ML20236F305
| ML20236F305 | |
| Person / Time | |
|---|---|
| Issue date: | 07/22/1987 |
| From: | Murley T Office of Nuclear Reactor Regulation |
| To: | Office of Nuclear Reactor Regulation |
| References | |
| NRRL-1300, NUDOCS 8708030288 | |
| Download: ML20236F305 (7) | |
Text
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$o UNITED STATES i
t, NUCLEAR REGULATORY COMMISSION g
j WASHINGTON. D. C. 20555 t
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%,.....f JUL F 21987 MEMORANDUM FOR:
All NRR Employees FROM:
Thomas E. Murley, Director Office of Nuclear Reactor Regulation
SUBJECT:
NRR OFFICE LETTER NO.1300 PROCEDURES FOR HANDLING 10 CFR PART 21 AND 10 CFR 50.55(e) NOTIFICATIONS OF DEFECTS, NONCOMPLIANCE, AND CONSTRUCTION DEFICIENCIES 3
PURPOSE This procedure contains guidance that describes actions to be taken upon receipt of notifications of defects, noncompliance with U.S. Nuclear Regulatory Commission (NRC) regulations, and design and construction deficien-cies. The division of responsibility within the Office of Nuclear Reactor 7
Regulation (NRR), and the NRR interaction with other offices are described.
This directive supersedes NRR Office Letter No. 18. Rev. 1.
DEFINITIONS 10 CFR Part 21 and 10 CFR 50.55(e) require that licensees, construction permit holders, and vendors rotify the NRC of any defects in components or activities, failures to comply with regulatory requirements, and design and construction deficiencies that could create a substantial safety hazard.
10 CFR Part 21, " Reporting of Defects and Noncompliance," implements Section 206 of the Energy Reorganization Act of 1974, as amended.
10 CFR 21.21 re-quires that directors and responsible officers of firms and organizations building, operating or owning NRC licensed facilities, or conducting NRC licensed activities, report defects in components and failures to comply with regulatory requirements that could create a substantial safety hazard. Also covered under the regulation are directors and responsible officers of firms and organizations supplying safety-related components and safety-relateti design, testing, inspection, and consulting services. NRC licensees and other organizations covered by 10 CFR Part 21 must adopt internal procedures to ensure that safety-related defects are brought to the attention of responsible officers or directors. These individuals, in turn, are required to notify the Q/
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CONTACT: Jaime Guillen, NRR hP 492-8933
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l Commission, either orally or in writing, within 2 days that a substantial 4
safety hazard exists, and file a written report within 5 days of learning of l
the defect or noncompliance.
l I
10 CFR 50.55(e) establishes requirements for reporting deficiencies found in I
the design and construction of nuclear power plants. The holder of a nuclear power plant construction permit is required to notify the Commission of each deficiency found in the design and construction, which if it were to remain uncorrected, could adversely affect the operational safety of the nuclear power plant at any time throughout the expected lifetime of the plant.
The reporting requirements are intended to ensure that the Commission receives prompt notification concerning defects, failures to comply, or design and construction deficiencies in facilities or related to activities licensed by the Commission. The notifications are reviewed by the Commission staff to determine whether the defects, failures to comply, or deficiencies could create i
a substantial safety hazard and to determine their generic implication.
10 CFR 21.51 requires that each licensee of a facility or activity subject to 10 CFR Part 21 maintain records in connection with the licensed activity as may be required to assure compliance with the regulation.
Each individual, corpo-ration, partnership, or other entity subject to 10 CFR Part 21 is required to l
prepare records in connection with the design, manufacture, fabrication, I
placement, erection, installation, modification, inspection or testing of any facility, or basic component supplied for any licensed facility or to be used in any licensed activity sufficient to assure compliance with this regulation.
I Additionally, 10 CFR 21.41 states that the Commission staff shall be permitted to review these records to ensure compliance with 10 CFR Part 21.
l RESPONSIBILITY AND AUTHORITIES 10 CFR Part 21 and 10 CFR 50.55(e) Notifications Initial notification of any defects or noncompliance should be made to the NRC, Operations Center. The followup written notification should be sent to the Document Control Desk, U.S. Nuclear Regulatory Commission, Washington, D.C.
20555, with a copy sent to the appropriate NRC regional office.
Information copies of the notification are distributed through the Regulatory Information Distribution System (RIDS), to all the NRR divisions, the Office for Analysis and Evaluation of Operational Data (AE00), to the NRR or Office of Nuclear Material Safety and Safeguards Project Manager of any identified facility, and the regional offices.
In certain cases, the Generic Communications Branch (0GCB) in the Division of Operational Events Assessment may orally notify the l
division having licensing responsibility for an identified plant that a 10 CFR l
Part 21 notification has been made and a written report is forthcoming.
Initial notification of construction deficiencies should be made wi, thin 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> to the appropriate NRC regional office. The followup written notifica-tion should be sent to the Director, Office cf Nuclear Reactor Regulation, U.S.
Nuclear Regulatory Commission, Washington. D.C.
20555.
Information copies of
" g ;; g the reported deficiency are then distributed through the RIDS to 0GCB, the NRP, Project Manager, AE0D, the Advisory Committee on Reactor Safeguards, the Office of the General Counsel, and the appropriate regional office.
