Information Notice 1987-33, Applicability of 10 CFR Part 21 to Nonlicensees
c -
SSINS No.:
6835 IN 87-33
UNITED STATES
NUCLEAR REGULATORY COMMISSION
OFFICE OF NUCLEAR REACTOR REGULATION
WASHINGTON, D.C. 20555
July 24, 1987
NRC INFORMATION NOTICE NO. 87-33: APPLICABILITY OF 10 CFR PART 21
TO NONLICENSEES
Addressees
All NRC licensees.
Purpose
This notice is provided to inform addressees of a potential generic problem
concerning the applicability of 10 CFR Part 21 to certain fabrication, erec- tion, installation, modification, inspection, testing, and training services
provided to licensees.
It is expected that recipients will review the informa- tion for applicability to their facilities and consider actions, if appropri- ate, to preclude similar problems.
However, suggestions contained in this
information notice do not constitute NRC requirements; therefore, no specific
action or written response is required.
Description of Circumstances
During recent NRC inspections at the Byron Station, Units 1 and 2, it was noted
that the licensee, Commonwealth Edison Company (CECo), had failed to appropri- ately apply the requirements of 10 CFR Part 21 to onsite contractors. These
contractors provided fabrication, erection, installation, modification, mainte- nance, inspection, and testinq services for the Byron facility.
During inter- views with senior CECo management, the NRC was informed that CECo had made the
decision not to specify applicability of the requirements of 10 CFR Part 21 for
any of their onsite contractors. During a separate NRC inspection, it was also
noted that Iowa Electric Light and Power Company (IELP) had failed to appropri- ately apply the requirements of 10 CFR Part 21 to a local vendor that had
repaired/rewound Class 1E electrical equipment for the Duane Arnold Nuclear
Power facility. IE Information Notice 85-101, "Applicability of 10 CFR 21 to
Consulting Firms Providing Training," was previously issued on December 31, 1985, to inform licensees and consultants of a potential generic problem concerning
the applicability of 10 CFR Part ?1 to certain training activities provided by
consultants. The notice was issued after an NRC vendor inspection of a company
which provided consulting services, including training, to the nuclear industry
disclosed that licensees had failed to appropriately apply the requirements of
10 CFR Part 21 to the consultant providing the training.
8707200145
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IN 87-33 July 24, 1987 Discussion:
The Commission is taking this opportunity to emphasize the responsibilities of
licensees under the requirements of 10 CFR Part 21, "Reporting of Defects and
Noncompliance." 10 CFR Part 21 establishes procedures and requirements for the
Implementation of Section 206 of the Energy Reorganization Act of 1974, as
amended. Section 206 imposes reporting responsibilities on directors and
responsible officers of firms 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, as amended. The focus of Section 206 goes beyond
those entities licensed or regulated by the Commission to all entities that
engage in the activities described in the regulation.
10 CFR 21.3(c) states that the terms 'constructing" or "construction" include
the design, manufacture, fabrication, placement, erection, installation, modification, inspection, or testing of a facility or activity that is subject
to 10 CFR Part 21 and consulting services which are related to the facility or
activity that are Important to safety.
10 CFR 21.3(1) states that the terms
"supplying" or "supplies" means contractually responsible for a basic component
used or to be used in a facility or activity subject to 10 CFR Part 21.
10 CFR 21.3(a)(3) states that "in all cases 'basic component' includes design, inspection, testing, or consulting services important to safety that are
associated with the component hardware, whether thjese seryvAes are performed_
by the component supplier or others." Hence, onsite and offsite construction
services are subject to the provisions of 10 CFR Part 21 whenever these services
are associated with a basic component as defined in 10 CFR 21.3(a)(l1. Although
10 CFP Part 21 obligations are applicable, whether or not the contractor has
been contractually obligated to the provisions of 10 CFR Part 21, licensee
procurement of such services should nevertheless specify the applicability
of 10 CFR Part 21 as stated in 10 CFR 21.31 unless such services fall under
the definition of "commercial grade item" as defined in 10 CFR ?1.3(a)(41.
