Guidance Documents and Background Information for Counterfeit, Fraudulent, and Suspect Items (CFSI)

Generic communications are the NRC's primary method of communicating a common need for information or resolution approach regarding an issue, or communicating NRC's position and information on issues pertaining to a matter of regulatory interest. Generic communications also allow the NRC to communicate and share industry experiences and send information to specific classes of licensees and interested stakeholders. CFSI-related generic communications and other documents are listed below:

Descriptions of the various types of generic communications and their applications can be found on the NRC public website.

• Bulletins
• Generic Letters
• Regulatory Issue Summaries
• Information Notices
• Policy Issues and Support Documents
• Cyber Security Information
• International CFSI

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Bulletins

Date	NRC Bulletin No.	Description
12/22/88	NRC Bulletin 1988-010	Nonconforming Molded-Case Circuit Breakers
08/03/88	NRC Bulletin 1988-005, Supplement 2	Nonconforming Materials Supplied by Piping Supplies, Inc. at Folsom, New Jersey and West Jersey Manufacturing Co. at Williamstown, New Jersey
06/15/88	NRC Bulletin 1988-005, Supplement 1	Nonconforming Materials Supplied by Piping Supplies, Inc. At Folsom, New Jersey and West Jersey Manufacturing Co. at Williamstown, New Jersey
06/10/88	NRC Bulletin 1987-002, Supplement 2	Fastener Testing to Determine Conformance With Applicable Material Specifications
05/06/88	NRC Bulletin 1988-005	Nonconforming Materials Supplied by Piping Supplies, Inc. at Folsom, New Jersey and West Jersey Manufacturing Company at Williamstown, New Jersey
04/22/88	NRC Bulletin 1987-002, Supplement 1	Fastener Testing to Determine Conformance with Applicable Material Specifications
11/06/87	NRC Bulletin 1987-002	Fastener Testing to Determine Conformance With Applicable Material Specifications

Generic Letters

Date	Generic Letter No.	Description
04/09/91	Generic Letter 91-05	Licensee Commercial-Grade Procurement and Dedication Programs
03/21/89	Generic Letter 89-02	Actions to Improve the Detection of Counterfeit and Fraudulently Marketed Products

Regulatory Issue Summaries

Date	RIS No.	Description
06/24/15	RIS-15-08	NRC Regulatory Issue Summary (RIS), "Oversight of Counterfeit, Fraudulent, and Suspect Items in the Nuclear Industry"

