FDA 3636 Laser Annual Report

Form Approved: OMB No. 0910-0025
Expiration Date: January 31, 2017

FORM FDA 3636 (3/14)
Guide for Preparing Annual Reports on Radiation
Safety Testing of Laser and Laser Light Show Products

Public reporting burden for this collection of information is estimated to average 26.5 hours per
response, including the time for reviewing instructions, searching existing data sources, gathering and
maintaining the data needed, and completing and reviewing the collection of information. Send comments
regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden to:
Department of Health and Human Services
Food and Drug Administration
Office of Chief Information Officer
Paper Reduction Act (PRA) Staff
[email protected]
*Please do NOT send your completed document to this PRA Staff email address.*
An agency may not conduct or sponsor, and a person is not required to respond to, a collection
of information unless it displays a currently valid OMB control number.

This guidance was written prior to the February 27, 1997 implementation of FDA’s
Good Guidance Practices, GGP’s. It does not create or confer rights for or on any person
and does not operate to bind FDA or the public. An alternative approach may be used if
such approach satisfies the requirements of the applicable statute, regulations, or both.
This guidance will be updated in the next revision to include the standard elements of GGP’s.

More industry guidance and assistance can be found at the FDA homepage, see:
http://www.fda.gov/Radiation-EmittingProducts/.

Send your completed report to:
CENTER FOR DEVICES AND RADIOLOGICAL HEALTH
DOCUMENT MAIL CENTER – WO66-G609
ATTN: ELECTRONIC PRODUCT REPORTS
10903 NEW HAMPSHIRE AVENUE
SILVER SPRING, MD 20993-0002
Questions about reporting and suggestions for changes to this guide may be sent to the above
address or may be discussed by calling 1-800-638-2041.

FORM FDA 3636 (3/14)

Guide for Preparing
Annual Reports on
Radiation Safety Testing of
Laser and Laser Light Show
Products

June 1983
(Revised September 1995)

For laser product manufacturers, this guide replaces FDA 82-8127
The reporting and recordkeeping requirements contained herein have been approved by the
Office of Management and Budget in accordance with the Paperwork Reduction Act of 1980
(OMB Approval No. 0910-0025).

U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES
Food and Drug Administration
Center for Devices and Radiological Health
Silver Spring, MD 20993

FORM FDA 3636 (3/14)

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FORM FDA 3636 (3/14)

Foreword
The Office of Compliance, Center for Devices and Radiological Health (CDRH) developed this guide. This guide will
assist manufacturers¹ of electronic products which emit radiation in providing adequate reporting of radiation safety testing
and compliance with federal performance standards. Title 21 of the Code of Federal Regulations (CFR), Parts 1002 and
1003 specify Reporting and Notification requirements²,³.
Reports submitted on radiation safety of electronic products must follow the appropriate guide (21 CFR 1002.7). If the
report does not follow an applicable guide it must contain a sufficient justification for any deviations. The submitter of
the report will receive an acknowledgment letter with the accession number we assign to the report. Please reference this
accession number in the future when providing additional information about this model family in either a supplement or the
annual report. If a report is incomplete or inadequate CDRH may reject it and return it for completion. CDRH will not
enter a rejected report into our database. Also, a rejected report will not receive an accession number.
WE DO NOT APPROVE THESE REPORTS OR THE PRODUCTS BEING REPORTED. It is the manufacturer’s
responsibility to certify that their products comply with all applicable standards (21 CFR 1010 - 1050), based on a testing
program in accordance with good manufacturing practices. Prior to the shipment of products in interstate commerce
21 CFR 1002 requires the manufacturer to submit the report and to comply with all applicable importation requirements
(21 CFR 1005). If there are deficiencies, we may disapprove the firm’s quality control and testing program, determine
that the product contains a radiation defect, or determine that the product fails to comply with a standard. We will notify
the manufacturer if we make such a determination. CDRH may require the manufacturer to cease introduction into U.S.
commerce until deficiencies are corrected, and to initiate a corrective action program (21 CFR 1003 - 1004) for products
already introduced into commerce.
Please mail your reports to the address below (FDA can not process electronic submissions at this time). Provide the
original report with appropriate signature(s) (no facsimiles, please). Provide extra copies only if this guide specifically
requires them. Submit the report written in the English language. Translate any text that appears in a language other than
English into English in a complete and accurate manner. Keep a copy of the completed reports in your records.
We are making our reporting guides and other regulatory information available on the Internet under
http://www.fda.gov/Radiation-EmittingProducts/. No copyright exists for these guides. Reproduce these guides as needed.
If you would like to comment on the reporting guides, web site, or future electronic submissions, you may direct the comments
to the address below. If you need additional regulations for electronic products or medical devices, you should contact the
Division of Small Manufacturers, International and Consumer Assistance by telephone at 1-800-638-2041 or by facsimile at
301-847-8149.
Sincerely yours,

