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ID TYPE | CODE |
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U.S. Social Security Number | SSN |
Passport Number | PPN |
Canadian Social Insurance Number | CSI |
Work Permit Number | WPN |
INDEX Identification Number | IND |
Other | OTH |
The use of licensee-generated identification numbers should be avoided whenever possible.
The preparation of NRC Form 5 with the information clearly and legibly shown, or the collection of all the information requested by NRC Form 5 using paper or electronic media (see Appendix A), is required by 10 CFR 20.2106. Such a record must be maintained for each individual for whom personnel monitoring is required by 10 CFR 20.1502. In addition, certain classes of licensees report the results of this monitoring to NRC pursuant to 10 CFR 20.2206 either by submitting copies of NRC Form 5 or by transmitting the required information to NRC through electronic media. This report is filed annually. Instructions and additional information pertinent to each item are contained on Form 5.
Further guidance on interpreting the results of multiple dosimetric devices placed at different locations within a single dose category is provided in Regulatory Guide 8.34, "Monitoring Criteria and Methods To Calculate Occupational Doses."
Licensees are required by 10 CFR 20.2106(a)(6) to record the total organ dose equivalent (TODE), which is the sum of the deep dose equivalent (DDE) and the committed dose equivalent (CDE) to the organ receiving the highest dose. Organ doses need not be calculated if the committed effective dose equivalent (CEDE) does not exceed 1 rem and there are no overexposures in any dose category within the monitoring year, including doses previously reported by other licensees. In this case, the licensee may record "NC" for "Not Calculated" in items 16 and 18 on NRC Forms 4 and 5. If during the course of the year the dose to date for the year exceeds 1 rem CEDE or the individual receives an overexposure in another dose category, the CDE to the maximally exposed organ must be calculated, recorded, and reported. When CDE and TODE to the maximally exposed organ must be calculated, the licensee should refer to Regulatory Guide 8.34, "Monitoring Criteria and Methods To Calculate Occupational Doses."
A declared pregnant worker is a worker who has voluntarily informed her employer in writing of her pregnancy and the estimated month and year of conception. The embryo/fetus' dose for the entire gestation period must be recorded (10 CFR 20.2106(e)), but need not be included on NRC Forms 4 and 5. Multiple records are not required in the case of twins, triplets, etc. Any dose measured to demonstrate compliance with 10 CFR 20.1208 must be recorded.
Licensees should be sensitive to the issue of personal privacy with regard to embryo/fetus dose. If requested by the monitored woman, a letter report may be provided to subsequent licensees to document prior embryo/fetus dose. Further guidance on assessing dose to the embryo/fetus is provided in Regulatory Guide 8.36, "Radiation Dose to the Embryo/Fetus."
Certain licensees are required by 10 CFR 20.2206(c) to submit reports of monitoring for the previous year to NRC on or before April 30. These reports should be sent to:
According to 10 CFR 20.2206(b), "...The licensee shall use Form NRC 5 or electronic media containing all the information required by Form NRC 5."
Licensees are encouraged to record and report these data electronically. The format for reporting radiation exposure data in an electronic, machine-readable format is provided in Appendix A of this guide.
The purpose of this section is to provide information to applicants and licensees regarding the NRC staff's plan for using this regulatory guide.
Except in those cases in which an applicant proposes an acceptable alternative method for complying with specified portions of the Commission's regulations, the methods described in this guide will be used in the evaluation of applications for new licenses, license renewals, and license amendments and for evaluating compliance with 10 CFR 20.1001-20.2401.
Cumulative Occupational Exposure History Part 1
Cumulative Occupational Exposure History Part 2
Occupational Exposure Record for a Monitoring Period Part 1
Occupational Exposure Record for a Monitoring Period Part 2
APPENDIX A
FORMAT FOR ELECTRONIC TRANSMISSION OF EXPOSURE DATA
Introduction
The following outlines a means by which licensees may satisfy the requirements of 10 CFR 20.2206, "Reports of Individual Monitoring," in an electronic format by submitting magnetic disks, cartridges, or tape with formatted radiation exposure data.