Any deviation discovered following the suitability for application review
performed to dedicate a commercial grade item for a safety-related application
would be reouired to be evaluated by the dedicating or subsequent user organi- zation and, if appropriate, reported pursuant to the requirements of 10 CFR
Part 21.
Further discussion and guidance on this matter is provided in NUREG-0302, Revision 1, "Remarks Presented (Questions/Answers Discussed) at Public Regional
Meetings to discuss Regulations (10 CFR Part 21) for Reporting of Defects and
Noncompliance," published in October 1977.* This publication provides NRC staff
remarks on 10 CFR Part 21 as well as some legislative and legal discussions
on 10 CFR Part 21 and its impact upon reactor, material, fuel cycle, and
export licensees and related suppliers.
- NUREG-0302, Rev. 1, is available through the NRC/GPO Sales Program, U.S. NRC, Washington, D.C.
20555, (202) 275-2060.
IN 87-33 July 24, 1987 No specific action or written response is required by this Information notice.
If you have any questions about this matter, please contact the Regional
Administrator of the appropriate regional office or this office.
Charles E. Rossi,.Director
Division of. Operational Events Assessment
Office of Nuclear Reactor Regulation
Technical Contacts: J1aime Guillen, NRR
(301) 492-8933 M. P. Phillips, RII!
(312) 790-5530
R. S. Love, RIIT
(312) 790-5593 Attachment:
List of Recently Issued NRC Information Notices
I\\ '
'.
,Attachment 1 IN 87-33
July 24. 1987
LIST OF RECENTLY ISSUED
INFORMATION NOTTCES 198t
Inform
.otice
ation
n
N-
Subalct
- -
_87-32
Deficiencies in the Testing
of Nuclear-Arade Activated
-Charcoal.
87-31
Blocking, Rracing, and
Securing of Radioactive
Materials Packages In
Transportation.
P7-30
Cracking of Surge Ping'
Brackets in Large General
Electric Company Electric
Motors.
87-29 Recent Safety-Related
Incidents at Large
Irradiators.
rate of
Issuance
7/10/87
7/10/87'
7/2/87 Issued to
All nuclear power
reactor Facil ities
holding an (1L or CP.
All NRC licensees.
All nuclear power
reactor facilities
holding an nL or CP.
87-28
87-27
Air Systems Problems at
U.S. Light Water Reactors.
Iranian Official Implies
Vague Threat to U.S.
Resources.
6/26/87
All NRC licensees
authorized'to possess
and use sealed sources
in large irradiators.
6/22/87
All nuclear power
-
reactor 'acilities
6/10/87
All nuclear power
reactor facilities
research and nonpower
reactor facilities, and fuel fabrication
and processing
fac11fties us~ng or
possessing formula
quantities of special
nuclear material.
6/11/87
All uranium fuel
- abrication and
conversion facilities.
6/11/87
~ ~All
nuclear powter
reactor facilities
holding an nL or CP.
87-26
Cracks In Stiffening Rings
on 48-Inch Diameter UF,
Cylinders.
87-25
-
otentleliy Sig-nifircant
Problems Resulting from
Human Error Involving
Wrong Unit, Wrong Train, or Wrong Component Events.
- Operating License
- Construction Permit
UNITED STATES
NUCLEAR REGULATORY COMMISSION
WASHINGTON, D.C. 20555
OFFICIAL BUSINESS
PENALTY FOR PRIVATE USE, $300
FIRST CLASS MAIL
POSTAGE O FEES PAID
WASH. D.C.
PERMIT No.
G-S7
IN 87-33 July 24, 1987 No specific action or written response is required by this information notice.
If you have any questions about this matter, please contact the Regional
Administrator of the appropriate regional office or this office.
Charles E. Rossi, Director
Division of Operational Events Assessment
Office of Nuclear Reactor Regulation
Technical Contacts:
Jaime Guillen, NRR
(301) 492-8933
M. P. Phillips, RIII
(312) 790-5530
R. S.
(312)
Love, RIII
790-5593 Attachment:
List of Recently Issued NRC Information Notices
- SEE PREVIOUS CONCURRENCES
- O
- DOEA:NRR
JGuillen
06/25/87
- C/OGCB:DOEA:NRR
CHBerlinger
05/27/87
- AGCE:OGC
SChidakel
06/01/87
- PPMB:ARM
TechEd
05/08/87
- Region III
RLove
05/11/87
- DFCMACUS:NMSS
RCunningham
05/ /87
- ABC/VIB:DRIS:NRR
EMerschoff
05/ /87
- OE:EDO
JLieberman
06/25/87
- DD:DRIS:NRR
BGrimes
06/18/87 Wa-A
,cAe
t
_ Pe/t
"tK
4
0
5. Cfie
V.
