Information Notice 1990-01, Importance of Proper Response to Self-Identified Violations by Licensees

Importance of Proper Response to Self-Identified Violations by Licensees

ML031200424
Person / Time
Site:	Beaver Valley, Millstone, Hatch, Monticello, Calvert Cliffs, Dresden, Davis Besse, Peach Bottom, Browns Ferry, Salem, Oconee, Nine Mile Point, Palisades, Palo Verde, Perry, Indian Point, Fermi, Kewaunee, Catawba, Harris, Wolf Creek, Saint Lucie, Point Beach, Oyster Creek, Watts Bar, Hope Creek, Grand Gulf, Cooper, Sequoyah, Byron, Pilgrim, Arkansas Nuclear, Three Mile Island, Braidwood, Susquehanna, Summer, Prairie Island, Columbia, Seabrook, Brunswick, Surry, Limerick, North Anna, Turkey Point, River Bend, Vermont Yankee, Crystal River, Haddam Neck, Ginna, Diablo Canyon, Callaway, Vogtle, Waterford, Duane Arnold, Farley, Robinson, Clinton, South Texas, San Onofre, Cook, Comanche Peak, Yankee Rowe, Maine Yankee, Quad Cities, Humboldt Bay, La Crosse, Big Rock Point, Rancho Seco, Zion, Midland, Bellefonte, Fort Calhoun, FitzPatrick, McGuire, LaSalle, 05000000, Zimmer, Fort Saint Vrain, Shoreham, Satsop, Trojan, Atlantic Nuclear Power Plant
Issue date:	01/12/1990
From:	NRC/IE
To:
References
IN-90-001, NUDOCS 9001080145
Download: ML031200424 (3)

UNITED STATES

NUCLEAR REGULATORY COMMISSION

OFFICE OF NUCLEAR MATERIAL SAFETY AND SAFEGUARDS

WASHINGTON, D.C. 20555 January 12, 1990

NRC INFORMATION NOTICE NO. 90-01: IMPORTANCE OF PROPER RESPONSE TO

SELF-IDENTIFIED VIOLATIONS BY

LICENSEES

Addressees

All holders of NRC materials licenses.

Purpose

This information notice is intended to assist licensees in properly responding

to self-identified violations of regulatory requirements. It is expected that

recipients will review this information notice, distribute it to management and

staff involved with licensed activities, including responsible radiation safety

staff, and consider actions, as appropriate, to assure compliance. This infor- mation notice does not constitute any new NRC requirements, and no specific

written response is required.

Description of Circumstances

In several past cases, licensees have attempted to conceal self-identified

violations from NRC, rather than reporting them or recording them to permit

review during an NRC inspection.

Discussion:

NRC expects a high standard of compliance by its licensees and requires that

licensees provide NRC accurate and complete information and that required

records will also be complete and accurate in all material respects. Licensees

should be aware of the importance placed by NRC on licensee programs for self

detection, correction and reporting of violations or errors related to regulatory

requirements. The General Statement of Policy and Procedures for NRC Enforce- ment Actions in Appendix C to 10 CFR Part 2 underscores the importance of

licensees responding promptly and properly to self-identified violations

in two ways.

First, in accordance with its exercise of discretion, NRC will not generally

issue a Notice of Violation for a non-repetitive Severity Level IV or V vio- lation that is self-identified, properly corrected and reported (if required).

For those self-identified licensee violations of a higher Severity Level which

do result in a Notice of Violation with the potential for elevated enforcement, NRC will generally give credit for the licensee's performance in identifying, reporting and correcting the violation in making an enforcement decision.

L6'7- Col

IN 90-01 January 12, 1990 For example, if a licensee failed to conduct a required daily dose calibrator

constancy check, but identified the error, noted it in a record and informed

NRC during the next inspection, NRC would not normally cite the Incident as

a violation if categorized at a Severity Level IV.

On the other hand, NRC will generally take stronger action against licensees

who conceal self-identified violations, Including civil penalties and orders

to modify, suspend or revoke licenses. In addition, the matter may be referred

to the Department of Justice for consideration of criminal prosecution. As an

example, a licensee was found to have not performed a substantial number of

required daily dose calibrator constancy checks and, in addition, its Radiation

Safety Committee (RSC) had not met as required for a considerable length of

time. The licensee had also falsified records to make it appear that the

constancy checks and RSC meetings were taking place. In addition to citing

these violations, NRC issued civil penalties in this case which were increased

by 100% over the base civil penalty for violations of this type, due to the.

number and duration of falsified records.