Media Requirements
The following data storage media are compatible with the Radiation Exposure Information Reporting System (REIRS). The electronic media listed below are preferred by NRC for these submissions and are presented in the order of preference. However, licensees are encouraged to submit data on whatever system is compatible with their existing systems. Other forms of data submission may also be acceptable. NRC will provide additional guidance to licensees upon request to the REIRS Project Manager.
PC Diskettes
31/2" or 51/4" Double sided, high or double densityMagnetic Tape
8 mm tape cartridgesTransmittal Letters
With the submission of each disk, tape, or cartridge, the licensee should also submit a transmittal letter containing information that will minimize processing time and help resolve possible discrepancies. Each letter should contain the following information as a minimum:
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Descriptive name of the file or files contained on the disk. |
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Created Date each file was created. |
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Operating system and version used to format the disk. |
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Name and telephone number of the person knowledgeable about each file. |
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Comments or explanation regarding the submission, the actual date, the data format, or the other important information. |
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Dated signature of the licensee's authorized representative responsible for the data. |
Expected Data
One routine Form 5 is expected for each monitored individual at the facility for the monitoring year. There may also be a Form 5 for a planned special exposure for some individuals. Because there should be few repetitions of employee information, the employee information is included in the Form 5. The primary license number is also included in each Form 5 to ensure that the records are assigned to the proper facility.
File Structure
The file structure consists of a Header Record, which provides information about the source of the data file, followed by Form 5 dose records and supporting Form 5 intake records. Each record contains only ASCII or EBCDIC printable characters and is terminated with a Carriage Return (CR) and a Line Feed (LF). All empty space in a field is padded with spaces. Text strings are expected to be left justified in a field and numbers are expected to be right justified in a field.
Header Record
The following record type occurs only once at the top of each data file to identify the source of the data.
Field | Width | Start Col. | End Col. | Description |
---|---|---|---|---|
Primary License | 13 | 1 | 13 | Primary NRC License number. |
Preparation Date | 8 | 15 | 22 | Date the record was written to the data file formatted as 'YYYYMMDD.' |
Licensee Name | 72 | 24 | 95 | Name of NRC licensee. |
Contact | 72 | 97 | 168 | Name of person to contact for further information about this data file. |
Phone_Number | 14 | 170 | 183 | Contact's phone number. |
Other License 1 | 13 | 185 | 197 | Other relater NRC license numbers. |
Other License 2 | 13 | 199 | 211 | Other relater NRC license numbers. |
Other License 3 | 13 | 213 | 225 | Other relater NRC license numbers. |
Other License 4 | 13 | 227 | 239 | Other relater NRC license numbers. |
Other License 5 | 13 | 241 | 253 | Other relater NRC license numbers. |
Other License 6 | 13 | 255 | 267 | Other relater NRC license numbers. |
Other License 7 | 13 | 269 | 281 | Other relater NRC license numbers. |
Other License 8 | 13 | 283 | 295 | Other relater NRC license numbers. |
Other License 9 | 13 | 297 | 309 | Other relater NRC license numbers. |
Other License 10 | 13 | 311 | 323 | Other relater NRC license numbers. |
Form 5 Dose Record
The following record type occurs once for each Form 5 being reported. It is followed by zero or more Form 5 Intake Records.
