Form NRC Form 4 NRC Form 4 Cumulative Occupational Dose History

PAGE

NRC FORM 4

U.S. NUCLEAR REGULATORY COMMISSION

(9-2004)
10 CFR PART 20

EXPIRES: 09/30/2007

Estimated burden per response to comply with this mandatory collection request: 30 minutes. This
information is required to record an individual's lifetime occupational exposure to radiation to ensure that
the cumulative exposure to radiation does not exceed regulatory limits. Send comments regarding burden
estimate to the Records and FOIA/Privacy Services Branch (T-5 F52), U.S. Nuclear Regulatory
Commission, Washington, DC 20555-0001, or by internet e-mail to infocollects@nrc.gov, and to the Desk
Officer, Office of Information and Regulatory Affairs, NEOB-10202, (3150-0005), Office of Management
and Budget, Washington, DC 20503. If a means used to impose an information collection does not display
a currently valid OMB control number, the NRC may not conduct or sponsor, and a person is not required
to respond to, the information collection.

CUMULATIVE OCCUPATIONAL DOSE HISTORY

1. NAME (LAST, FIRST, MIDDLE INITIAL)

APPROVED BY OMB NO.3150-0005

OF

2. IDENTIFICATION NUMBER

3. ID TYPE

4. SEX
MALE

5. DATE OF BIRTH
(MM/DD/YYYY)

FEMALE

6. MONITORING PERIOD (MM/DD/YYYY - MM/DD/YYYY) 7. LICENSEE NAME

11. DDE

12. LDE

13. SDE, WB

8. LICENSE NUMBER

14. SDE, ME

6. MONITORING PERIOD (MM/DD/YYYY - MM/DD/YYYY) 7. LICENSEE NAME

11. DDE

12. LDE

13. SDE, WB

12. LDE

13. SDE, WB

14. SDE, ME

12. LDE

13. SDE, WB

14. SDE, ME

12. LDE

13. SDE, WB

14. SDE, ME

12. LDE

19. SIGNATURE OF MONITORED INDIVIDUAL

NRC FORM 4 (9-2004)

15. CEDE

16. CDE

15. CEDE

16. CDE

8. LICENSE NUMBER

14. SDE, ME

6. MONITORING PERIOD (MM/DD/YYYY - MM/DD/YYYY) 7. LICENSEE NAME

11. DDE

16. CDE

8. LICENSE NUMBER

6. MONITORING PERIOD (MM/DD/YYYY - MM/DD/YYYY) 7. LICENSEE NAME

11. DDE

15. CEDE

8. LICENSE NUMBER

6. MONITORING PERIOD (MM/DD/YYYY - MM/DD/YYYY) 7. LICENSEE NAME

11. DDE

16. CDE

8. LICENSE NUMBER

6. MONITORING PERIOD (MM/DD/YYYY - MM/DD/YYYY) 7. LICENSEE NAME

11. DDE

15. CEDE

9.

15. CEDE

16. CDE

8. LICENSE NUMBER

13. SDE, WB

14. SDE, ME

15. CEDE

20. DATE SIGNED

21. CERTIFYING ORGANIZATION

16. CDE

RECORD
ESTIMATE
NO RECORD

10.

ROUTINE
PSE

17. TEDE

18. TODE

9.

10.

RECORD
ESTIMATE
NO RECORD

ROUTINE
PSE

17. TEDE

18. TODE

9.

10.

RECORD
ESTIMATE
NO RECORD

ROUTINE
PSE

17. TEDE

18. TODE

9.

10.

RECORD
ESTIMATE
NO RECORD

ROUTINE
PSE

17. TEDE

18. TODE

9.

10.

RECORD
ESTIMATE
NO RECORD

ROUTINE
PSE

17. TEDE

18. TODE

9.

10.

RECORD
ESTIMATE
NO RECORD

17. TEDE

22. SIGNATURE OF DESIGNEE

ROUTINE
PSE

18. TODE

23. DATE SIGNED

PRINTED ON RECYCLED PAPER

INSTRUCTIONS AND ADDITIONAL INFORMATION PERTINENT TO THE
COMPLETION OF NRC FORM 4
(All doses should be stated in rems)
1.

Type or print the full name of the monitored
individual in the order of last name (include "Jr,"
"Sr," "III," etc.), first name, middle initial (if
applicable).

2.

Enter the individual's identification number,
including punctuation. This number should be
the 9-digit social security number if at all
possible. If the individual has no social security
number, enter the number from another official
identification such as a passport or work permit.

3.

Enter the code for the type of identification used
as shown below:
CODE ID TYPE
SSN U.S. Social Security Number
PPN Passport Number
CSI
Canadian Social Insurance Number
WPN Work Permit Number
PADS PADS Identification Number
OTH Other

4.

Check the box that denotes the sex of the
individual being monitored.

5.

Enter the date of birth of the individual being
monitored in the format MM/DD/YYYY.

6.

Enter the monitoring period for which this report
is filed. The format should be MM/DD/YYYY MM/DD/YYYY.

7.
8.
9.

Enter the name of the licensee or facility not
licensed by NRC that provided monitoring.

