DISCLAIMER The following is a staff memorandum or other working document prepared for the members of the Advisory Committee on Human Radiation Experiments. It should not be construed as representing the final conclusions of fact or interpretation of the issues. All staff memoranda are subject to revision based on further information and analysis. For conclusions and recommendations of the Advisory Committee, readers are advised to consult the Final Report to be published in 1995. TAB J Staff Memorandum--Methodological Review of Agency Data Collection Efforts: Department of Defense * * * * *STAFF MEMORANDUM* * * * * * TO: Members of the Advisory Committee on Human Radiation Experiments FROM: Advisory Committee Staff DATE: June 7, 1994 RE: Initial Report on the Department of Defense Document Search This initial report: (1) provides background on the Department of Defense (DOD) and its records; (2) summarizes DOD's search strategy and activities to date; (3) discusses lessons learned from the search to date, and questions raised by staff; and (4) provides options and recommendations for the next steps to be taken by DOD and the Committee. EXECUTIVE SUMMARY Records: There has been a massive amount of records generated by DOD (the Office of Secretary of Defense, Joint Chiefs of Staff, multi-service agencies, and three military services) since its creation in 1947. Similarly, many records were produced by its predecessors, the War and Navy Departments and their many components. DOD and its predecessors' records are (I) in over twenty record groups at the National Archives and Federal Records Centers around the nation; (2) still with the office, command or other organizational unit which generated them; or (3) have been destroyed or lost. Depending upon the time period and organization, the quality of inventories and indices for documents that do exist is varied. Search Strategy: DOD's first phase search has been directed at identifying organizations which sponsored/conducted experiments, locating relevant documentation, and describing the experiments. DOD expects this phase to be completed by June, and seeks Committee advice on the direction of the next phase. Search Limits: DOD's search was directed at identifying entities that "conducted" or "sponsored" experiments, and not organizations that set policy for, coordinated, and/or utilized information from experiments. while some reports identified some of these organizations, they did not, for example, encompass the Office of the Secretary of Defense (OSD). Thus, the search did not encompass OSD offices, committees, etc. that set policy for, coordinated funding of; and/or may have coordinated prioritization, review and utilization of research.1 {1 Staff notes that DOD's emphasis does not appear to have been inconsistent with the initial search strategy of the Interagency Working Group. Thus, what is identified as a "limitation" in the search to date may better be read as an opportunity for the next step.} 1 The Defense Nuclear Agency (DNA) reported to staff on June 3 that its search did not include intentional release type experiments. DOD's search has also been limited by the difficulty in locating collections of records known to be relevant, and the possibility (or actuality) that some records have been destroyed. Quality Control: DOD organizations sought to utilize interviews, literature searches and agency historians in aid of search. DOD components also generally sought to search technical report databases and technical libraries. Search Progress: The Navy reports identifying close to 800 possible human radiation experiments, the Air Force about 200, the Army about 30, and DNA about a dozen. (The experiments included many from the post-1974 period). The Navy found a 1951 regulation governing human experimentation. A Navy search of files related to St. Albans Hospital indicated a still earlier regulation, and a review of a history of its Bureau of Medicine located a report of a 1932 protocol for the approval of a human experiment, which provided that "all subjects should be informed volunteers." Search Opportunities: Headquarters documents. As noted, DOD's Phase I search was not systematically targeted at organizations with responsibility for coordination, policy setting, and/or utilization of experimental data. DOD agrees that the inclusion of policymaking, coordinating, and finding entities, particularly at the OSD level, may be of value. The Ethics Code TraiL DOD's search indicates that formal codes governing experimentation evidently existed from early on in the period under study. In addition to the Navy's discoveries, DOD's initial search uncovered a 1953 memorandum from the Secretary of Defense to the service Secretaries which, in essence, counseled the adoption of the Nuremberg Code as a standard for human experimentation. The Secretary's memo, in turn, referred to the recommendation of the Armed Forces Medical Policy Council, which was an office within the Office of the Secretary of Defense. (A 1975 Army Inspector General Report, discussed at the Committee's second meeting, indicated that the 1953 memo followed substantial, high level deliberation.) The Armed Forces Medical Policy Council, and related records, were not identified in response to the DOD-wide search directive. Records relating to the promulgation and implementation of the 1953 memo (including files from the Armed Forces Medical Policy Council) should provide both a context for experiments and further guide to the nature and identity of specific experiments. Records Center/National Archives documents. While there has been some effort to locate records at these repositories (particularly as reported by the Navy), it appears that significant collections (e.g., of OSD and DNA) remain to be identified. 