It is suggested that when a licensee identifies a violation involving an

NRC-required record, the licensee should make a dated notation indicating

identification, either on the record itself or other appropriate documentation

retrievable for NRC review. The record with the self-identified violation

noted should not be altered in any way to mask the correction. The licensee

should determine the cause of the violation, correct the root cause of the

violation, and-documentt-such-findings inrrar-appropriate-mann r-.--ttcensees -

should also assure that if a report of the violation is required, the report

is submitted to NRC in a timely manner. These actions will be considered by

NRC in making any enforcement decision, and generally lead to lesser or no

civil penalty.

No specific action or written response is required by this information notice.

If you have any questions about this matter, please contact the technical

contact listed below or the appropriate NRC regional office.

. . .z

Richard E. Cunningham, Director

Division of Industrial and

Medical Nuclear Safety

Office of Nuclear Material Safety

and Safeguards

Technical Ccntact: George Pangburn, NMSS

(301) 492-0628

1. List of Recently Issued NMSS Information Notices

2. List of Recently Issued NRC Information Notices

Attachment 1 Attachment ?.-

IN 90-01 IN 90-01 January 12. 1990 January 12, 1990 Page I of 1 I

LIST OF RECENTLY ISSUED LIST OF RECENTLY ISSUED

NlSS INFORMATION NOTICES NRC INFORMATION NOTICES

T.famatin. lh.t *f

InformtIon Date of Nlotice No.

Notice NO. Subject Issuance Issued to SubJect Issuance Issued to- -

89-90 Pressurizer Safety Valve 12/28/89 All holders of OLs

89-82 Recent Safety-Related 12/07/89 All U.S. NRC licensees Lift Setpoint Shift or CPs for PWRs.

Incidents at Large authorized to possess

Irradiators and use sealed sources 89-89 Event Notification 12/26/89 All holders of OLs

at large irradiators. Worksheets or CPs for nuclear

power reactors.

89-78 Faflure of Packing Nuts on 11/22/89 All U.S. NRC licensees

one-Inch Uranium Hexafluoride authorized to possess 89-88 Recent NRC-Sponsored 12/26/89 All holders of OLs

Cylinder Valves and use source material Testing of Motor-Operated or CPs for nuclear

and/or special nuclear Valves power reactors.

material for the heating.

emptying, filling, or 89-87 Disabling of Emergency 12/19/89 All holders of OLs

shipping of uranium Diesel Generators by or CPs for nuclear

hexafluoride in30- and Their Neutral Ground-Fault power reactors.

48-inch diameter cylinders. Protection Circuitry

89-60 Naintenance of Teletherapy 08/18/89 All U.S. NRC Medical 89-45. Metalclad, Low-Voltage 12/15/89 All holders of OLs

Units Teletherapy Licensees. Supp. 2 Power Circuit Breakers or CPs for nuclear

Refurbished with power reactors.

89-47 Potential Problems with 05/18/89 All holders of operating Substandard Parts

Worn or Distorted Hose licenses or construction

Clamps on Self-Contained permits for nuclear power 89-86 Type HK Circuit Breakers 12/15/89 All holders of OLs

Breathing Apparatus reactors and fuel Missing Close Latch Anti- or CPs for nuclear

facilities. Shock Springs. power reactors.

89-46 Confidentiality of 05/11/89 All holders of licenses 89-85 EPA's Interim Final Rule 12/15/89 All medical, academic, Exercise Scenarios for fuel cycle facilities on Medical Waste Tracking industrial, waste

and byproduct material and Management broker, and waste

licensees having an disposal site licensees

approved emergency

response plan. 89-84 Failure of Ingersoll Rand 12/12/89 All holders of OLs

Air Start Motors as a Result or CPs for nuclear

89-37 Proposed aendments to 40 04/04/89 All U.S. NRC licensees. of Pinion Gear Assembly power reactors.

CFR Part 61, Air Emission Fitting Problems

Standards for Radionuclides

89-83 Sustained Degraded Voltage 12/11/89 All holders of OLs

89-35 Loss and Theft of Unsecured 03/30/89 All U.S. NRC byproduct. on the Offsite Electrical or CPs for nuclear

Licensed Material source and special Grid and Loss of Other power reactors.

nuclear material licensees. Generating Stations as

a Result of a Plant Trip

89-34 Disposal of Americium 03/30/89 All holders of U.S. NRC

Well-Logging Sources specific licenses

authorizing well-logging OL

• Operating License

activities. CP = Construction Permit