Information Notices

Date	IN No.	Description
12/01/20	IN 2018-11 S1	Quality Assurance Record Falsification at Kobe Steel and other International Vendors
08/23/13	IN 2013-15	Willful Misconduct/Record Falsification and Nuclear Safety Culture
03/19/13	IN 2013-02	Issues Potentially Affecting Nuclear Facility Fire Safety
01/25/13	IN 2012-22	Counterfeit, Fraudulent, Suspect Items (CFSI) Training Offerings
09/26/11	IN 2011-19	Licensee Event Reports Containing Information Pertaining to Defects in Basic Components
02/15/11	IN 2011-01	Commercial-Grade Dedication Issues Identified During NRC Inspections
05/01/08	IN 2008-10	Response to Indications of Potential Tampering, Vandalism, or Malicious Mischief
04/07/08	IN 2008-04	Counterfeit Parts Supplied to Nuclear Power Plants
05/21/07	IN 2007-19	Fire Protection Equipment Recalls and Counterfeit Notices
10/07/96	IN 1996-40 S1	Deficiencies in Material Dedication and Procurement Practices and in Audits of Vendors
07/25/96	IN 1996-40	Deficiencies in Material Dedication and Procurement Practices and in Audits of Vendors
02/21/95	IN 1995-12	Potentially Nonconforming Fasteners Supplied by A&G; Engineering II, Inc.
09/15/93	IN 1993-73	Criminal Prosecution of Nuclear Suppliers For Wrongdoing
06/10/93	IN 1993-43	Use of Inappropriate Lubrication Oils in Safety-Related Applications
09/16/96	IN 1992-68 S1	Potentially Substandard Slip-On Welding Neck, and Blind Flanges
10/04/95	IN 95-45	American Power Service Falsification of American Society of Nondestructive Testing (ASNT) Certificates
09/10/92	IN 1992-68	Potentially Substandard Slip-On Welding Neck, and Blind Flanges
08/06/92	IN 1992-56	Counterfeit Valves in the Commercial Grade Supply System
03/24/92	IN 1992-22	Criminal Prosecution and Conviction of Wrongdoing Committed by a Commercial-Grade Valve Supplier
08/09/91	IN 1991-48	False Certificates of Conformance Provided by Westinghouse Electric Supply Company for Commercial-Grade Circuit Breakers
04/01/91	IN 1991-25	Commercial-Grade Structural Framing Components Supplied as Nuclear Safety-Related Equipment
04/01/91	IN 1991-09 R1	Counterfeiting of Crane Valves
07/16/90	IN 1990-046	Criminal Prosecution of Wrongdoing Committed by Suppliers of Molded-Case Circuit Breakers and Related Components
10/11/89	IN 1989-70	Possible Indications of Misrepresentated Vendor Products
03/07/90	IN 1989-59 S2	Suppliers of Potentially Misrepresented Fasteners
12/06/89	IN 1989-59 S1	Suppliers of Potentially Misrepresented Fasteners
08/16/89	IN 1989-59	Suppliers of Potentially Misrepresented Fasteners
07/20/89	IN 1989-56	Questionable Certification of Material Supplied to the Defense Department by Nuclear Suppliers
12/15/89	IN 1989-45 S2	Metalclad, Low-Voltage Power Circuit Breakers Refurbished with Substandard Parts
07/06/89	IN 1989-45 S1	Metalclad, Low-Voltage Power Circuit Breakers Refurbished with Substandard Parts
05/08/89	IN 1989-45	Metalclad, Low-Voltage Power Circuit Breakers Refurbished with Substandard Parts
04/05/89	IN 1989-39	List of Parties Excluded from Federal Procurement or Non-Procurement Programs
01/11/89	IN 1989-03	Potential Electrical Equipment Problems
12/16/88	IN 1988-97 S1	Potential Substandard Valve Replacement Parts
08/22/89	IN 1988-48 S2	Licensee Report of Defective Refurbished Valves
08/24/88	IN 1988-48 S1	Licensee Report of Defective Refurbished Valves
07/12/88	IN 1988-48	Licensee Report of Defective Refurbished Valves
09/11/89	IN 1988-46 S4	Licensee Report of Defective Refurbished Circuit Breakers
06/08/89	IN 1988-46 S3	Licensee Report of Defective Refurbished Circuit Breakers
12/30/88	IN 1988-46 S2	Licensee Report of Defective Refurbished Circuit Breakers
07/21/88	IN 1988-46 S1	Licensee Report of Defective Refurbished Circuit Breakers
07/08/88	IN 1988-46	Licensee Report of Defective Refurbished Circuit Breakers
06/03/88	IN 1988-35	Inadequate Licensee Performed Vendor Audits
04/26/88	IN 1988-19	Questionable Certification of Class 1E Components
12/31/87	IN 1987-66	Inappropriate Application of Commercial-Grade Components

Policy Issues and Support Documents

Date	Description
01/29/19	NUREG-1650, R. 6, S1 – Answers to Questions from the Peer Review by Contracting Parties on the United States of America Seventh National Report for the Convention on Nuclear Safety
03/31/15	NEI 14-05A, Revision 0, Guidelines for the Use of Accreditation in Lieu of Commercial Grade Surveys for Procurement of laboratory Calibration and Test Services
01/08/15	SECY-15-0003 - Staff Activities Related to Counterfeit, Fraudulent, and Suspect Items
03/04/14	NEI Transmittal Letter of NEI 14-05A, Revision 0, Guidelines for the Use of Accreditation in Lieu of Commercial Grade Surveys for Procurement of laboratory Calibration and Test Services
11/18/11	Staff Review of Counterfeit, Fraudulent, and Suspect Items
10/28/11	SECY-11-0154 - An Agencywide Approach to Counterfeit, Fraudulent, and Suspect Items
09/29/11	Staff Plans to Develop the Regulatory Basis for Clarifying the Requirements in Title 10 of the Code of Federal Regulations Part 21, "Reporting of Defects and Noncompliance"
08/30/11	Information Briefing on Inspections, Tests, Analyses, and Acceptance Criteria (ITAAC) - Related Activities
09/22/09	Periodic Briefing on New Reactor Issues - Progress in Resolving Inspections, Tests, Analysis, and Acceptance Criteria (ITAAC)
06/03/09	Briefing on New Reactor Issues - Component Fabrication and Oversight - Part 1
06/03/09	Commission Briefing Slides/Exhibits Periodic Briefing on New Reactor Issues - Component Fabrication and Oversight
07/18/08	Weekly Information Report - Week Ending July 18, 2008
02/22/08	Weekly Information Report - Week Ending February 15, 2008
08/22/07	NEI Presentation: Status of New Reactor and Combined License Issues Industry Briefing of NRC Commission
10/16/06	Briefing on Status of New Reactor Issues - COLs
07/09/03	Approaches for Adopting More Widely Accepted International Quality Standards
11/14/94	SECY-94-277 - Withdrawal of Advance Notice of Proposed Rulemaking, "Acceptance of Products Purchased for Use in Nuclear Power Plant Structures, Systems, and Components"
02/23/89	Staff Requirements - Briefing on Proposed Rulemaking on Substandard Components
07/21/88	Staff Requirements - Briefing on Current Status of Information Regarding the Possible Use of Substandard Components in Nuclear Power Plants