2 Classification: DOD states that the amount of classified data is small in the material identified to date. However, DOD classified data may be significant in the case of certain headquarters documents, especially in radiological warfare/intentional release-related areas. As directed by the Committee, staff has-asked for focused declassification of items related to Green Run. The Air Force's search identified a partially declassified study of Green Run; but the Air Force has stated that it will not further declassify the study. Staff requested that DOD locate and declassify portions of an Air Force history (AFOAT-I) and minutes of an interagency committee which staff thought might identify those responsible for the Green Run experiment, and shed light on its purpose. The Air Force has responded that the history does not contain Green Run information, and that DOD is still searching for the second item. Work Performed By Others: In discussions with DOD, it was suggested that DOD may have relied on other agencies (such as the AEC and its contractors) for experimental data. DOE, for its part, has stated that DOE facilities have historically performed "work for others" on a reimbursement basis. The DOD search reports, however, do not appear to have identified any experimental work performed at DOE or its predecessors' facilities. Follow-up to Committee Requests: Following the May 20 meeting, staffs at DOD's request, transmitted a list of "action items" based on the Committee's second meeting. These included (l) requests for documentation related to the 1953 Secretarial guidance on the use of human volunteers, and on even earlier guidance identified by the Navy; (2) requests for further documentation related to the Cincinnati and Green Run experiments; and (3) organizational data related to offices and other groups (e.g., committees) that may have set policy for, coordinated, reviewed, utilized and/or funded (as well as offices that may have sponsored or conducted) experiments. I. INFORMATIONAL SOURCES Committee staff was briefed by DOD staff on May 20, 1994, in advance of which DOD had provided documentation of search guidelines and progress.2 {2 DOD staff in attendance included Dr. Gordon Soper, Principal Deputy to the Assistant Secretary of Defense for Atomic Energy, and principal DOE representative to the Interagency Search Team, Rear Admiral Denny Wisely and Colonel Claud Bailey, of the Radiation Command Center, and representatives of the Air Force, Army, Marines, and Navy, and the DOD Office of General Counsel. DOD representatives included individuals from the Air Force Surgeon General's office, the Navy Bureau of Medicine and Surgery and the Dosimetry Center, and the Armed Forces Radiobiology Research Institute (AFRRI). Committee staff present were Jim David, Dan Guttman, Gregg Harken, Denise Holmes, and Ron Neumann.} 3 The Initial meeting will be followed up by meetings with representatives of each of the services and with the Office of the Secretary of Defense (OSD) and the Defense Nuclear Agency (DNA).3 {3 On June 3, the first of these meetings with DNA was held. This memo incorporates some information from that meeting; a more detailed report will follow.} Il. HISTORY/ORGANIZATION OF THE DEPARTMENT OF DEFENSE A. Organizational History/General The Army and Navy were under the War and Navy Departments, respectively, until the creation of DOD in 1947. The Army, Navy, and newly-independent Air Force were all placed in the department, but each maintained its separate organization headed by a civilian Secretary. Over the three services was the civilian Secretary of Defense. Within the Office of the Secretary of Defense were placed various advisory groups and multi-service agencies. The Armed Forces Special Weapons Project (AFSWP) was one such multi-service agency. AFSWP was succeeded by the Defense Atomic Support Agency (DASA) in 1959, which in turn was replaced by DNA in 1971. B. Organizational History/Biomedical and Radiological Research During World War II medical research was coordinated by the Medical Research Committee (MRC), a part of the Office of Scientific Research and Development (OSRD). Following the War, MRC grants/contracts were largely transferred to the Federal Security Agency (a predecessor to the Department of Health and Human Services). The question presents itself as to where, if anywhere, military medical research was coordinated in the years following the War. DOD's search, however, did not seek to identify headquarters/DOD-wide level offices or groups (e.g., the Armed Forces Medical Policy Council, referred to in Secretary Wilson's 1953 Guidance on Human Use of Volunteers) that might have exercised coordinating, policymaking, and/or funding control in the years following the War. Staffs preliminary discussion with an OSD historian, and review of OSD histories that were provided, indicates that OSD-level records relating to medical research in the post World War II period possibly include those of: (l) the Armed Forces Medical Policy Council ; (2) an assistant to the Secretary, with responsibility for overseeing medical research funding; (3) the Research and Development Board, which existed from 1947-53; (4) the Office of Medical Services; (5) the special assistant to the Secretary for Atomic Energy; and (6) beginning in 1953, the Deputy Director for Research and Engineering (DDR&E). The DOD search guidance, as noted further below, called on DOD components to identify organizations with potential responsibility for the conduct and/or sponsorship of experiments. 