Lillian J. Gill
Director
Office of Compliance
E-MAIL ADDRESS: [email protected]
MAILING ADDRESS (see 21 CFR 1002.7 for further information):
CENTER FOR DEVICES AND RADIOLOGICAL HEALTH
DOCUMENT MAIL CENTER – WO66-G609
ATTN: ELECTRONIC PRODUCT REPORTS
10903 NEW HAMPSHIRE AVENUE
SILVER SPRING, MD 20993-0002
¹

Manufacturer (see 21) CFR § 1000.3(n)) means any person engaged in the business of manufacturing, assembling, or importing electronic products.

²

Accidental Radiation Occurrences: 21 CFR 1002.20 requires manufacturers to immediately report accidental radiation occurrences (see 21 CFR
1000.3(a) for the definition).

³

Notification: Title 21 CFR Part 1003 requires manufacturers to provide Notification of Defects or Failure to Comply. Send these notifications to the
above address.

FORM FDA 3636 (3/14)

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FORM FDA 3636 (3/14)

NOTE
For laser and laser light show product manufacturers, this guide replaces the "Guide for the Filing of Annual Reports
(21 CFR Subchapter J, Section 1002.11)," HHS Publication FDA 82-8127. Guides for preparing Annual Reports on
other electronic products are available on request, as listed below. Call 1-800-638-2041, or write to:
Center for Devices and Radiological Health
Document Mail Center - WO66-G609
Attn: Electronic Product Reports
10903 New Hampshire Avenue
Silver Spring, MD 20993-0002
Guides for Preparing Annual Reports on Radiation Safety Testing of:
1. Television Receivers
2. Cathode Ray Tubes
3. Microwave Ovens
4. Laser and Laser Light Show Products
5. Mercury Vapor Lamps
6. Sunlamps and Sunlamp Products
7. Ultrasonic Therapy Products
8. Dielectric and Induction Heaters
9. Diagnostic X-Ray Systems and Major Components
10. Cabinet X-Ray Systems
11. Electronic Products (General)
- products intended to produce x radiation (accelerators,
analytical devices, therapy x-ray machines)
- microwave diathermy machines
- cold-cathode discharge tubes
- vacuum switches and tubes operating at or above 15,000
volts

REMINDER: ACCIDENTAL RADIATION OCCURRENCES
You are required by 21 CFR Subchapter J, Section 1002.20, to immediately report accidental radiation occurrences.
Report to the Director, Center for Devices and Radiological Health, all accidental radiation occurrences reported or
otherwise known to you and arising from the manufacture, testing, or use of any product you have introduced, or intend
to introduce, into commerce.

FORM FDA 3636 (3/14)

TO: All Electronic Product Manufacturers Subject to Annual Reporting Requirements of 21 CFR 1002.11, Pursuant
to the "Federal Food, Drug and Cosmetic Act (FFDCA), Chapter V, Subchapter C - Electronic Product Radiation
Control."
SUBJECT: Filing of Annual Reports on Radiation Safety Testing
The Federal Food, Drug, and Cosmetic Act, Chapter V, Subchapter C - Electronic Product Radiation Control directs the
Department of Health and Human Services to evaluate testing programs carried out by industry to assure the adequacy of
safeguards against hazardous electronic product radiation and to assure that products comply with performance standards.
This Act also requires that manufacturers of electronic products establish and maintain records and provide performance
data on radiation safety and information on their testing programs.
In order to carry out its responsibilities under the FFDCA, the Food and Drug Administration's Center for Devices and
Radiological Health (CDRH) has issued a series of regulations contained in Title 21 of the Code of Federal Regulations
(CFR). Part 1002 of 21 CFR deals with records and reports. Section 1002.61 categorizes electronic products into Groups
A through C. Section 1002.30 requires manufacturers of products in Groups B and C to establish and maintain certain
records, while Section 1002.13 requires such manufacturers to submit an Annual Report summarizing the contents of the
required records. Section 1002.7 requires that reports conform to reporting guides issued by CDRH unless an acceptable
justification for an alternate format is provided.
SAVE THIS REPORTING GUIDE AND USE IT EACH YEAR. When a revision is issued, you will be sent a copy.
You must submit your Annual Report by September 1 of each year unless you have received a letter of exemption from
CDRH under 21 CFR 1002.50. You should duplicate the forms in this guide for inclusion in your report and retain a copy
for your records. Proprietary information should be specifically and clearly marked. Information submitted in your report
will be used to evaluate your testing program, identify safety problems, and make decisions on the level and type of
monitoring programs to be conducted by FDA, such as product testing and factory inspections.
Upon receipt of your Annual Report, CDRH will send you an acknowledgment letter with an accession number you
should reference whenever you submit additional information. You will receive further notification only if additional
information or clarification is needed.
In addition, the Annual Report is the appropriate vehicle for identifying new models for which Supplemental Reports are
not required. When new models of a laser product are introduced, if the models satisfy the criteria for an established
reporting exemption or if the new models do not involve changes in radiation emission or performance requirements,
then the manufacturer need not report the models prior to introduction into commerce. Rather, the manufacturer is only
required to identify them in the Annual Report, or in quarterly updates to the Annual Report. Quarterly updates to Annual
Reports should be clearly marked as such and be submitted prior to December 1, March 1, and/or June 1 when required,
referencing the previous Annual Report. [See 21 CFR 1002.13(c).]

