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.

This page includes links to files in non-HTML format. See Plugins, Viewers, and Other Tools for more information.

Some of the links on this page are to non-NRC servers and websites and are provided solely as a reference for the convenience of users. NRC cannot guarantee the authenticity of documents or the validity of information obtained at these non-NRC websites. See our Site Disclaimer for more information.

Bulletins

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

Generic Letters

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

Regulatory Issue Summaries

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

Information Notices

DateIN No.Description
10/24/18IN 2018-11Kobe Steel Quality Assurance Record Falsification
08/23/13IN 2013-15Willful Misconduct/Record Falsification and Nuclear Safety Culture
03/19/13IN 2013-02Issues Potentially Affecting Nuclear Facility Fire Safety
01/25/13IN 2012-22Counterfeit, Fraudulent, Suspect Items (CFSI) Training Offerings
09/26/11IN 2011-19Licensee Event Reports Containing Information Pertaining to Defects in Basic Components
02/15/11IN 2011-01Commercial-Grade Dedication Issues Identified During NRC Inspections
05/01/08IN 2008-10Response to Indications of Potential Tampering, Vandalism, or Malicious Mischief
04/07/08IN 2008-04Counterfeit Parts Supplied to Nuclear Power Plants
05/21/07IN 2007-19Fire Protection Equipment Recalls and Counterfeit Notices
10/07/96IN 1996-40 S1Deficiencies in Material Dedication and Procurement Practices and in Audits of Vendors
07/25/96IN 1996-40Deficiencies in Material Dedication and Procurement Practices and in Audits of Vendors
02/21/95IN 1995-12Potentially Nonconforming Fasteners Supplied by A&G; Engineering II, Inc.
09/15/93IN 1993-73Criminal Prosecution of Nuclear Suppliers For Wrongdoing
06/10/93IN 1993-43Use of Inappropriate Lubrication Oils in Safety-Related Applications
09/16/96IN 1992-68 S1Potentially Substandard Slip-On Welding Neck, and Blind Flanges
10/04/95IN 95-45American Power Service Falsification of American Society of Nondestructive Testing (ASNT) Certificates
09/10/92IN 1992-68Potentially Substandard Slip-On Welding Neck, and Blind Flanges
08/06/92IN 1992-56Counterfeit Valves in the Commercial Grade Supply System
03/24/92IN 1992-22Criminal Prosecution and Conviction of Wrongdoing Committed by a Commercial-Grade Valve Supplier
08/09/91IN 1991-48False Certificates of Conformance Provided by Westinghouse Electric Supply Company for Commercial-Grade Circuit Breakers
04/01/91IN 1991-25Commercial-Grade Structural Framing Components Supplied as Nuclear Safety-Related Equipment
04/01/91IN 1991-09 R1Counterfeiting of Crane Valves
07/16/90IN 1990-046Criminal Prosecution of Wrongdoing Committed by Suppliers of Molded-Case Circuit Breakers and Related Components
10/11/89IN 1989-70Possible Indications of Misrepresentated Vendor Products
03/07/90IN 1989-59 S2Suppliers of Potentially Misrepresented Fasteners
12/06/89IN 1989-59 S1Suppliers of Potentially Misrepresented Fasteners
08/16/89IN 1989-59Suppliers of Potentially Misrepresented Fasteners
07/20/89IN 1989-56Questionable Certification of Material Supplied to the Defense Department by Nuclear Suppliers
12/15/89IN 1989-45 S2Metalclad, Low-Voltage Power Circuit Breakers Refurbished with Substandard Parts
07/06/89IN 1989-45 S1Metalclad, Low-Voltage Power Circuit Breakers Refurbished with Substandard Parts
05/08/89IN 1989-45Metalclad, Low-Voltage Power Circuit Breakers Refurbished with Substandard Parts
04/05/89IN 1989-39List of Parties Excluded from Federal Procurement or Non-Procurement Programs
01/11/89IN 1989-03Potential Electrical Equipment Problems
12/16/88IN 1988-97 S1Potential Substandard Valve Replacement Parts
08/22/89IN 1988-48 S2Licensee Report of Defective Refurbished Valves
08/24/88IN 1988-48 S1Licensee Report of Defective Refurbished Valves
07/12/88IN 1988-48Licensee Report of Defective Refurbished Valves
09/11/89IN 1988-46 S4Licensee Report of Defective Refurbished Circuit Breakers
06/08/89IN 1988-46 S3Licensee Report of Defective Refurbished Circuit Breakers
12/30/88IN 1988-46 S2Licensee Report of Defective Refurbished Circuit Breakers
07/21/88IN 1988-46 S1Licensee Report of Defective Refurbished Circuit Breakers
07/08/88IN 1988-46Licensee Report of Defective Refurbished Circuit Breakers
06/03/88IN 1988-35Inadequate Licensee Performed Vendor Audits
04/26/88IN 1988-19Questionable Certification of Class 1E Components
12/31/87IN 1987-66Inappropriate Application of Commercial-Grade Components

