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IN79030 December 4, 1979 MEMORANDUM FOR: B. H. Grier, Director, Region I J. P. O'Reilly, Director, Region II J. G. Keppler, Director, Region III K. V. Seyfrit, Director, Region IV R. H. Engelken, Director, Region V FROM: Harold D. Thornburg, Director, Division of Reactor Construction Inspection, IE SUBJECT: Information Notice No. NO: 79-30, REPORTING OF DEFECTS AND NONCOMPLIANCE, 10 CFR PART 21. The subject document is transmitted for issuance on December 6, 1979. The Information Notice should be issued to all power reactor facilities holding operating licenses and construction permits and vendors inspected by LCVIP. Also enclosed is a draft of the transmittal letter. Harold D. Thornburg, Director Division of Reactor Construction Inspection Office of Inspection and Enforcement Enclosures: 1. Draft Transmittal Letter 2. Information Notice No. No. 79-30 CONTACT: M. W. Peranich, IE 49-27551 . Information Notice No. 79-30 Gentlemen: The enclosed Information Notice provides information with regard to reporting of defects and noncompliance, in accordance with Part 21 of Title 10, Chapter 1, Code of Federal Regulations. This Information Notice is provided as notification of a significant matter. Although no specific action or response is requested, it is expected that recipients will review the information for possible applicability. If you have questions regarding the matter, please contact me. Sincerely, Signature (Regional Director) Enclosures: 1. Information Notice No. No. 79-30 2. List of Recently Issued IE Information Notices . SSINS: 6870 Accession No: 7910250502 UNITED STATES NUCLEAR REGULATORY COMMISSION OFFICE OF INSPECTION AND ENFORCEMENT WASHINGTON, D.C. 20555 December 6, 1979 Information Notice No. 79-30 REPORTING OF DEFECTS AND NONCOMPLIANCES, 10 CFR PART 21 Background Section 21.1, Title 10, Code of Federal Regulations, Chapter 1, Part 21, states, "The regulations in this part establish procedures and requirements for implementation of Section 206 of the Energy Reorganization Act of 1974. That Section requires any individual director or responsible officer of a firm constructing, owning, operating or supplying the components of any facility or activity which is licensed or otherwise regulated pursuant to the Atomic Energy Act of 1954, as amended, or the Energy Reorganization Act of 1974, who obtains information reasonably indicating: (a) that the facility, activity or basic component supplied to such facility or activity fails to comply with the Atomic Energy Act of 1954, as amended, or any applicable rule, regulation, order, or license of the Commission relating to substantial safety hazards or (b) that the facility, activity, or basic component supplied to such facility or activity contains defects which could create a substantial safety hazard, to immediately notify the Commission of such failure to comply or such defect, unless he has actual knowledge that the Commission has been adequately informed of such defect or failure to comply." Discussion Recent inspections performed by NRC Office of Inspection and Enforcement personnel reveal a general misunderstanding of 10 CFR Part 21 requirements in cases where a licensee or nonlicensee has selected to rely on other reporting requirements such as 50.55(e) and Regulatory Guide 1.16 as the means to adequately inform the Commission of a matter reportable under Part 21. In this area inspection findings have consistently shown that many activities covered by Part 21 have not been appropriately considered in procedures and other instructions currently being implemented. Specifically, the provisions of 21.21(a)(1), 21.21(a)(2), 21.21(b)(3) and 21.51 are not being adequately addressed. Compliance with each element of the rule is necessary to assure proper handling of matters subject to consideration and reporting under Part 21. Your attention is directed to Section 21.51 which requires that each individual or organization subject to 10 CFR Part 21 prepare records sufficient to assure compliance with the requirements of that part. . Information Notice No. 79-30 December 6, 1979 Page 2 of 2 All holders of NRC licenses or permits issued pursuant to 10 CFR Part 50, architect-engineers, contractors and suppliers subject to Part 21 requirements should ensure that management control systems are established to assure that all requirements of 10 CFR Part 21 are met, with particular emphasis on the specific areas discussed above.
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