ATTACHMENT 1 11 July 1994 PROCEDURES IN SUPPORT OF THE HUMAN RADIATION RESEARCH INFORMATION RETRIEVAL PROGRAM I. INTRODUCTION: On January 31, 1994 following the announcements of Secretary of Energy, Hazel O'Leary, a memo was received, from the office of the Assistant to the Secretary of Defense (Atomic Energy) (ATSD(AE)), directing the Services, various departments and Defense Agencies to begin locating records concerning DoD human radiation experiments. As directed, on February 14 and February 28, 1994 the Defense Nuclear Agency (DNA) supplied an initial and final report, respectively, indicating all the human radiation experiments DNA or its predecessor organizations had supported/funded. The President has established an Advisory Committee on Human Radiation Experiments (ACHRE) to further investigate the human radiation experiments (HRE), which took place during the Cold War era. Members of the staff of the ACHRE met with DNA on June 3, 1994, to provide guidance concerning what they were looking for and what they expected DNA to do in order to meet their requirements. The following paragraphs outline the procedures for the Human Radiation Research Information Retrieval (HRRIR) that will be used in this documentation search. DNA is conducting an extensive and thorough search of all its in-house and archived documents. A copy of any documents, letter, memo report, etc., determined to be related to human experimentation, including policy, budget, organizational material or material that is otherwise responsive to ACHRE desires, will be forwarded to ATSD(AE) for transmittal to the ACHRE. It is important to note that all personnel involved in the search of documents, throughout DNA have been instructed to forwarded any relevant item to the review team. 1 II. INFORMATION RETRIEVAL PROCEDURE: An information retrieval procedure (IRP) has been created to provide a structured approach to the search for HRE related documentation. A detailed checklist and flow chart for this procedure is found in Appendix A and B respectively. It is also vital that accurate records be maintained on all DNA archival and in-house records that are reviewed for relevance in response to the requests from the ACHRE. Some 2500 boxes (2000 cubic feet) of DNA archival records are maintained at the Washington National Records Center (WNRC), located in Suitland, Maryland. Another estimated 500 cubic feet of documents are resident at the National Archives and Records Administration (NARA) located in downtown Washington, DC. Documents in each box are divided into file folders, which are stamped with the appropriate security classification. There are also in-house files located on-site at Headquarters DNA and Field Command DNA. An in-house search has already been implemented for all on site documents as well as the contents of the DNA Technical Library. Conference Room A/C will be used for work space for reviewing documents and the conference room, located in the Operations Center, will be used for documentation control and temporary storage of boxes coming from or going back to the WNRC. Documents at NARA, because they are no longer owned by DNA, can only be reviewed (and copied) on-site at NARA (NARA procedures are in Appendix C). Quality Control (QC) checks will be performed at specific points in the procedure to ensure the training of the searchers is sufficient and that nothing is overlooked. These QC checks are discussed in more detail below. A. Prioritization and Ordering: The search of the WNRC documents will begin with a review of the Standard Form (SF 135s, which outline the contents of the boxes by accession number. SF 135s vary in how detailed they describe the contents of boxes and they may be more than one box associated with each accession number. The information contained in the SF 135s will allow us to prioritize the ordering of the boxes from the WNRC. All boxes will be prioritized into three categories. Group 1 will include all boxes that are judged to contain 2 or probably contain material of interest to the Human Radiation Experimentation Information Recovery effort. Group 2 will include those boxes that may possibly contain material of interest, or which have inadequate finding aids, and therefore the appropriateness of the contests cannot be determined without an open box inspection. Group will include those boxes that appear not to contain material of interest to the effort. Examples of group 3 boxes are those that contain Joint Task Force records, student training records, base personnel/administrative records, information on weapons development, operations, or maintenance. The highest priority boxes will be ordered first, and within a given priority, the oldest boxes will be ordered first. A 100% quality control check will be performed on this prioritization process, and the highest priority will be applied to the box. B.Documentation Control (Operations Center Conference Room): Boxes identified, during the prioritization process above, are requested by record group, accession, box, and the records center location number on the SF 135s from the WNRC using the Optional Form 11 by Documentation Control (IMAS) or, at NARA, using the Accession Number Master List (01). The forms can be either faxed, mailed, or hand delivered to the WNRC and will all be flagged "EXPEDITE." Documentation Control is also responsible for logging the accession/box numbers and date for every box which comes into DNA and then logging the date when it is returned to the WNRC. Boxes will be ordered in groups of approximately 100. It takes 24 to 48 hours for the WNRC to prepare orders of this size for pick-up. Two DNA personnel (one from IMAS and one summer hire) will transport the boxes using one of the DNA vans. In some cases boxes may arrive without SF 135s. Once the Boxes arrive at documentation control, several things occur. Boxes are first checked against an Optional Form 11 (WNRC receipt for the boxes). The retrieval team examines the contents of each box and any inventory material contained. In addition, a form {Records Transmittal and Receipt Data Entry (RT/RDE) Form Appendix D} is filled out for each incoming box. The team enters one or two sentences on the form describing the entire contents of 3 the box. this same information is entered into