Information Notice 2002-36, Incomplete or Inaccurate Information Provided to the Licensee And/Or NRC by Any Contractor or Subcontractor Employees
| ML023650299 | |
| Person / Time | |
|---|---|
| Issue date: | 12/27/2002 |
| From: | Cool D NRC/NMSS/IMNS |
| To: | |
| References | |
| IN-02-036 | |
| Download: ML023650299 (8) | |
UNITED STATES
NUCLEAR REGULATORY COMMISSION
OFFICE OF NUCLEAR MATERIAL SAFETY AND SAFEGUARDS
WASHINGTON, D.C. 20555 December 27, 2002 NRC INFORMATION NOTICE 2002-36: INCOMPLETE OR INACCURATE INFORMATION
PROVIDED TO THE LICENSEE AND/OR NRC BY
ANY CONTRACTOR OR SUBCONTRACTOR
EMPLOYEE
Addressees
All materials and fuel cycle licensees and certificate holders.
Purpose
The U.S. Nuclear Regulatory Commission (NRC) is issuing this Information Notice (IN) to remind
addressees of the importance of diligently ascertaining the accuracy of educational background
and professional qualifications of any contractor or subcontractor employees subject to such
qualification requirements. This IN also alerts addressees of the potential penalties that could
result from intentionally providing incomplete or inaccurate information to NRC. It is expected
that recipients will review this information for applicability to their facilities and consider actions, as appropriate, to avoid similar problems. However, suggestions contained in this IN are not new
NRC requirements; therefore, no specific action nor written response is required.
Description of Circumstances
The NRC Office of Investigations (OI) recently completed an investigation concerning a
consultants falsification of records, including his educational background. Five NRC medical
licensees had contracted the consultant to perform health physics services. OI initiated the
investigation based on results of NRC inspections at several medical facilities where the
individual provided consulting services. NRC identified false information in various required
records (e.g., xenon gas clearance rate calculations, which determine the amount of time that
would be needed to clear accidentally spilled radioactive xenon gas from rooms where it was to
be used; dose calibrator accuracy evaluations, which compare a known radiation activity to that
measured by the calibrator; and survey meter calibrations, which should be performed before first
use, annually, and after repair). The investigation determined that the consultant had provided
the inaccurate information to licensees, who then provided it to NRC.
NRC also identified inaccurate information regarding the consultants educational background
and professional qualifications. A licensee had failed to check the accuracy of the information
and had provided it to NRC in support of a request to name the consultant as the radiation safety
officer. The inaccurate information included a copy of a certificate purportedly issued to the
individual by a medical specialty board.
Discussion:
The regulations in 10 CFR 30.9, 40.9, 60.10, 61.9a, 63.10, 70.9, 71.7, 72.11, 76.9, and 110.7a, Completeness and Accuracy of Information, require that the information provided to NRC shall
be complete and accurate in all material respects. This requirement includes information related
to an individuals educational background and professional qualifications. Therefore, licensees
and certificate holders should exercise due diligence in verifying the qualifications of consultants
and contractors before employment. This is especially true when the licensee or certificate holder
will rely on the work of the individual when making submissions to NRC. The responsibility for
ensuring that complete and accurate information is provided to NRC ultimately rests with the
licensee and/or certificate holder. Having unqualified personnel conducting licensed activities or
providing information or services needed to comply with regulatory requirements could cause a
licensee or certificate holder to be in violation of NRC requirements.
The regulations in 10 CFR 30.10, 40.10, 60.11, 61.9b, 63.11, 70.10, 71.11, 72.12, 76.10, and
110.7b, Deliberate Misconduct, prohibit any licensee, certificate holder, or any employee, contractor, or subcontractor employee (including a supplier or consultant) of a licensee or
certificate holder from deliberately submitting information, to NRC, that the person submitting the
information knows to be incomplete and inaccurate in some material respect. Persons found to
be involved in violation of this requirement may be subject to enforcement action, in accordance
with the General Statement of Policy and Procedure for Enforcement Actions (i.e., Enforcement
Policy, available online at: http://www.nrc.gov/what-we-do/regulatory/enforcement/enforc-pol.pdf).
Actions against individuals may include civil penalties; orders to modify, suspend, or revoke
licenses; and orders to individuals, restricting future involvement by these individuals in any
licensed activities. NRC will refer cases to the U.S. Department of Justice for criminal
prosecution involving persons who deliberately cause violations of NRC regulations. NRC may
also refer cases to other Federal agencies for investigation, if such cases fall within their
jurisdiction.
Related Generic Communications:
IN 00-04, 1999 Enforcement Sanctions for Deliberate Violations of NRC Employee
Protection Requirements
IN 97-75, Enforcement Sanctions Issued as a Result of Deliberate Violations of NRC
Requirements
IN 93-73, Criminal Prosecution of Nuclear Suppliers for Wrongdoing
IN 92-37, Implementation of the Deliberate Misconduct Rule This IN requires no specific action nor written response. If you have any questions about the
information in this notice, please contact one of the technical contacts listed below, or the
appropriate regional office.
