N.Y. Comp. Codes R. & Regs. tit. 12 § 38.28

Current through Register Vol. 46, No. 45, November 2, 2024

Section 38.28 - Records

(a) General provisions.

(1) Each licensee or registrant shall use the SI units: becquerel, gray, sievert and coulomb per kilogram, or the special units: curie, rad, rem, and roentgen, including multiples and subdivisions, and shall clearly indicate the units of all quantities on records required by this Part (rule).

(2) The licensee or registrant shall make a clear distinction among the quantities entered on the records required by this Part (rule): such as, total effective dose equivalent, shallow dose equivalent, eye dose equivalent, deep dose equivalent, or committed effective dose equivalent.

(3) Each record required by this Part (rule) shall be legible throughout the specified retention period and maintained in a form specified in this paragraph. The record shall be the original or a reproduced copy or a microform, provided that the copy or microform is authenticated by authorized personnel and that the microform is capable of producing a clear copy throughout the required retention period. The record may also be stored in electronic media with the capability for producing legible, accurate, and complete records during the required retention period. Records, such as letters, drawings, and specifications shall include pertinent information, such as stamps, initials, and signatures. The licensee shall maintain safeguards sufficient to prevent tampering with and loss of records.

(4) The discontinuance of or curtailment of activities does not relieve any person who possesses any radiation source of responsibility for retaining all records required by this Part.

(b) Records of radiation protection programs.

(1) Each licensee or registrant shall maintain records of the radiation protection program, including:

(i) the provisions of the program; and

(ii) audits and other reviews of program content and implementation.

(2) The licensee or registrant shall retain the records required by subparagraph (1)(i) of this subdivision until the commissioner terminates each pertinent license or registration requiring the record. The licensee or registrant shall retain the records required by subparagraph (1)(ii) of this subdivision for three years after the record is made.

(c) Records of surveys, checks, tests and calibrations.

(1) Each licensee or registrant shall maintain records showing the results of surveys, checks, tests and calibrations required by this Part (rule).

(i) These records must show the date, the survey, check, test or calibration performed, the name of the individual performing the function, and the results.

(ii) The licensee or registrant shall retain these records for three years after the record is made.

(2) The licensee or registrant shall retain each of the following records until the commissioner terminates each pertinent license or registration requiring the record:

(i) records of the results of surveys to determine the dose from external sources of radiation used, in the absence of or in combination with individual monitoring data, in the assessment of individual dose equivalents; and

(ii) records of the results of measurements and calculations used to determine individual intakes of radioactive material and used in the assessment of internal dose; and

(iii) records showing the results of air sampling, surveys, and bioassays required pursuant to section 38.26 of this Part (rule); and

(iv) records of the results of measurements and calculations used to evaluate the release of radioactive effluents to unrestricted areas.

(3) Records of tests for leakage or contamination of sealed sources required by section 38.22 of this Part (rule) shall be kept in units of becquerels or microcuries and maintained for inspection by the commissioner.

(d) Records of prior occupational dose. The licensee or registrant shall retain the records of prior occupational dose and exposure history as specified in section 38.18(e) of this Part (rule) on the department form for cumulative occupational radiation exposure history or equivalent until the commissioner terminates each pertinent license or registration, and shall retain the records used in preparing the form or equivalent for three years after the record is made.

(e) Records of planned special exposures.

(1) For each use of the provisions of section 38.18(f) of this Part (rule) for planned special exposures, the licensee or registrant shall maintain records that describe:

(i) the exceptional circumstances requiring the use of a planned special exposure; and

(ii) the name of the management official who authorized the planned special exposure and a copy of the signed authorization; and

(iii) what actions were necessary; and

(iv) why the actions were necessary; and

(v) what precautions were taken to assure that doses were maintained ALARA; and

(vi) what individual and collective doses were expected to result; and

(vii) the doses actually received in the planned special exposure.

(2) The licensee or registrant shall retain the records until the commissioner terminates each pertinent license or registration requiring the record.

(f) Records of individual monitoring results.

(1) Recordkeeping requirement. Each licensee or registrant shall maintain records of doses received by all individuals for whom monitoring was required pursuant to section 38.24 of this Part (rule), and records of doses received during planned special exposures, accidents, and emergency conditions. Assessments of dose equivalent and records made using units in effect before the effective date of this Part (rule) need not be changed. These records shall include, when applicable:

(i) the deep dose equivalent to the whole body, eye dose equivalent, shallow dose equivalent to the skin, and shallow dose equivalent to the extremities; and

(ii) the estimated intake of radionuclides (see section 38.18 [ b]of this Part [rule]); and

(iii) the committed effective dose equivalent assigned to the intake of radionuclides; and

(iv) the specific information used to calculate the committed effective dose equivalent pursuant to section 38.18(d) of this Part (rule); and

(v) the total effective dose equivalent when required by section 38.18(b) of this Part (rule); and

(vi) the total of the deep dose equivalent and the committed dose equivalent to the organ receiving the highest total dose.

(2) Recordkeeping frequency. The licensee or registrant shall make entries of the records specified in this subdivision at least annually.

(3) Recordkeeping format. The licensee or registrant shall maintain the records specified in this subdivision on the department form for occupational radiation exposure records for a monitoring period, or in clear and legible records containing all the information required by such form.

(4) The licensee or registrant shall maintain the records of dose to an embryo/fetus with the records of dose to the declared pregnant woman. The declaration of pregnancy, including the estimated date of conception or the estimated age of the embryo/fetus in days or weeks as of the date of declaration, shall also be kept on file, but may be maintained separately from the dose records.

(5) The licensee or registrant shall retain each required form or record until the commissioner terminates each pertinent license or registration requiring the record.

(g) Records of dose to individual members of the public.

(1) Each licensee or registrant shall maintain records sufficient to demonstrate compliance with the dose limit for individual members of the public (see section 38.19[a] of this Part [rule]).

(2) The licensee or registrant shall retain the records required by this subdivision until the commissioner terminates each pertinent license or registration requiring the record.

(h) Records of transfer, receipt and disposition. Each licensee or registrant shall maintain records of each transfer, receipt and disposition of radioactive material. Such records shall be maintained for a period of three years after the records were made.

(i) Records necessary to eventual decommissioning.

(1) Each licensee shall maintain the following records:

(i) Records of spills or other occurrences involving the spread of contamination in and around the installation, equipment, or site. These records may be limited to instances when contamination remains after cleanup procedures or when there is reasonable likelihood that contaminants may have spread to inaccessible areas as in the case of possible seepage into porous materials such as concrete. These records must include any known information on identification of involved nuclides, quantities, forms, and concentrations.

(ii) As-built drawings and modifications of structures and equipment in restricted areas where radioactive materials are used and/or stored, and of locations of possible inaccessible contamination such as buried pipes which may be subject to contamination. If required drawings are referenced, each relevant document need not be indexed individually. If drawings are not available, the licensee shall substitute appropriate records of available information concerning these areas and locations.

(iii) Records of the cost estimate performed for the decommissioning funding plan or of the amount certified for decommissioning, and records of the funding method used for assuring funds if either a funding plan or certification is required pursuant to section 38.7 of this Part (rule).

(2) Records of information important to the safe decommissioning of the installation shall be kept in an identified location until the license is terminated by the commissioner.

N.Y. Comp. Codes R. & Regs. Tit. 12 § 38.28