Information Notice No. NO: 79-30, Reporting of Defects and Noncompliance, 10 CFR Part 21
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
Office of Inspection and Enforcement
1. Draft Transmittal Letter
2. Information Notice No. No.
CONTACT: M. W. Peranich, IE
Information Notice No. 79-30
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.
1. Information Notice No.
2. List of Recently Issued
IE Information Notices
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
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
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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