the computerized database. Each box will receive an open box inspection to determine if it needs to be searched. This open box inspection will be performed by an individual who has been trained and is experienced in searching boxes for information. If the initial open box search determined that the box contains relevant material, the box is sent to conference room A/C for a detailed search. If the initial open box search determines that the box does not require a detailed search, the box will receive a second open box search by a different individual. If the second individual feels the box requires a detailed search, it is sent to conference room A/C. Only if the second individual agrees that the box does not require a detailed search is the box closed and returned to the archive. C.Documentation Review (Conference Room A/C): The review team's job will be determine the relevance of each document and decide its disposition. members of the review team are provided an HRRIR Search Guideline Book (this book) which contains information to assist the reviewers in their search to identify HRE related documents. members of the DNA staff have been assigned full-time for document review. Each has education and training relevant to this search. Each box that is brought to the Document Review Room will be thoroughly searched using the key phrases provided in Appendix E, and the Research Categories provided in Appendix F. Any documents found that are relevant to HRE will undergo the following procedure. An Archival Data Base Form (Appendix G) will be filled out as completely as possible and will accompany each relevant document to record its title, authorship data, category of the document (i.e. policy, budget experiment, etc.), classification (initial and final), other potential sources/references, and abstract and comments section, and the documents resulting disposition. All boxes searched are subject to a second quality control review, to be performed as a random check (at least 20% of the boxes that enter the Document Review Room will be reviewed a second time), before 4 a final disposition is recorded. All relevant documents are then tagged for reproduction. If a reviewer is uncertain about a document, a second reviewer will examine it. At the end of the each shift, the review team will meet to assess the shift's progress and share their findings. They will also make any final decisions concerning the relevance and/or disposition of any document which an initial and secondary reviewer cannot agree on. Al original documents will remain with the box and in the same order in which they arrived. The box, if it has only unclassified documents that have been tagged as being relevant to HRE, will be forwarded to reproduction. All boxes not containing HRE relevant documents will be sent to Documentation Control to be logged out and returned to the WNRC. Boxes that contain classified documents that have been identified as relevant to the HRE effort will be sent for classification review. D.Reproduction: Only boxes containing relevant HRE related documents will be forwarded to Reproduction. Two copies will be made of all the documents tagged by the review team; one to be forwarded to the ACHRE via ATSD(AE) and one will be maintained at DNA as part of the new HRE section in the DNA Technical Library. The Archival Data Base Form may also indicate other offices which should be sent a copy of the document. For example, a copy of an Army document will be sent to the appropriate office which is coordinating the Army's search for HRE related documents. Original documents will then be returned to their box. The copies (with the Archival Data Base Form) will be sent on to Distribution. If the document is classified, the copies must be controlled in accordance with the same procedures as the original. The box, with the original documents, is then sent to Documentation Control to be logged out and sent back to the WNRC. E.Classification Review: Relevant but classified documents will undergo a classification review to determine if they can be declassified or have the relevant sections declassified. Declassification 5 is the determination that classified information no longer requires, in the interest of national security, any degree of protection against unauthorized disclosure, together with a removal or cancellation of the classification designation. The process begins with an in-house review by the declassification analyst who will determine if the document or the relevant sections involve another Government agency. If the document has information, which must be reviewed by another Government office for declassification purposes, then the document will be forwarded to that office's HRE point of contact with instructions for it to be returned to the Radiation Experimentation Command Center (RECC) after their review is completed. If the document can be reviewed for declassification in-house, Classification Review will contact an appropriate subject matter expert and have the document reviewed concurrently along with their own review. The final classification of the document is noted on the Archival Data Base Form and the copies of the document and the Archival Data Base Form are sent to reproduction. A copy of all classified documents will also be forwarded to the RECC. TS documents require special access control cover sheets. If the classification review determines that a TS classification is no longer required, then the document must be sent to Documentation Control so that it may be removed from their TS control log. There are several individuals trained in declassification analysis at DNA. F. Log In: A data base has been created to store information about every document forwarded to the ACRE via ATSD (AE). Log In, then records the information from the Archival Data Base Form into a file in the data base and the data sheet is then filed after a copy is made for Distribution. The copies of the document will then be sent to Distribution (with the copy of the Archival Data Base Form). Initially, one individual (summer hire) will be trained to perform this task. Periodic audits of the data base will be performed as a quality control clerk. 