Cyber Security Information

Reference	Description
10 CFR 73.54	Protection of digital computer and communication systems and networks
Regulatory Guide 5.71	Cyber Security Programs For Nuclear Facilities
Regulatory Guide 1.152	Criteria for Use of Components in Safety Systems of Nuclear Power Plants
SECY-10-0153	Cyber Security - Implementation of the Commission's Determination of Systems and Equipment within the Scope of Title 10 of the Code od Federal regulations, Section 73.54
NUREG-0800	NUREG-0800 - Chapter 13, Section 13.6.6, Revision NUREG-0800 - Chapter 13, Section 13.6.6, Revision 0, "Cyber Security Plan."0, "Cyber Security Plan."
NEI 08-09	Cyber Security Plan for Nuclear Reactors
COMWCO-10-0001	Staff Requirements - COMWCO-10-0001 - Regulation of Cyber Security at Nuclear Power Plants
FAQ Threat Rule	NRC's Frequently Asked Questions (FAQ) About NRC's Design Basis Threat Final Rule

International CFSI

Counterfeit, fraudulent and suspect items (CFSI) in the commercial nuclear supply chain includes a strong global element that the NRC recognizes requires close coordination with peer regulators in order to assure that oversight is consistent, constant, and coordinated to be effective. This section provides a means to access key guidance for accessing information related to CFSI in the international arena, as well as an overview of NRC participation in these collegial discussions.

 

• About the International Atomic Energy Agency (IAEA)
• About the Nuclear Energy Agency (NEA)

Date	Report No	Description
03/26/19	International Atomic Energy Agency (IAEA) landing page for the publication, "Managing Counterfeit and Fraudulent Items in the Nuclear Industry"	This publication assists in addressing CFSI, and provides guidance on good practices to effectively manage CFSI in the nuclear industry.
10/23/18	Nuclear Energy Agency (NEA) Multinational Design Evaluation Programme Common Position, CP-VICWG-04, "Common Position on Counterfeit, Fraudulent, and Suspect Items Procedures and Policies"	This Common Position (CP) provides high-level guidance for regulators interested in developing a more robust reporting and information sharing system for minimizing the threats posed by CFSI in their country. It offers guidance to them on how they, as regulators may reinforce their oversight of nuclear power plant supply chains.
03/14/18	Sultan Al Qahtani, Head of QA Program for Nawah Energy Co. at NRC’s 2018 Regulatory Issues Conference (RIC) Nuclear Energy, Quality Assurance & CFSI Program in UAE
03/11/15	Federal Authority for Nuclear Regulation, United Arab Emirates' presentation at the NRC's 2015 Regulatory Information Conference Regulatory Oversight of Supply Chain (Recent Challenges), Michael Cash and Rashid Al Hammadi
06/12/14	NRC Vendor Workshop – Portland, Oregon Track 3 Korean Industry Perspective on CFSIs - Regulatory Consideration - KINS Track 3 Korean Industry Perspective on CFSI - KHNP Conference Summary
03/13/12	Regulatory Information Conference, Rockville, MD Domestic and International Supply Chain Oversight – Enhancing the Integrity of the Supply Chain
September 2014	IAEA Technical Meeting Notice	Technical Meeting on Procurement Activities and on Counterfeit, Fraudulent, and Substandard Items (CFSIs): Experiences and Lessons Learned
February 2014	KHNP Presentation	Managing The Supply Chain: Challenges And Overcoming In Korean Nuclear Industry LWR Activities in Korea
June 2013	KEPCO Presentation	LWR Activities in Korea
May 2013	TWG-NPPIC Recommendations	Recommendations by TWG-NPPIC Member States as stated in their Country Report Presentations
February 2013	NEA/CNRA/R(2012)7	Regulatory oversight of non-confirming, counterfeit, fraudulent and suspect items: final NCFSI Task Group Report
April 2012	NEA/CNRA/R(2012)3	Proceedings - Utilisation of Operating Experience in the Regulatory Inspection Programme and of Inspection Findings and Operating Experience Insights from the Non-Conformance of Spare Parts Working Group on Operating Experience
December 2011	NEA/CNRA/R(2011)4	The Nuclear Regulator's Role in Assessing Licensee Oversight of Vendor and Other Contracted Services
October 2011	NEA/CNRA/R(2011)9	Operating Experience Report: Counterfeit, Suspect and Fraudulent Items (CSFI)
February 2004	IAEA-TECDOC-1389	Managing Modernization of Nuclear Power Plant Instrumentation and Control Systems