/RA/SMFrant for
Donald A. Cool, Director
Division of Industrial and
Medical Nuclear Safety
Office of Nuclear Material Safety
and Safeguards
Technical Contacts: Ivelisse M. Cabrera, NMSS Thomas R. Decker, RII
(301) 415-8152 (404) 562-4721 E-mail: imc1@nrc.gov E-mail: trd@nrc.gov
Attachments:
1. List of Recently Issued NMSS Information Notices
2. List of Recently Issued NRC Information Notices
ML023650299 ADAMS DOCUMENT TITLE:
Document Name: G:\IMNS\Cabrera\IN-Inaccurate Info.wpd
(Coordinated with FCSS, DWM, and SFPO).
OFFICE MSIB MSIB NMSS/Editor MSIB FCSS IMNS
NAME ICabrera FBrown EKraus TEssig RPierson DCool-smf for
DATE 12/17/02 12/18/02 12/17/02 12/18/02 12/19 /02 12/27/02
Attachment 1 LIST OF RECENTLY ISSUED
NMSS INFORMATION NOTICES
_____________________________________________________________________________________
Information Date of
Notice No. Subject Issuance Issued to
_____________________________________________________________________________________
2002-35 Changes to 10 CFR Parts 71 12/20/2002 All holders of 10 CFR Part 71 and 72 Quality Assurance quality assurance program
Programs approvals and all 10 CFR Part 72 licensees and certificate holders
2002-33 Notification of Permanent 11/21/2002 All teletherapy and radiation
Injunction Against Neutron processing licensees.
Products Incorporated of
Dickerson, Maryland
2002-31 Potentially Defective UF6 10/31/2002 All licensees authorized to
Cylinder Valves (1-inch) possess and use source material
and/or special nuclear material for
the heating, emptying, filling, or
shipping of uranium hexafluoride
(UF6) in 30- and 48-inch
cylinders.
2002-30 Control and Surveillance of 10/30/2002 All NRC licensees authorized to
Portable Gauges During Field possess, use, transport, and store
Operations portable gauges.
2002-28 Appointment of Radiation 09/27/2002 All medical licensees.
Safety Officers and Authorized
Users Under 10 CFR Part 35
2002-23 Unauthorized Administration of 07/16/2002 All medical licensees
Byproduct Material for Medical
Use
Note: NRC generic communications may be received in electronic format shortly after they are issued by
subscribing to the NRC listserver as follows:
To subscribe send an e-mail to <listproc@nrc.gov >, no subject, and the following command in the
message portion:
subscribe gc-nrr firstname lastname
______________________________________________________________________________________
OL = Operating License
CP = Construction Permit
Attachment 2 LIST OF RECENTLY ISSUED
NRC INFORMATION NOTICES
_____________________________________________________________________________________
Information Date of
Notice No. Subject Issuance Issued to
_____________________________________________________________________________________
2002-35 Changes to 10 CFR Parts 71 12/20/2002 All holders of 10 CFR Part 71 and 72 Quality Assurance quality assurance program
Programs approvals and all 10 CFR Part 72 licensees and certificate holders.
2002-34 Failure of Safety-Related 11/25/2002 All holders of operating licenses
Circuit Breaker External or construction permits for
Auxiliary Switches at Columbia nuclear power reactors.
Generating Station
2002-33 Notification of Permanent 11/21/2002 All teletherapy and radiation
Injunction Against Neutron processing licensees.
Products Incorporated of
Dickerson, Maryland
2002-29 Recent Design Problems in 11/06/2002 All holders of operating licenses
(Errata) Safety Functions of Pneumatic or construction permits for
Systems nuclear power reactors.
2002-32 Electromigration on 10/31/2002 All holders of operating licenses
Semiconductor Integrated for nuclear power reactors except
Circuits those who have ceased
operations and have certified that
fuel has been permanently
removed from the reactor vessel.
2002-31 Potentially Defective UF6 10/31/2002 All licensees authorized to
Cylinder Valves (1-inch) possess and use source material
and/or special nuclear material for
the heating, emptying, filling, or
shipping of uranium hexafluoride
(UF6) in 30- and 48-inch
cylinders.
2002-30 Control and Surveillance of 10/30/2002 All NRC licensees authorized to
Portable Gauges During Field possess, use, transport, and store
Operations portable gauges.
Note: NRC generic communications may be received in electronic format shortly after they are
issued by subscribing to the NRC listserver as follows:
To subscribe send an e-mail to <listproc@nrc.gov >, no subject, and the following
command in the message portion:
subscribe gc-nrr firstname lastname
______________________________________________________________________________________
OL = Operating License
CP = Construction Permit