S C&I
4/)Le O 72/97
IN 87-XX
July xx, 1987 No specific action or written response is required by this information notice.
If you have any questions about this matter, please contact the Regional
Administrator of the appropriate regional office or this office.
Charles E. Rossi, Director
Division of Operational Events Assessment
Office of Nuclear Reactor Regulation
Technical Contacts:
Jaime Guillen, NRR
(301) 492-8933
M. P. Phillips, RIII
(312) 790-5530
R. S.
(312)
Love, RIII
790-5593 NRC/GPO Sales Program, U.S. NRC
(202) 275-2060
Washington, DC 20555
Attachment:
List of Recently Issued NRC Information Notices
- SEE PREVIOUS CONCURRENCES a
7d It?
D/DOEA:NRR
- C/OGCC VOEA: RR *PPMB:ARM
CERossi
CHBerlinger
TechEd
07/ /87
05/27/87
05/08/87
- OGCB:DOEA:NRR
- AGCE:OGC
- Region III
JGuillen
SChidakel
RLove
06/25/87
06/01/87
05/11/87
- DFCMACUS:NMSS
RCunningham
05/ /87
- ABC/VIB:DRIS:NRR
EMerschoff
05/ /87
- OE:EDO
JLieberman
06/25/87
- DD:DRIS:NRR
BGrimes
06/18/87
IN 87-XX
June xx, 1987 No specific action or written response is required by this information notice.
If you have any questions about this matter, please contact the Regional
Administrator of the appropriate regional office or this office.
Charles E. Rossi, Director
Division of Operational Events Assessment
Office of Nuclear Reactor Regulation
Technical Contacts:
Jaime Guillen, NRR
(301) 492-8933
M. P. Phillips, RIII
(312) 790-5530
R. S. Love, RIII
(312) 790-5593 NRC/GPO Sales Program, U.S. NRC
(202) 275-2060
Washington, DC
20555 Attachment:
List of Recently Issued NRC Infonmation Notices
- SEE PREVIOUS CO CURRENCES
D/DOEA:NR
- C/OGCB:DOEA:NRR
CERossi
CHBerl inger
06/ASA/87
05/11/87
- OGCB:DOEA: RR
- PPMB:ARM
JGuillen
u
l,5ler
MHarwell
05/11/87
"II
05/08/87
- ABC/VIB:DR S:NRR
DD:DRIS:NRR
EMerschoff
BGrimesbN%-$L
05
/87
061to /
- DFCMACUS:NMSS OE:EDO eR--l
RCunningham
JLieberman for
05/ /87
5W
C/,.s/r
AGCE:OGC
Region III
SChidakel
RLove BAWU\\
06/01/87
05/%\\/8-
IN 87-XX
June xx, 1987 No specific action or written response is required by this information notice.
If you have any questions about this matter, please contact the Regional
Administrator of the appropriate regional office or this office.
Charles E. Rossi, Director
Division of Operational Events Assessment
Office of Nuclear Reactor Regulation
Technical Contacts: Jaime Guillen, NRR
(301) 492-8933 NRC/GPO Sales Program, U.S. NRC
(202) 275-2060
Attachments:
1. IE Information Notice No.86-101
2.
List of Recently Issued NRC Information Notices
Washington, DC 20555
- SEE PREVIOUS CONCURRENCES
D/DOEA:NRR
- C/OGCB:DOEA:NRR
CERossi
CHBerlinger
06/
/87
05/11/87
- OGCB:DOEA:NRR
- PPMB:ARM
JGuillen
MHarwell
05/11/87
05/08/87 DFCMACUS:NMS§
E :EDO
RCunningham,- JLieberman
05/
/87
05/
/87 AGCE:OGC
ABC/VIB:DRIS:NRR
SChidakel
EMerschoff
06/01/87
05/
/87
IN 87-XX
May xx, 1987 No specific action or written response is required by this information notice.
