLY RESTRICTED DATA (FRD) is information which has been removed from the Restricted Data category after the Department of Energy and the Department of Defense (DOD) have jointly determined that the information relates primarily to the military utilization of atomic weapons and can be adequately safeguarded in the same manner as National Security Information in the United States. This is known as transclassification. Such data may not be given to any other nation except under specially approved agreements.

3. NATIONAL SECURITY INFORMATION (NSI) is information which requires protection against unauthorized disclosure in the interest of the national defense or foreign relations of the United States and has been determined to be classified in accordance with the provisions of Executive Order 12356 or a prior Executive order.(14)

Levels of Classified Information
There are three levels of classified information: Top Secret; Secret; and Confidential.

1. TOP SECRET is the level assigned to information of utmost importance to the national defense and security. Its unauthorized disclosure could reasonably be expected to cause exceptionally grave damage to national security.

2. SECRET is the level for information which, in the event of an unauthorized disclosure, could reasonably be expected to cause serious damage to national security.

3. CONFIDENTIAL is the level for information which, in the event of unauthorized disclosure, could reasonably be expected to cause damage to national security.

For further information, see DOE Order 5635.4 and DOE Office of Security Affairs, Headquarters, Security Education Overview Handbook (DOE/SA-0004).(15)

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 records collections. In addition, HAI sought to link together 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) 326-72E-994; 2) 326-75A-256; 3) 434-91-0049; etc.

Container Numbers and Disposition Authorities that correspond to these accession/ identification numbers also are listed sequentially and are inclusive. For example, accession number 1) 326-72E-994 corresponds to container number 1) SB203990; accession number 2) 326-75A-256 corresponds to container numbers 2) 791881-791883, etc. In the case of disposition authority, accession number 1) 326-72E-994 corresponds to disposition authority 1) DOE (1988) 1.8b; accession number 2) 326-75A-256 corresponds to disposition authority 2) DOE (1980) C25.9g, etc.

Arrangement
HAI has described the arrangement of the record series, for example chronological or alphabetical, 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 X-rays, 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 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 and file cabinets are described as completely as possible.

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 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.

During the course of HAI's inventory work at Rocky Flats, the DOE and HAI jointly developed a revised list which contains 86 data elements. The list has been reorganized in a topical manner in order to facilitate inventory work. In addition, the revised list includes a new data element (124) for onsite sampling. 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. Both lists of data elements are included as part of this guide in Appendix F. Please note that the revised list is arranged topically, not numerically.

The data elements that HAI considered pertinent to the record series are listed in numerical order at the end of the records series descriptions. 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 when one has been assigned by the appropriate records management organization. For instance, the disposition authority GRS 3.8b refers to schedule 3, item 8b. GRS disposition authorities cited as GRSX refer to schedules which have been rescinded by NARA, but not replaced.

For records scheduled according to DOERS, the schedule number and item number are provided (e.g., DOE (1988) 7.9b, refers to schedule 7, item 9b). HAI has also indicated when the citation corresponds to DOERS version dated 1980 (DOE Order 1324.2) or 1988 (DOE Order 1324.2A). 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. Disposition authorities prefaced by the letter "C," such as DOE (1980) C16.5b, correspond to the DOE Contractor Records Schedules, found under DOE Order 1324.2

At other times, HAI has made note of records with disposition authorities different from the GRS or DOERS. Often these correspond to records schedules maintained by contracting organizations. Examples are: "75 years," "until dismantlement of facility," or "6 months after removal from stockpile." For other records, HAI found it necessary to indicate "unscheduled" or "records schedule under revision."

Duplication
Some records may exist elsewhere in a duplicate format, such as on recording tape or microfilm. 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 indicated whether a finding aid exists for each record series. In the case of inactive records, NARA Standard Form 135s are the main finding aids. Records Storage Receipts are the finding aids for records located in the Building 881 Archives. The PSP database has been cited as the principal finding aid for Rocky Flats records stored at LANL.

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 the plant abbreviation (RF), then by building, and room number. Abbreviations for the Denver Federal Records Center (DFRC), Los Alamos National Laboratory (LANL), and the Building 881 Archives (RF-881 Archives, Room 214) have been used consistently throughout the guide.