4 The Army identified Brooke Army Medical Center, Walter Reed Army Institute of Research, Edgewood Arsenal, and the Army Chemical Center as being involved in human radiation experimentation. Additionally, the Army sponsored some human radiation experimentation through contractors. The Marine Corps did not identify any organizational component as being involved in human radiation experimentation. The Navy identified the Bureau of Medicine and Surgery (BUMED) and the Office of the Chief of Naval Research (ONR) and the Naval Radiological Defense Laboratory (NRDL, which was disestablished in 1969) as "having been involved, to some degree, with human radiation experiments. BUMED has included, as identified further below, naval hospitals, the submarine research laboratory, and Naval Medical Research Units 2 (Taiwan) and 3 (Cairo). ONR has historically sponsored much work through grantees and contractors. The NRDL was created by the Bureau of Ships in the mid 1940's to examine ship damage and survivability questions that emerged following the initial post-war atomic tests conducted in the Pacific. The Air Force identified several organizations as the historic locus of human experimentation. The Human Systems Center at Brooks Air Force Base (AFB) in Texas includes the School of Aerospace Medicine, which was created in 1944, and the Armstrong Laboratory, whose facilities are at Brooks and Wright-Patterson AFB in Ohio. The Air Force Material Command (AFMC) has responsibility for the Radiological Safety Laboratory at Wright-Patterson and the Phillips Laboratory at Kirtland AFB, New Mexico. The Geophysics Laboratory (through its predecessor the Cambridge Research Laboratory), located at Hanscom AFB in Massachusetts, was identified as a source of data related to certain intentional releases identified in the Committee's charter. DNA identified the Armed Forces Radiobiology Research Institute (AFRRI), which was part of DASA and DNA from 1962 to 1993, as conducting some human radiation experimentation. Additionally, DNA's predecessors funded some human radiation experimentation through contractors. III. DEPARTMENT OF DEFENSE RECORDS: OVERVIEW A. Location and Organization DOD (and the War and Navy Departments) records are in over twenty record groups at National Archives and Federal Records Centers around the nation. There are, for example, separate recorded groups for the records of OSD, DNA and its predecessors, the Defense Intelligence Agency, U.S. Air Force Headquarters, non-headquarters Air Force commands and units, and the Secretary of the Air Force. Some of these collections total many thousands of feet of records, while others have only several hundred feet. The availability and quality of inventories and indices to these collections vary widely. 5 Records of DOD are also still with the offices, commands or units which generated them; a central library; a history office; or storage facility. With the exception of holdings at libraries, there are generally few, if any, inventories or indexes to these collections. B. Document Retention/Destruction Policies and Practices The various components of DOD through the years have destroyed records pursuant to Records Retention and Disposition Schedules. These have often been promulgated in conjunction with the National Archives. The January search guidance did not seek information on historic document retention policies and practices. (When asked, DOD components have stated a willingness to provide this information.) In the May 20 meeting DOD noted that with respect to individual medical records of service members and dependents, by longstanding regulation, "non-standard forms are removed from the record." The Navy reported that its July 1985 document destruction policy provided that: (1) Medical and dental research and development project files as well as preliminary, interim, and final reports are retained permanently (although transferred to Federal Records Center and ultimately the National Archives); (2) Supporting records (excluding reports) are transferred to the Federal Records Center after five years, and then destroyed after ten years; and (3) Non-record copies of research project files are destroyed after five years, or project completion, whichever is later. The Navy is researching document retention and destruction policy prior to 1985. The reports filed by individual services identified some specific collections which have been destroyed. Thus, for example, DNA reported that contract files transferred to the Washington National Records Center (which contains a limited number of retired records of DNA's predecessors) were destroyed in February 1990 in accord with the records disposition schedule. The Navy reported difficulties in locating records for the years 1944 to 1970. It reported that the retention and destruction policy(ies) for this period is not clear. For example, searches of the Naval Radiological Defense Laboratory's records at the Federal Records Center and National Archives at San Bruno failed to reveal copies of NRDL technical reports. The Navy states that galley proofs for many of the reports may have been retained in the NRDL technical library, but disposition of the library collection upon the 1969 closing of the lab is unknown. 