If you have any questions about this matter, please contact the Regional
Administrator of the appropriate regional office or this office.
Charles E. Rossi, Director
Division of Operational Events Assessment
Office of Nuclear Reactor Regulation
Technical Contacts: Jaime Guillen, NRR
(301) 492-8933 NRC/GPO Sales Program, U.S. NRC
(202) 275-2060
Attachments:
1. IE Information Notice No.86-101
2. List of Recently Issued NRC Information Notices
Washington, DC
20555
- SEE PREVIOUS CONCURRENCES
D/DOEA:NRR
CERossi
05/ /87 AGCE:OGC
SChidakel
05/ /87
- C/OGCB:DOEA:NRR
CHBerlinger C tM Ig2
05/11/87 SJ;
ABC/VIB:DRIS:NRR
EMerschoff, If f
05/ /87
- OGCB:DOEA:NRR
JGuillen
05/11/87
- PPMB:ARM
MHarwell
05/08/87
IN 87-XX
May, 1987 Part 21 establish procedures and requirements for the implementation of Section
206 of the Energy Reorganization Act of 1974. This section imposes reporting
responsibilities on directors and responsible officers of firms 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, as amended. The focus of
Section 206 goes beyond those entitles licensed or previously regulated by the
Commission to all entities that engage in the activities described in the
regulation.
10 CFR 21.3(c) states that the terms "constructing" or "construction' include
the design, manufacture, fabrication, inspection, or testing of a facility or
activity that is subject to 10 CFR Part 21 and consulting services which are
related to the facility or activity that are important to safety.
10 CFR
21.3(1) of 10 CFR Part 21 states that the terms "supplying" or 'supplies' apply
to any entity which is contractually responsible for a basic component used or
to be used in a facility or activity subject to 10 CFR Part 21. 10 CFR
21.3(a)(3) states that "in all cases 'basic component' includes design, Inspec- tion, testing, or consulting services important to safety that are associated
with the component hardware, whether these services are performed by the
component supplier or others." Hence, onsite and offsite construction services
are subject to the provisions of 10 CFR Part 21 whenever these services are
associated with a basic component as defined in 10 CFR 21.3(a)(1).
Licensee
procurement of such construction services must therefore specify the applica- bility of 10 CFR Part 21 as stated in 10 CFR 21.31 unless such services fall
under the definition of "commercial grade item" as defined in 10 CFR
21.3(a)(4).
Further discussion and guidance on this matter is provided in NUREG-0302, Revision 1, 'Remarks Presented (Questions/Answers Discussed) at Public Regional
Meetings to Discuss Regulations (10 CFR Part 21) for Reporting of Defect and
Noncompliance."
No specific action or written response is required by this information notice.
If you have any questions about this matter, please contact the Regional
Administrator of the appropriate regional office or this office.
Charles E. Rossi, Director
Division of Operational Events Assessment
Office of Nuclear Reactor Regulation
Technical Contact:
Jaime Guillen, NRR
(301) 492-8933 Attachment: List of Recently Issued EInformation Notices
Esee nr-t -tpge_
~
-
X
PPMB:ARM
C/OGQ$ 0EA:NRR
D/DOEA:NRR
JGu1 en
MHarwell
CHBerlinger
CERossi
05/1 87
05/ /87
05/1//87
05/ /87
C
.
IN 87-XX
May, 1987 Page of
No specific action or written response is required by this information notice.
If you have any questions about this matter, please contact the Regional
Administrator of the appropriate regional office or this office.
Charles E. Rossi, Director
Division of Operational Events Assessment
Office of Nuclear Reactor Regulation
Technical Contact:
Jaime Guillen, NRR
(301) 492-8933 Attachment:
List of Recently Issued IE Information Notices
OGCB:DOEA:NRR
JGuillen
05/ /87 PPMB:ARM
Harwel I
05/ /87 C/OGCB: DOEA:NRR
CHBerlinger
05/ /87 D/DOEA:NRR
CERossi
05/ /87