FORM FDA 3636 (3/14)

Send your completed report to:
Center for Devices and Radiological Health
Document Mail Center - W066-G609
Attn: Electronic Product Reports
10903 New Hampshire Avenue
Silver Spring, MD 20993-0002
Questions about reporting and suggestions for changes to this guide may be sent to the above address or may be
discussed by calling the Light Products Branch at 1-800-638-2041.

Ronald M. Johnson, Director
Office of Compliance and Surveillance
Center for Devices and Radiological Health

FORM FDA 3636 (3/14)

INSTRUCTIONS: Page 1
General
For ease in photocopying, all instructions are on the left-hand pages, while the corresponding forms are on the right-hand
pages. You need only submit the completed forms and any additional information you have provided on separate sheets.
On all separate sheets or attachments be sure to label each page with sequential lettering. Example: Page 3a, Page 3b,
Page 3c.
The forms provide blanks to be filled in, boxes ( ) to be checked, and tables or graphs to be completed. They may be
prepared with a computer, typewriter, or hand-printed in black ink.
Part 1. Identification of Manufacturer
Fill in the requested information and sign where indicated. Fill in the years in the reporting period. Example: The report
due on September 1, 2011, should cover the reporting year July 1, 2010, through June 30, 2011.
Part 2.Product Status
Check the statement that applies to your firm and take that indicated action.

FORM FDA 3636 (3/14)

LASER PRODUCT/LASER LIGHT SHOW ANNUAL REPORT:

Part 1.

Identification of Manufacturer

Page 1

Report Date:

Company Name:
Address:

Corresponding Official signature:
Name & title:

Telephone:

(

)

Email address:

Firm name & address, if different from above:

This Annual Report is submitted in accordance with 21 CFR 1002.13 for the period July 1, 20
.
through June 30, 20
Part 2.

Production Status

(

) Products were manufactured during this period and the firm is still in business. If you check this, complete and
mail this entire report.

(

) No products were manufactured during this period but the firm is still in business and expects to manufacture in the
future. If you check this, complete Part 6 and mail pages 1 and 4.

(

) No products were manufactured during this period and the firm is now out of business. If you check this, complete
Part 6 and mail pages 1 and 4.

(

) Products were manufactured during this period but the firm is now out of business. If you check this, complete and
mail this entire report.

FORM FDA 3636 (3/14)

INSTRUCTIONS: Page 2
Part 3. Current Production Tabulation
Provide production data, using the forms or comparable tabulations. Complete Part 3.1 for all laser products. For laser
light shows, also complete Part 3.2. If additional space is needed, use another copy of the form(s) or attach separate
sheet(s) labeled Part 3.
3.1. All Laser Products
"Accession Number": For previously reported models, CDRH will have assigned this reference number and reported it to
you. New Class I models that satisfy the exemption criteria given in the Laser Notices to Industry dated August 23, 1985,
and August 9, 1988, should be listed under the initial product report for that family of products. Other models that satisfy
the post-market reporting criteria in section 1002.13(c) should be listed under the model family report as well.
"Family Designation": A model family consists of more than one model essentially identical in application, design, and
performance.
"Product Function": Indicate the primary application of each model, e.g.,cutting; trimming; welding; surgery; alignment;
surveying.
"Class": Give the laser product class of each model listed.
"Production Status (Active)": If the model is currently being manufactured, place an "X" in this column.
"Production Status (Discontinued)": Provide discontinuation date (month and year) for any model that is no longer in
production but was produced at some time during the reporting period.
"Production Status (Plant)": Codes may be used for each plant location if you provide the codes and complete address for
each manufacturing location on a separate sheet, labeled Part 3.
3.2. Laser Light Shows
"Permanent or touring": Indicate type of use environment. For multiple performances at a fixed location, such as at a
planetarium, indicate (permanent). For one or more performances at multiple locations, indicate (touring).
"Production Status (Number of Shows Performed)": Give separate figures for touring and permanent performances.