Policy Issues and Support Documents

DateDescription
01/29/19NUREG-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
03/31/15NEI 14-05A, Revision 0, Guidelines for the Use of Accreditation in Lieu of Commercial Grade Surveys for Procurement of laboratory Calibration and Test Services
01/08/15SECY-15-0003 - Staff Activities Related to Counterfeit, Fraudulent, and Suspect Items
03/04/14NEI 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
11/18/11Staff Review of Counterfeit, Fraudulent, and Suspect Items
10/28/11SECY-11-0154 - An Agencywide Approach to Counterfeit, Fraudulent, and Suspect Items
09/29/11Staff 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"
08/30/11Information Briefing on Inspections, Tests, Analyses, and Acceptance Criteria (ITAAC) - Related Activities
09/22/09Periodic Briefing on New Reactor Issues - Progress in Resolving Inspections, Tests, Analysis, and Acceptance Criteria (ITAAC)
06/03/09Briefing on New Reactor Issues - Component Fabrication and Oversight - Part 1
06/03/09Commission Briefing Slides/Exhibits Periodic Briefing on New Reactor Issues - Component Fabrication and Oversight
07/18/08Weekly Information Report - Week Ending July 18, 2008
02/22/08Weekly Information Report - Week Ending February 15, 2008
08/22/07NEI Presentation: Status of New Reactor and Combined License Issues Industry Briefing of NRC Commission
10/16/06Briefing on Status of New Reactor Issues - COLs
07/09/03Approaches for Adopting More Widely Accepted International Quality Standards
11/14/94SECY-94-277 - Withdrawal of Advance Notice of Proposed Rulemaking, "Acceptance of Products Purchased for Use in Nuclear Power Plant Structures, Systems, and Components"
02/23/89Staff Requirements - Briefing on Proposed Rulemaking on Substandard Components
07/21/88Staff Requirements - Briefing on Current Status of Information Regarding the Possible Use of Substandard Components in Nuclear Power Plants

Cyber Security Information

ReferenceDescription
10 CFR 73.54Protection of digital computer and communication systems and networks
Regulatory Guide 5.71Cyber Security Programs For Nuclear Facilities
Regulatory Guide 1.152Criteria for Use of Components in Safety Systems of Nuclear Power Plants
SECY-10-0153Cyber 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-0800NUREG-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 08-09Cyber Security Plan for Nuclear Reactors
COMWCO-10-0001Staff Requirements - COMWCO-10-0001 - Regulation of Cyber Security at Nuclear Power Plants
FAQ Threat RuleNRC'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.

DateReport NoDescription
03/26/19International 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.
10/23/18Nuclear 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)

 
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

 
03/13/12

Regulatory Information Conference, Rockville, MD

  • Domestic and International Supply Chain Oversight – Enhancing the Integrity of the Supply Chain
 
September 2014IAEA Technical Meeting NoticeTechnical Meeting on Procurement Activities and on Counterfeit, Fraudulent, and Substandard Items (CFSIs): Experiences and Lessons Learned
February 2014KHNP PresentationManaging The Supply Chain: Challenges And Overcoming In Korean Nuclear Industry LWR Activities in Korea
June 2013KEPCO PresentationLWR Activities in Korea
May 2013TWG-NPPIC RecommendationsRecommendations by TWG-NPPIC Member States as stated in their Country Report Presentations
February 2013NEA/CNRA/R(2012)7Regulatory oversight of non-confirming, counterfeit, fraudulent and suspect items: final NCFSI Task Group Report
April 2012NEA/CNRA/R(2012)3Proceedings - 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 2011NEA/CNRA/R(2011)4The Nuclear Regulator's Role in Assessing Licensee Oversight of Vendor and Other Contracted Services
October 2011NEA/CNRA/R(2011)9Operating Experience Report: Counterfeit, Suspect and Fraudulent Items (CSFI)
February 2004IAEA-TECDOC-1389Managing Modernization of Nuclear Power Plant Instrumentation and Control Systems

Page Last Reviewed/Updated Tuesday, August 25, 2020