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

Originating Office
HAI has provided the originating office (e.g., Medical, Health, and Safety Division, Dow Chemical Company) under this heading. Because organizational groupings, such as departments, divisions, and groups, tend to change over time, HAI has used the term Organization to refer to all applicable offices. Researchers should be aware that the office which created the records may not be the entity that controls access to them. Access is controlled by the office with custody over the records.

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. This statement may not be accurate in the future as the state-of-the-art in scanning technology continues to evolve. See Appendix F for guidelines used by HAI to determine scanning suitability.

Series Description
The series description provides, in 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 description contains cross references to related records described elsewhere in the guide.

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

Volume
The approximate volume of the record series is provided in cubic feet. Records stored at federal records centers 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 in 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 2 cubic feet.

Electronic System Descriptions
Descriptions for electronic systems are located throughout the guide. The electronic system descriptions contain eleven major data items, some of which are the same as, or similar to, those in the record series descriptions. Also included are data items pertaining to characteristics unique to the electronic record format, including the hardware/software used to support the file.

Data items are listed alphabetically and further explained below:

Access Restrictions
See information under this heading for record series descriptions.

Data Elements
See information under this heading for record series descriptions.

Disposition Authority
See information under this heading for record series descriptions.

Estimated Activity
The estimated usage of the system by records custodian has been indicated in this section.

Hardware/Software
HAI has listed the hardware and software used to support the information system.

Location
See information under this heading for record series descriptions.

Location/Volume of Storage Media
HAI has indicated the location and volume of storage media used to back up system files.

Office/Program Supported by the System
The office and program whose work the information system supports are listed here.

Originating Office
The originating office is the office that created the system.

System Description
See information under Series Description for record series descriptions.

Title and Inclusive Dates
Each electronic system description begins with the information system title and an indication of the dates the system covers.

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, PA: 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, PA: Pennsylvania State University Press, 1969); Charles W. Johnson and Charles O. Jackson, City Behind a Fence: Oak Ridge Tennessee, 1942-1946 (Knoxville, TN: University of Tennessee Press, 1981); Vincent C. Jones, Manhattan: 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, NM: University of New Mexico Press, 1979); Richard Rhodes, The Making of the Atomic Bomb (New York, NY: 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, CA: University of California Press, 1989); Richard G. Hewlett and B.J. Dierenfield, The Federal Role and Activities in Energy Research and Development, 1946-1980: An Historical Summary (Oak Ridge, TN: 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. Michelle A. Hanson, "Site History of Rocky Flats" (United States Department of Energy, History Division, January 1993), 1-7.

5. Ibid., 1-7.

6. Clean Water Act of 1972 (Public Law 92-500), as amended by the Water Quality Act of 1987 (Public Law 100-4).

7. National Archives and Records Administration, NARA and the Disposition of Federal Records: Laws and Authorities and Their Implementation (Washington, DC: NARA, 1989), D-7.

8. National Archives and Records Administration, Office of Records Administration, General Records Schedules (Washington, DC: Government Printing Office, 1992) (To obtain a copy, contact National Archives and Records Administration, Office of Records Administration, Washington, DC 20408); United States Department of Energy, DOE Order 1324.2, Records Disposition: May 28, 1980, as amended by DOE Order 1324.2A, September 13, 1988. DOE Order 1324.2A was rescinded in January 1995.

9. NARA and the Disposition of Federal Records: Laws and Authorities and Their Implementation; DOE Order 1324.2A.

10. Records Transmittal and Receipt (NARA Standard Form 135) [FPMR (41 CFR) 101-11.4], June 1961, revised June 1976.

11. Privacy Act of 1974 [Public Law 93-579 (Title 5 USC 552a)], as amended.

12. Ibid.

13. United States Department of Energy, Assistant Secretary for Defense Programs, Office of Classification, Understanding Classification (DOE/DP-0007/1), June 1987.

14. "Executive Order 12356," Federal Register 47, No. 64 (April 2, 1982): 14874.

15. United States Department of Energy, Office of Security Affairs, Headquarters, Security Education Overview Handbook [Washington, DC: United States Department of Energy (DOE/SA-0004), undated].