6 Similarly, the Navy reports that it has been unable to locate files for the Research Division of BUMED at the Suitland Federal Records Center. (The Division was disestablished in 1974, upon the establishment of the Naval Medical Research and Development Command.) Search for these files is ongoing. IV. DESCRIPTION OF DEPARTMENT OF DEFENSE SEARCH A. Guidelines/Logic On January 7, 1994, then-Secretary of Defense Les Aspin appointed Harold P. Smith, Jr., Assistant to the Secretary of Defense for Atomic Energy, as the "DOD-wide focal point for the review of human radiation experiments... [and] directed that no records of human radiation experiments be destroyed." On January 31, 1994, Assistant to the Secretary Smith issued a memorandum on "Locating Records of DOD Human Experiments,"4 {4 The memorandum was transmitted to the Secretaries of the Military Departments, Chairman of the Joint Chiefs of Staffs Undersecretaries of Defense, Director, Defense Research and Engineering, Assistant Secretaries of Defense, Comptroller, General Counsel, Director, Operational Test and Evaluation, Assistants to the Secretary of Defense, Director of Administration and Management, and Directors of the Defense Agencies.} which was accomplished by a more detailed description of search guidelines. The January 31 memo stated as an immediate term (by February 28) goal a two part report. The first part was to provide the "the identification of DOD organizations [that] might have conducted or sponsored human radiation experiments, together with an identification of the archives or records centers...and a description of the steps taken to search those records." The second part was to identify "each possible human radiation experiment and the location of records regarding each such experiment." The memo further stated that guidance on record retrieval would follow at a later date: "[a]t present, the requirement is only to identify them in the requested report and to assure their preservation." B. Experiment Definition The definition of experiment tracked the definition adopted by the Interagency Working Group. In addition, however, DOD's January 31 guidance specifically noted that radiation exposure from "atmospheric nuclear tests and Hiroshima and Nagasaki occupation" are excluded from the scope of the records identification process. Thus, for example, searches were evidently not conducted for epidemiological or other follow-up studies of those exposed to atomic bomb tests. DOD states that these nuclear weapons tests and experiments are covered under the Nuclear Weapons Test Personnel Review Program (NTPR). The NTPR has been ongoing since 1978 and has identified over 400,000 affected individuals. 7 As stated previously, at the June 3 meeting, DNA informed Committee staff that it had not searched for intentional releases. C. Search Organization/Staffing The search efforts are under the overall direction of Dr. Gordon Soper, Principal Deputy to Harold Smith, Jr., Special assistant to the Secretary of Defense for Atomic Energy. Each component requested to submit a report must identify a search coordinator, who assumes responsibility for the accuracy and completeness of reports. After initial meeting(s) attended by representatives of all addressees of the January 31 letter, DOD activities were narrowed to those parts of DOD which were likely to have been involved in experimentation--i.e., representatives of the four services and DNA. DOD created a Radiation Command Center (located near the Pentagon) to coordinate the receipt of radiation experiment data. The Command Center, under the direction of Admiral Dennis Wisely and Colonel Claud Bailey, is supported by contractor staff. The database which the Command Center is creating will capture information requested by the January 31 human experiment search directive. At the May 20 meeting DOD representatives indicated that there are no uniform records of person-hours and skill mixes devoted to search efforts. The Army stated that about 120 people had been called on. However, it did not have documentation of the percent of time worked by these people and/or the cumulative time worked. In many cases the assignments appear to be in addition to other work assignments given to individuals. The Navy reported that 2,000 person- days had been devoted to the search. DNA indicated that about 500 headquarters related hours (including contractors) had been devoted. D. Use of Historians Official Histories Published Literature and Interviews The use of historians, official histories, published literature, and interviews varied among organizational components. A number of search components relied on the Defense Technical Information Center (DTIC). DTIC's holdings include a wide range of technical reports and research reports generated by or for the DOD since the late 1940s, including those relating to biology and medicine. DTIC's computerized database contains reports provided since 1972. (DOD notes that some reports relate to research performed earlier.) The Navy said that a DTIC key word search identified 3,600 titles for review. Review of abstracts and articles identified six experiments sponsored by the Navy. The Navy said that it also reviewed index cards for prior periods. The Navy also queried Medicus Indicus. 8 The Air Force reported that the librarian at Armstrong Laboratory performed a manual search of DTIC entries beginning in 1940. The Air Force engaged the Air Force Historical Research Agency at Maxwell AFB to perform an historical review, including a review by the School of Aviation Medicine's unit histories. Navy representatives noted that the Navy does not have historians on the scale of some other services. However, a Navy review of a BUMED history revealed that in 1932 BUMED sought, and received, approval for a (submarine-related) experiment, with the understanding that all subjects should be informed volunteers, that the protocol should be approved in advance, and that every precaution should be taken to prevent accidents. The DNA assembled a group of a half dozen "graybeards," and interviewed them as a prelude to the search. (DNA stated that the