FORM FDA 3636 (3/14)

LASER PRODUCT/LASER LIGHT SHOW ANNUAL REPORT:

Page 2

Part 3. Current Production Tabulation
3.1. All Laser Products

Production Status
Accession
Number

Family
Designation

Selling Model
Numbers

Product
Function

Class

Active

Discont.
(mo/yr)

Plant

3.2. Laser Light Shows
Production Status
Accession
Number

FORM FDA 3636 (3/14)

Projector or Show
Family Designation

Permanent
or Touring

Class

Lasing
Media

No. Shows
Performed

Discont.
(mo/yr)

INSTRUCTIONS:

Page 3

Part 4. Procedures for Quality Control and Testing
You are required by 21 CFR 1002.30(a)(1) and (2) to maintain written procedures for quality control and testing. The
procedures in use and those submitted in the Laser Product Reports should be reviewed and updated.
Compare your current procedures with those submitted in your Laser Product Reports. Check the appropriate answers
and take any indicated action.

Part 5. Summary of Test Results
You are required by 21 CFR 1002.30(a)(2) to maintain results of quality control tests. For each product introduced into
commerce, you should evaluate test results to be certain that the total program is adequate to assure radiation safety and
compliance with the standard (21 CFR 1040.10 and 1040.11).
Complete Part 5 for all laser products and/or laser light shows. For each model or show produced, review your quality
control records and indicate the number of units or shows that were tested for performance requirements, labels, and light
show variance conditions, if applicable.

FORM FDA 3636 (3/14)

LASER PRODUCT/LASER LIGHT SHOW ANNUAL REPORT:

Page 3

Part 4. Procedures for Quality Control and Testing
The written procedures for assessing and controlling radiation safety have been reviewed. (These include prototype
testing, incoming materials testing, assembly testing, retesting after repair, and service testing.) The procedures for
maintaining quality control testing equipment have also been reviewed. All procedures are up-to-date, complete, and
accurate.
(

)

YES

(

) NO

The reports provided to CDRH for each model family currently in production have been reviewed and the procedures
contained in them are up-to-date, complete, and accurate.
(

)

YES

(

) NO

If you answered "no" to either question, provide the current procedures in a supplement to the appropriate model family
report.
Part 5. Summary of Test Results

Number Tested
Model Number or Name of Show

FORM FDA 3636 (3/14)

Number
Produced

Performance
Requirements

Labels

Light Show
Variance Conditions

INSTRUCTIONS:

Page 4

Part 6. Correspondence Concerning Radiation Safety
You are required by 21 CFR 1002.30(a)(4) to maintain copies of communications to orfrom dealers, distributors, and
purchasers concerning radiation safety. Correspondence should be reviewed if it involves any of the following:
complaints or concerns about radiation exposure; difficulties with safety components in use or servicing of the product;
investigations made or instructions issued concerning use, adjustment, and repair.
Fill in the number of documents sent or received and attach the copies, summaries, or samples as indicated.
NOTE: This summary does not replace the notification requirements for potential defects or noncompliances under 21
CFR 1003.10 or for suspected accidental radiation occurrences under 21 CFR 1002.20.

Part 7. Distribution Records
You are required by 21 CFR 1002.30(b)(1) and (2) to maintain distribution records. Such records must allow tracing of
products to the dealer and, if possible, to the user.
Fill in the information on the location of records storage and check the means of tracing products.

FORM FDA 3636 (3/14)

LASER PRODUCT/LASER LIGHT SHOW ANNUAL REPORT:

Page 4

Part 6. Correspondence Concerning Radiation Safety
The number of letters received from users, dealers, or others about possible radiation exposure or safety-related failures
.
during use of the product was
Attach a copy of each letter.
The number of letters received from dealers, distributors, or others concerning the need for repair, adjustment, or
.
replacement of a part to maintain radiation safety of the product was
Attach a summary of correspondence or a sample. Identify any trends in failed components or adjustments
needed during servicing.
The number of notices or brochures sent to users, dealers, or service personnel on precautions or actions to be taken to
maintain radiation safety of the product was
.
Attach a summary of correspondence or a sample.

Part 7. Distribution Records
Production facility shipping records and dealer records (when returned) are maintained at
.
Products can be traced from these records by:
(

) Model

(

) Serial number

(

) Date of Manufacture

(

) Other, specify:

FORM FDA 3636 (3/14)