10. Place an "X" in either Routine or PSE.
Choose "Routine" if the data represent the
results of monitoring for routine exposures.
Choose "PSE" if the listed dose data
represents the results of monitoring of
planned special exposures received during the
monitoring period.
11.
Enter the deep dose equivalent (DDE) to the
whole body.
12.
Enter the eye dose equivalent (LDE) recorded
for the lens of the eye.
13.
Enter the shallow dose equivalent recorded for
the skin of the whole body (SDE,WB).
14.
Enter the shallow dose equivalent recorded for
the skin of the extremity receiving the
maximum dose (SDE,ME).
15.
Enter the committed effective dose equivalent
(CEDE).
16.
Enter the committed dose equivalent (CDE)
recorded for the maximally exposed organ.
17.
Enter the total effective dose equivalent
(TEDE). The TEDE is the sum of items 11 and
18. 15.

PRIVACY ACT STATEMENT
Pursuant to 5 U.S.C. 552a(e)(3), enacted into law by Section 3 of the Privacy Act of 1974
(Public Law 93-579), the following statement is furnished to individuals who supply
information to the U.S. Nuclear Regulatory Commission (NRC) on NRC Form 4. This
information is maintained in a system of records designated as NRC-27 and described at 69
Federal Register 57601 (September 24, 2004), or the most recent Federal Register
publication of the NRC's "Republication of Systems of Records Notices" that is available at
the NRC Public Document Room, 11555 Rockville Pike, Rockville, Maryland or located in
NRC's Agencywide Documents Access and Management System (ADAMS).
1.

AUTHORITY: 5 U.S.C. 7902; 29 U.S.C. 668; 42 U.S.C. 2073, 2093, 2095, 2111,
2133, 2134, and 2201(o); 10 CFR 20.2106, 20.2201-20.2204, and 20.2206; Executive
Order 9397; Executive Order 12196.

2.

PRINCIPAL PURPOSE(S): The information is used by the NRC in its evaluation of
the risk of radiation exposure associated with the licensed activity and in exercising its
statutory responsibility to monitor and regulate the safety and health practices of its
licensees. The data permits a meaningful comparison of both current and long-term
exposure experience among types of licensees and among licensees within each type.
Data on your exposure to radiation is available to you upon your request.

3.

ROUTINE USE(S): The information may be used to provide data to other Federal and
State agencies involved in monitoring and/or evaluating radiation exposure received by
individuals monitored for radiation exposure while employed by or visiting or temporarily
assigned to certain NRC licensed facilities; to return data provided by licensee upon
request. The information may also be disclosed to an appropriate Federal, State, local
or Foreign agency in the event the information indicates a violation or potential violation
of law and in the course of an administrative or judicial proceeding. In addition, this
information may be transferred to an appropriate Federal, State, local and Foreign
agency to the extent relevant and necessary for an NRC decision about you or to the
extend relevant and necessary for that agency's decision about you. Information from
this form may also be disclosed, in the course of discovery and in presenting evidence,
to a Congressional office to respond to their inquiry made at your request, or to
NRC-paid experts, consultants, and others under contract with the NRC, on a
need-to-know basis.

Enter the total organ dose equivalent (TODE)
for the maximally exposed organ. The TODE
19. is the sum of items 11 and 16.

Signature of the monitored individual. The
signature of the monitored individual on this
Enter the NRC license number or numbers.
form indicates that the information contained
on the form is complete and correct to the best
Place an "X" in Record, Estimate, or No Record. 20. of his or her knowledge.
Choose "Record" if the dose data listed
represent a final determination of the dose
Enter the date this form was signed by the
4.
received to the best of the licensee's
21. monitored individual.
knowledge. Choose "Estimate" only if the listed
dose data are preliminary and will be
[OPTIONAL] Enter the name of the licensee or
superseded by a final determination resulting in
facility not licensed by NRC, providing
a subsequent report. An example of such an
monitoring for exposure to radiation (such as a
instance would be dose data based on
DOE facility) or the employer if the individual is
self-reading dosimeter results and the licensee
not employed by the licensee and the
employer chooses to maintain exposure
intends to assign the record dose on the basis
22. records for its employees.
of TLD results that are not yet available. If the
individual or an organization has indicated that
[OPTIONAL] Signature of the person
the individual was monitored, but the monitoring
designated to represent the licensee or
records could not be obtained, enter "No
employer entered in item 21. The licensee or
Record" for this monitoring period. The
employer who chooses to countersign the form 5.
individual would not be available for a PSE. For
should have on file documentation of all the
monitoring periods during the current year
23. information on the NRC Form 4 being signed.
where records are not available, reduce the
individual's allowable dose by 1.25 rems for
[OPTIONAL] Enter the date this form was
each quarter for which records were unavailable
signed by the designated representative.
as required by 10 CFR 20.2104(e)(1).

WHETHER DISCLOSURE IS MANDATORY OR VOLUNTARY AND EFFECT ON
INDIVIDUAL OF NOT PROVIDING INFORMATION: It is voluntary that you furnish the
requested information, including social security number (identification number). The
social security number is used to assure that NRC has an accurate identifier not subject
to the coincidence of similar names or birth dates among the large number of persons
on who data is maintained and to assure that there are no missed doses or monitoring
periods and an individual gets a complete dose history when requested. The licensee
must complete NRC Form 5 on each individual for whom personnel monitoring is
required under 10 CFR 20.2106. Failure to do so may subject the licensee to
enforcement action in accordance with 10 CFR 20.2401..
SYSTEM MANAGER(S) AND ADDRESS: REIRS Project Manager, Radiation
Protection, Environmental Risk, and Waste Management Branch, Division of Systems
Analysis and Regulatory Effectiveness, Office of Nuclear Regulatory Research, U.S.
Nuclear Regulatory Commission, Washington, DC 20555-0001.