interview was not conducted in a classified mode, and interviewees were not specifically asked about classified experiments.) The Navy reported that in regard to BUMED, "key researchers, both active duty and retired, were questioned concerning research activities at various commands and documentation practices from 1944 to the present." (p. 4) AFRRI interviewed a former director and a former dosimetrist. The Air Force conducted a videotaped interview of Colonel John E. Pickering (Ret.), a former chief of the Radiation Sciences Laboratory (RSL) at Brooks AFB, and several further interviews. E. Classification The January 31 guidance stated that: The Interagency Working group has established the policy that agencies should, upon locating records of human radiation experiments within the scope of this records search, review the records for national security classification and should declassify such records as soon as practicable and to the maximum extent possible. F. Interagency Coordination The Air Force reported that it searched records of its radioisotope committee, which evidently was limited to AEC material going back to 1958. Similarly, the Navy reviewed its records of license activities. These services will be/are seeking DOE/Nuclear Regulatory Commission (NRC) records for periods not covered by their own records and to cross-verify searches. In addition, the Navy asked the NRC to identify the location and number of licenses and protocols used in investigational pharmaceutical. (The Navy reports that from 1963 to 1975 NRC reviewed and approved such protocols.) 9 G. Results of the Search to Date The January 31 Guidance called on DOD components to report back by the end of February on their efforts. In addition to reports submitted in this time frame, the Services (save the Marines), and DNA are engaged in periodic follow-up reporting. June 1 was the target date for completion of Phase l. (1) Army: On February 28, the Army reported that it had identified 30 experiments, and that records searches were still underway. The February 28 report did not further articulate the Army's search logic to the extent the search logic was articulated by other reporting entities.5 {5 At the May 20 meeting, Staff queried the Army about the use of the 1975 Army Inspector General Report on Army drug experiments as a roadmap for the Army search. That report, as discussed at the Second Committee meeting, contains a detailed discussion of the Army's implementation of Secretary Wilson's 1953 guidance on the use of human volunteers. The Army had not undertaken to search for materials identified in the report. However, the Army representative indicated that materials identified in the report would be pursued.} (2) Defense Nuclear Agency (DNA): On February 28, DNA reported that its search was ongoing and that it had located 11 "possible" experiments. DNA stated that its search strategy "has been to conduct a search of its two principal repositories--the DNA Technical Library and the DOD Nuclear Information Analysis Center." The former is said to include the records of reports produced as a result of the DNA research development and test program. The latter is a "comprehensive collection of technical reports relating to nuclear weapons effects research, development, and tests." DNA also reported a search of "Acquisition Management Files" to identify contracts which might have involved human radiation experimentation. "The search consisted of a review of contract log books, covering contracts back to 1958." (DNA is providing Committee staff with copies of the log books.) While AFRRI was transferred out of DNA in 1993, DNA submitted AFRRI's contribution. In addition to a search of DTIC's holdings, AFRRI reviewed Annual Historical Reports (1965-1993), Scientific Reports (Oct. 1965-1993), Technical Notes (Oct. 1965-1993), Contractor Reports (Nov. 1965-1993), AFRRI contracts involving humans/human tissues (1989-1993), and AFRRI Board of Governors Meetings (March 1961-1993). DNA/AFRRI do not presently know why the report series located is dated to 1964 or 1965, while the Board of Governors materials dated to 1961. At the June 3 meeting with staff, DNA explained that the search of some of its predecessors' records at the Washington National Records Center in Suitland, MD was actually conducted two years ago for the NTPR program. DNA said it did not review these records again in connection with the Advisory Committee's/Interagency Working Group activity. 10 Prior to the meeting, DNA had not sought to identify potentially relevant collections maintained by the National Archives or other Federal Records Centers. DNA sent a memo to all field offices and commands to see if they could find information. The response from the field command was negative. Some headquarters responded, and some did not. The contracts office and General Counsel and Library responded. DNA interpreted no response as a negative response. At the June 3 meeting, Committee staff asked about the organizational component which would have managed the "Cincinnati experiment" (and other DNA-funded or -sponsored total body irradiation experiments). DNA does not presently know where, if they exist, they are. (3) Marine Corps: On April 11, the Marine Corps reported that it had located one experiment in which a marine may have participated, but that the experiment appeared to have been sponsored by another service. It reported that it did not plan further "broad-based research."6 {6 The Marine Corps located 511 cubic feet of data from the 1945-1964 time period which is classified as "Restricted Data," indicating that these documents concern one or more aspects of nuclear weapons and atomic warfare. "Data which was related to atmospheric testing and studied under the umbrella of the 1978 Nuclear Test Program Review (NTPR) was considered beyond the scope of this study." The Marine Corps reported that it found fifteen other "Restricted Data" files not previously reviewed in the NTPR search, which it reviewed page-by-page.