Information Notice 2002-36, Incomplete or Inaccurate Information Provided to the Licensee And/Or NRC by Any Contractor or Subcontractor Employees

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