6 G. Distribution: Distribution will prepare the copies of the documents according to the recommendation on the Archival Data Base Form. Documents being sent to the RECC will undergo a quality control check to ensure the Archival Data Base Forms are filled out correctly and completely. These documents are to be collected for a weekly delivery (every Wednesday). For documents, both classified and unclassified, being forwarded to another Government office, address labels will be created and provided to the mail room. The extra copy of the Archival data Base Form is then destroyed. III. OTHER HER ACTIVITIES: A. In-House Review: The review of DNA in-house documents will be performed by each directorate, with each division responsible for the review of its own files. Possible relevant documents will be copied and forwarded to the HRR review team for final review and disposition. Search procedures will be furnished to each directorate to provide guidance to those who are searching division files. This procedure will outline records keeping formats that should be used so that we will have an accurate picture of what files have been searched. Copies of all possible relevant documents are then forwarded to the review so that they may be reviewed as to their relevance to human experimentation. The originals should be returned to their original locations. Those documents found to be relevant will be logged into the data base. Each directorate will keep track of its divisions progress. Once all the files in a directorate have been searched, that directorate will notify the review team that it has completed its search. B. HRE Action Item Management: The Radiation Sciences Directorate (DFRA) has initiated a series of weekly meetings to discuss and respond to HRE taskings received from ACHRE and from ATSD(AE). Weekly HRR meetings are chaired by DFRA, and are attended by 7 representatives from DNA directorates and separate offices. DFRA maintains liaison with FC(DNA) on HRE tasking issues. Minutes of the weekly HRR meetings are prepared and distributed to heads of all directorates and separate offices, including FC(DNA). When an HRE tasking is received by DNA, action items are identified by DFRA and placed on a Master List of Action Items. An office, or offices, of primary responsibility (OPR) is identified for each action item on the Master List by participants at the weekly HRR meeting, and an action item completion date id determined. The OPR is responsible for collecting all materials and information needed to complete the action item, and, if necessary, for drafting DNA's response back to the ACHRE for that action item. DNA forwards HRE tasking materials to ATSD)AE) on a weekly basis, if available. All materials collected in response to action items are forwarded by OPRs to DFRA by noon on Tuesday for submission to ATSD(AE) by Wednesday close of business of that week. DFRA integrated all materials and drafts a forwarding letter for DIR signature. The forwarding letter identifies materials being transmitted and includes an attachment identifying the status of each DNA action item. For outstanding action items, OPRs have been requested to advise DFRA on a weekly basis of the status of the action items, and to request adjustment of action item completion dates if necessary. C. Record Keeping for HRE Records Search: The purpose of the records of the HRE search is to document the breadth and comprehensiveness of the search efforts as well as the identification and description of the subject matter located. Well kept comprehensive records of the search will ease the burden of subsequent searches of the record for other materials. As part of good record keeping procedures one maintains a search report. The search report identifies the set of records to be searched; the details of the method employed i.e. computer search, catalog search, review of individual records, or some combination. The report will describe the search logic to include the search terms, subjects, key words, identifiers, etc. The next lower level report, the box report, will identify the subset of the records, the date the search was completed and the names of the box reviewers. The results of the comparison 8 of the box contents with the finding aids (a copy of the finding aid should be appended to the box) is described along with a brief narrative of the search results. A file report should be used to describe each file examined in a manner suitable for entry into a computer data base with the locator information, date of material, to/from, subject, brief description and an assigned category. If individual files are large and disparate, they may be described as separate subfiles. Finally, in a find report each item located which matches the search parameters shall be reported in a summary for entry into a computer data base. For our purposes the data sheet described in the Information Retrieval Procedure above will be used to record this information for HRE related documents. Information recorded should include as much of the following data as available: A complete identification an d locator information, brief narrative description including date and location of the experiment/event, number of subject, nature of informed consent, performers, performing organization(s), contract or fiscal data, and bibliographic or reference citations. D. Coordination With Other Agencies: During the records search effort, any documents that may be of potential interest to other DoD components will be identified by the records searchers and entered into the HRE data base. The documents will be copied, and the copies will be to the individual responsible for assembling and forwarding HRE documents to ATSD(AE). That individual will contact the DoD HRE Steering Group representative for the DoD component to which the document may be of interest, and coordinate transfer of the document. E. DNA Annual Historical Reports: DNA Annual Historical Reports are listed by DTL number identification and are all titled. Reviewers simply need to charge out the document from the Technical Library. Most have indices. Relevant pages will be tagged for reproduction and/or classification review. Once the review is completed the document need only be returned to the 9 Technical Library for storage. The DNA Annual Historical Reports will be the first documents examined by Documentation Review. 10