} (4) Navy: On April 11, the Navy reported that 669 studies had been identified. (In a May 31 telephone conversation, the number was reported to be at present closer to 800.) Of the 661 identified by BUMED," only 12 have been for military applications; the rest are for clinical research. No evidence has been found of secret human testing or use of other than volunteer subjects." The Navy reported specific searches regarding: (i) The Naval Medical Research Institute (NMRI) whose Radiation Technology Division did basic radiobiology work and support work for atomic weapons testing, from the early 1940's until about 1960. (ii) The Naval Hospital in St. Albans, NY which was the major Navy cancer treatment center on the East Coast from the late 1940's through the early 1960's. St. Albans was disestablished in 1973. (iii) Naval Medical Research Unit No. 3, Cairo, Egypt. (iv) The National Naval Medical Center, in Bethesda, Maryland, which installed a small reactor in the early 1950's to manufacture radio pharmaceutical. 11 (v) The Naval Hospital Chelsea/Naval Blood Lab, which was disestablished in approximately 1968. This work is now performed under contract to Cryopharm Corporation and St. Elizabeth's Hospital, Boston. (vi) Naval Hospitals in San Diego, Oakland, Philadelphia; Portsmouth, and Great Lakes. (vii) Naval Dental Research Institute, Great Lakes; Naval Aerospace Medical Research Laboratory, Pensacola; and the Submarine Medical Research Laboratory, Groton. (viii) Naval Medical Research Unit No. 2 (Taiwan). (ix) Naval Radiological Defense Laboratory (NRDL). The Office of Naval Research (ONR) conducted a review of ONR card files, listing the title of research grants, the institution which received funding, and the year of the grant. "More complete records are not available, as ONR records dating back more than twenty-five years were destroyed." The Navy blood lab has reviewed its records. The Navy does not know about other contractors. ONR "has positively identified four research contracts which positively involved human radiation research." Another 14 university contracts with potential experiments were identified. In general, according to the Navy, the searches for these institutions included a key word search of DTIC, querying the National Archives and Federal Records Centers for holdings; manual searches of records at the Federal Records Centers and National Archives at San Bruno and St. Louis7; {7 The Navy reported that the archive searches were difficult and time- and labor-intensive. The San Bruno search (approximately 200 cubic feet of records) took 12 person-days and yielded only 500 pages; including several 30-50 page reports. The 8 person-day search at St. Louis yielded approximately 150 pages of material.} literature search by author (using Medline and Medicus Indicus); manual search of Navy radioisotope license files; reviews of curricula vitae; manual searches of hospital spaces for records; searches for experiments (five calls) from the DOE Hotline; and interviews. (5) Air Force: The Air Force reported that its search encompassed the following organizations: (i) Human Systems Center, Brooks Air Force Base (including predecessor activities). The School of Aviation Medicine was located at Randolph AFB from 1944 through 1959, then transferred to Brooks AFB. In 1961 it was renamed the School of Aerospace Medicine. In 1990, the organization was split into the School of Medicine and the Armstrong Laboratory, which has facilities at Brooks AFB and Wright-Patterson AFB, Ohio. 12 The Air Force reported that an Advisory Committee on Human Experimentation existed from 1965 on. A search of that Committee's files revealed: "Several protocols were found...generally involving isotopes for metabolism studies. Most study populations were small (10-30) and were selected from basic trainees at Lackland AFB and some on-base personnel. Some contract studies, involving larger populations, were found which generally involved cancer patients at large civilian hospitals. These contract studies were performed to evaluate the radiobiologic effects of total body irradiation being used as part of cancer therapy. Other large studies were generally Phase III evaluations of what are now accepted diagnostic procedures (i. e., coronary fluoroscopy)." (ii) Air Force Material Command (AFMC). AFMC reviewed historical records of the USAF Radiological Health Laboratory at Wright-Patterson AFB. (AFMC also has responsibility for the Phillips Laboratory at Kirtland AFB, New Mexico - Phillips Laboratory includes the former Kirtland Special Weapons Laboratory.) The search revealed a single clinical investigation at Wright-Patterson; however, further clinical investigations at Wright-Patterson were found through a search of the Surgeon General's Office files. (iii) The USAF Surgeon General. The USAF Surgeon General reviewed 1,200 clinical investigation microfiche files relating to field locations (Travis AFB, Lackland AFB, Keesler AFB). The Air Force reported: "Several studies have been identified which involve ionizing radiation in metabolic studies, nuclear medicine tracer studies and x-irradiation employed as part of study protocols. Most of these records include a complete protocol description, applications for amendment to the facility AEC license, approval letters, progress reports and sample informed consent