Field | Width | Start Col. | End Col. | Description |
---|---|---|---|---|
Employee ID | 12 | 1 | 12 | SSN, PPN, CSI, WPN, IND, or OTH. IDs should have no punctuation. |
ID Type | 3 | 14 | 16 | 'SSN,' 'PPN,' 'CSI,' 'WPN,' 'IND,' or 'OTH' |
Primary License | 13 | 18 | 30 | Primary NRC license number license number. |
Preparation Date | 8 | 32 | 39 | Date the record was written to the data file formatted as 'YYYYMMDD.' |
Record Type | 1 | 41 | 41 | 'D' = Dose |
First Name | 25 | 43 | 67 | Employee's full first name (no nicknames). |
Middle Initial | 1 | 69 | 69 | Employee's middle initial. |
Last Name | 25 | 71 | 95 | Employee's last name. Titles such as "Jr" should be separated from the last name by a space. No punctuation should be used in the title. |
Sex | 1 | 97 | 97 | Employee's sex. 'M' = Male and 'F'= Female |
Birth Date | 8 | 99 | 106 | Employee's date of birth ('YYYYMMDD'). |
Monitoring Start | 8 | 108 | 115 | Date monitoring began ('YYYYMMDD'). This is typically December 31 of the monitoring year for everyone except reminations. |
Monitoring End | 8 | 117 | 124 | Date monitoring ended ('YYYYMMDD'). This is typically December 31 of the monitoring year for everyone except terminations. |
Report Type | 1 | 126 | 126 | 'R'= Record or 'E' = Estimate |
Exposure Type | 1 | 128 | 128 | 'R' = Routine or 'P' = PSE |
DDE | 8 | 130 | 137 | Deep dose equivalent in rems. This can be formatted as '999.999.' |
LDE | 8 | 139 | 146 | Eye dose equivalent to the lens of the eye in rems. This can be formatted as '999.999.' |
SDE WB | 8 | 148 | 155 | Shallow dose equivalent, whole body in rems. This can be formatted as '999.999.' |
SDE ME | 8 | 157 | 164 | Shallow dose equivalent, max extremity in rems. This can be formatted as '999.999.' |
CEDE | 8 | 166 | 173 | Committed effective dose equivalent in rems. This can be formatted as '999.999.' |
CDE | 8 | 175 | 182 | Committed dose equivalent. This can be formatted as '999.999.' |
TEDE | 8 | 181 | 191 | Total effective dose equivalent. This can be formatted as '999.999.' |
TODE | 8 | 193 | 200 | Total organ dose equivalent, maximally exposed. This can be formatted as '999.999.' |
Form 5 Intake Record
The following record should be provided for each intake on the Form 5 being reported.
Field | Width | Start Col. | End Col. | Description |
---|---|---|---|---|
Employee ID | 12 | 1 | 12 | IDs should have no punctuation. |
ID Type | 3 | 14 | 16 | 'SSN,' 'PPN,' 'CSI,' 'WPN,' 'IDL,' 'IND,' or 'OTH.' |
Primary License | 13 | 18 | 30 | Primary NRC license number. |
Preparation Date | 8 | 32 | 39 | This is the date from the parent Form 5 Dose Record formatted as 'YYYYMMDD.' |
Record Type | 1 | 41 | 41 | 'I' = Intake |
Radionuclide | 9 | 43 | 51 | Radionuclide abbreviation with the hyphen. |
Class | 1 | 53 | 53 | 'D,' 'Y,' 'W,' 'V,' or 'O' for other. |
Mode | 1 | 55 | 55 | 'H' = Inhalation, 'B' = Absorption, 'J' = Injection, 'G' = Ingestion. |
Intake | 10 | 57 | 66 | The amount of µCi for the radionuclide. This can expressed in scientific notation using the format '+9.999E+99' or as a decimal number of fewer than 9 digits. |
Form 5 Comment Record
The following record type occurs only when comments are necessary to explain special exposure calculations or overexposures.
Field | Width | Start Col. | End Col. | Description |
---|---|---|---|---|
Employee ID | 12 | 1 | 12 | IDs should have no punctuation. |
ID-Type | 3 | 14 | 16 | 'SSN,' 'PPN,' 'CSI,' 'WPN,' 'IDL,' 'IND,' or 'OTH.' |
Primary License | 13 | 18 | 30 | Primary NRC license number. |
Preparation Date | 8 | 32 | 39 | This is the date from the parent Form 5 Dose Record formatted as 'YYYYMMDD.' |
Record Type | 1 | 41 | 41 | 'C' = Comment |
Comment | 240 | 43 | 282 | Explanatory comment when needed. |
A separate regulatory analysis was not prepared for this regulatory guide. The regulatory analysis prepared for 10 CFR Part 20, "Standards for Protection Against Radiation" (56 FR 23360), provides the regulatory basis for this guide and examines the costs and benefits of the rule as implemented by the guide. A copy of the "Regulatory Analysis for the Revision of 10 CFR Part 20" (PNL-6712, November 1988), is available for inspection and copying for a fee at the NRC Public Document Room, 2120L Street NW., Washington, DC, as an enclosure to Part 20.
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