documents. The number of study subjects is generally available from a review of the progress reports; however, with rare exceptions, the SG files do not contain a copy of signed informed consent from study participants... in most cases the facilities have been unable to locate the files. Facilities which have found records generally have no more information than that found in SG files." The Air Force further stated that it had found the sample consent document for most of the experiments dating from the late 1960's. "Copies of signed consent documents from the late 60's up to the late 70's were filed in the subject's medical records. We were unable to locate these documents without the name of the subjects." (iv) Armed Forces Epidemiology Board Archives. The Air Force historians noted a reference to "a radiation and infection commission in the mid 1960's. The Air Force reported that the commission "apparently reviewed outcomes of patients who received radiation as part of therapy," and that the patients were from a hospital in Oak Ridge, Tennessee. The Air Force concluded, however, that the studies were conducted under the Army Medical Research and Development Command, and that there was no Air Force involvement. 13 (v) Geophysics Laboratory, Hanscom AFB. Four of the intentional releases identified in the Committee's charter were atmospheric tracking tests conducted at Los Alamos in conjunction with the predecessor to the Geophysics Laboratory (Cambridge Research Laboratory). The Laboratory reported a single study which was declassified in 1960, but the search is continuing. (vi) Air Force Intelligence. The AF reported that it only identified one study--Green Run. The AF reported that the study was classified as "secret," but stated that the classified portion "does not involve any aspects related to health risk appraisal." The AF has told staff that it will not declassify the remaining portion. H. Contractors/Grantees Records The January 31 guidance stated that when DOD "determines that records of [an experiment] may be in the possession of a contractor or grantee... the [DOD] organization must document the nature of these records and make plans to pursue retrieval. The organization should attempt to find the governing contract or grant documents... and should obtain the assistance of the Organization's Staff Judge Advocate General or legal counsel to determine rights and obligations pursuant to the governing documents. These activities should proceed on an expedited basis." As noted above, some of the organizations reported that further searches had been requested of grantees/contractors. On June 3, the Navy reported that all but one institution has responded to ONR's request to search their records. I. Evaluation of Calls Referred to DOD by Department of Energy l-800-HELPLINE The Marine Corps reported that both DOE/DOD hotlines have been conducted by former/retired Marines (or dependents) who "believed they have information on human radiation experiments." While the April 11 Marine Corps report stated that no incident had been confirmed "based on inquires to DOD/DOE hotlines, it is very likely that former Marine personnel may have been involved in Non-Marine Corps sponsored human radiation experiments." The Marine Corps reported that the single experimental data it had to report came from the DOD Hotline. A retired Marine Corps Master Sergeant reported that during Navy-sponsored training in the 1970's "radium was placed inside the anti-exposure suits" and "a part of the training others were supposed to locate the radium." (The Marine Corps reported that the individual's military record, "the only known record that might contain pertinent information," was being retrieved.) 14 V. LESSONS LEARNED Ethics Codes: The DOD search has shown that DOD possessed formal policies for human experimentation earlier than many might have expected. The Navy provided formal policies dating back to 1951, as well as evidence of earlier rules or codes. DOD provided a February 1953 directive from the Secretary of Defense which, in essence, set forth the Nuremberg Code as the guide for human experimentation. Headquarters Search: DOD acknowledged that its initial search had been directed at identifying organizations which conducted experiments. DOD acknowledges that, as advised by the Committee staffs it would be useful to focus on headquarters offices and organizations that may have coordinated, directed, managed, and/or utilized data from experiments. Classification: The military services indicated that only a limited amount of data related to the experiments located to date appeared to be classified. However, as noted previously, the Air Force has indicated that it will not further declassify the "Green Run" study it had identified; the presently classified portion might contain data on responsibility for the experiment and its purpose. The June 3 discussion with DNA indicated that information regarding intentional releases and radiological warfare experiments will likely present substantial declassification questions.8 {8 It was noted that in some cases declassification could be slowed because other agencies need to review certain classified information in a document. For example, DOD stated that it would require DOE approval to declassify a reference to plutonium in one document.} It also appears that classification questions may be more significant when headquarters policy documents are involved. Search Effort: The Navy and Air Force reported some searches at National Archives/Federal Records Centers. These efforts provided an indication of the labor intensity of box-by-box searches and the difficulty of finding particular records. VI. STAFF OBSERVATIONS ABOUT THE DOD SEARCH Headquarters Search: As noted, Staffs fundamental question concerned the failure to identify documentary resources maintained by OSD and (in some, but not all, cases) other policymaking, coordinating, funding, research utilizing offices (or committees, divisions, etc.) This development may reflect an initial Interagency Work Group search strategy directed at identifying experiments, which can now be built upon by a complementary search for headquarters/policy/coordination documentation. 15 The Ethics Code Trail: The value of a Headquarters' level search is illustrated by the DOD's provision of 1951 (and perhaps earlier) Navy and 1953 DOD research ethics policies. These policies raise a number of basic and interesting issues (e.g., what events precipitated the need for the policies, were they actively. implemented and, if so, to what experiments did they apply?). Documentation now indicated that the 1953 policy was preceded by extensive discussion of the Nuremberg Code within DOD, and that, at least in regard to the Army and Navy, documented sign-off on proposed experiments has been required for four decades or more. Further documentation indicated consideration of human experimentation protocol during World War II (by the committee on Medical Research). Exploration of the documentary trail to/from the ethics policies should lead to documents that bear directly on both experimental context and the location and nature of further experiments. Agency Historians: DOD is an agency with a rich tradition of historians and historical documentation. While some of the reporting components indicated that they consulted agency historians, this remains to be done on a systematic basis. (For example, the historian's office of OSD was evidently not contacted until recently.) In addition to the historians, DOD histories have not yet been systematically mined for background and directly relevant information. Work Done By Others: In the May 20 discussion it was indicated that DOD organizations have occasionally relied on work done by other agencies or their contractors (most likely including the AEC/DOE). DOD search groups, however, do not appear to have clearly identified non-DOD agencies as a potential location of work they have sponsored. Similarly, the reports do not appear to have identified experiments conducted by other agencies (and/or their contractors) on DOD's behalf. VII. STAFF RECOMMENDATIONS DOD has indicated to the Committee and to Committee staff that it seeks advice regarding the direction to be taken in Phase II of its search. The following recommendations (which, of course, are options subject to Committee review and redirection), in staffs view are consistent with discussions between DOD and Committee staff The options that follow include suggestions for (a) Committee advice/direction to DOD; and (b) Committee direction to staff In each case, it is expected that the implementation of the option would be subject to discussion with appropriate DOD staff and under the direction of the appropriate Committee Subcommittee. Committee Advice/Direction to DOD: OPTION ONE: Develop and implement a strategy for a systematic identification and search of OSD and other headquarters level policy/coordinating/funding organizations. 16 OPTION TWO: Develop and implement a strategy for expeditious retrieval of documents located at Federal Records Centers and National Archives (including, where not already performed, the location of relevant document collections). As noted previously, the Navy and Air Force report efforts which should be of value in structuring future archival/records center searches. OPTION THREE: Identify and retrieve documents related to ethics codes; including documents leading to and implementing the 1953 OSD memorandum, and agency specific guidance. OPTION FOUR: Retrieve documents identified by contractor organizations. OPTION FIVE: To the extent not previously encompassed in the search, identify possible experiments conducted by other federal agencies (or their contractors) for DOD. OPTION SIX: Provide that DNA shall perform a search that encompasses intentional releases. OPTION SEVEN: Continue to seek coordination with other agencies, particularly in regard to AEC/NRC licensing data. Committee Direction to Staff: OPTION EIGHT: Staff recommends that the Committee direct it to continue meetings with DOD components and historians, towards implementation of options and refinement of search. OPTION NINE: Staff recommends that the committee direct it to work with DOD staff on alternatives for continued searches related to experiments that have been identified. 17 OPTION TEN: Staff recommends that the Committee direct it to work with DOD staff on best alternatives to provide expeditious declassification of human experiment related material, and means for accessing materials that remain subject to restricted access. OPTION ELEVEN: Staff recommends that the Committee direct it to continue to obtain from DOD, through the Radiation Command Center where available, documents identified in the DOD search. 18 TAB K Staff Memoranda--Follow-Up Reports: Department of Energy Department of Health and Human Services DISCLAIMER The following is a staff memorandum or other working document prepared for the members of the Advisory Committee on Human Radiation Experiments. It should not be construed as representing the final conclusions of fact or interpretation of the issues. All staff memoranda are subject to revision based on further information and analysis: For conclusions and recommendations of the Advisory Committee, readers are advised to consult the Final Report to be published in 1995.