In certain cases, 0GCB may notify orally the division having licensing responsibility for an identified plant that a 10 CFR 50.55(e) notification has been made and a written notification is forthcoming.
When an oral notification is made directly to an NRR staff member, that staff member should inform the person calling that the regulations require an initial notification followed by a written report as specified above. However, the staff member should accept the initial notification, inform 0GCB orally of the notification, and pronptly provide OGCB with a brief memorandum summarizing all pertinent information.
If a written notification is sent directly to an NRR staff member, a copy should be sent promptly to 0GCB. 0GCB will then be responsible for follow up action on the reported information and will alert the necessary individuals.
x An anonymous written or oral notification will be treated as an allegation and not as a 10 CFR Part 21 or 10 CFR 50.55(e) notification.
Evaluation of Notifications by 0GCB 0GCB is responsible for the initial review of all 10 CFR Part 21 and 10 CFR 50.55(e) notifications. Until specifically identified as being the responsi-bility of another NRR branch, any notification received through the RIDS distribution should be considered to be "for information only." OGCB is responsible for reviewing and evaluating these notifications and taking appro-priate review action.
Review action includes evaluation of the described safety issue, determination of the generic implications, requesting the in-volvement of other NRC offices when appropriate, and making recommendations regarding 10 CFR Part 21 or 10 CFR 50.55(e) notifications that may require licensing board notification as outlined in NRR's upcoming office letter to be entitled " Staff Policy and Procedures for Notifications to Adjudicatory Tribu -
nals," which will supersede NRR Office Letter No. 19, Revision 3.
Review responsibility of notifications involving complicated issues which cannot be properly evaluated by OGCP will be transferred to the appropriate NRR branch for follow up and resolution.
0GCB, in conjunction with other NRC organiza-tions, will determine, where appropriate, the need to issue an information notice or bulletin regarding a reported defect, noncompliance, or construction deficiency.
Evaluation of Notifications by Other NRR Branches Whenever the review responsibility is transferred from OGCB to another NRR branch, that branch should assign a reviewer and let OGCB know who the reviewer I
l will be. This review should be conducted like any other plant spec 1fic action l
item or generic review. The reviewer shall be responsible for determining whether the information in the notification is generic or plant unique.
10 CFR Part 21 and 10 CFR 50.55(e) notifications frequently appear to be plant spe-cific, yet some may actually have generic implications. When the reviewer determines that other plants may be affected, he or she shall notify 0GCB and
1 i
R 2 2 1987 the corresponding Project Managers and keep them informed of all related efforts by sending them copies of correspondence. The reviewer shall be responsible for providing OGCB wi_th a basis for licensing action (if any), or a basis for determining whether the indicated defect or noncompliance is generic
' or unique to a facility.
If the 10 CFR Part 21 or 10 CFR 50.55(e) notification fuentifies more than one facility, 0GCB will coordinate.the review and deter-mine who will take the lead responsibility.
If the notification could affect an ongoing licensing board proceeding, the assigned reviewer shall promptly provide a proposed board notification to the appropriate Division Director explaining why the item may affect pending Board proceedings. The board notification polic proceedings, including operating license (y is applicable to all adjuc'icatory i
OL), full-termOL,OLamendment, j
construction permit (CP), and CP amendment proceedings. This. policy and the rocedures for implementing it are outlined in NRR office letter entitled p' Staff Policy and Procedures for Notifications to Adjudicatory Tribunals."
Approximately every ncnth, 0GCB will issue to all NRR divisions-and the re-gional offices a list of the 10 CFR Part 21 notifications that have been received within the last 6 months and their current status. A list of the 10 CFR 50.55(e) notifications that have been assigned for review within that same period vill also be provided. These lists will include a brief description of the notification, the branch responsible for the review, and the current review status.
Effective Date This office. letter is effective upon issuance.
'Origi'nal eigned by Thomon F. Murley Thomas E. Murley, Director Office of Nuclear Reactor Regulation j
4 Distribution TEMurley, NRR JHSniezek, NRR FAshe, OSP RWStarostecki, NRR CERossi, NRR CHBerlinger, NRR JGuillen, NRR EJButcher, NRR WDLanning M" DCS C, NRR JFunches, NRR PDR DOEA R/F OGCB R/F JGuillen R/F
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. the corresponding Project Managers and keep them informed of all related efforts by sending them copies of correspondence. The reviewer shall be responsible for providing OGCB with a basis for licensing action (if any), or a basis for determining whether the indicated defect or noncompliance is generic or unique to a facility.
If the 10 CFR Part 21 or 10 CFR 50.55(e) notification identifies more than one facility, 0GCB will coordinate the review and deter-mine who will take the lead responsibility.
If the notification could affect an ongoing licensing board proceeding, the assigned reviewer shall promptly provide a proposed board notification to the i
appropriate Division Director explaining why the item may affect pending Board proceedings.
The board notification policy is applicable to all adjudicatory construction permit (CP)perating license IOL), full-term OL, OL amendment, proceedings, including o
, and CP amendment proceedings. This policy and the rocedures for implementing it are outlined in NPR office letter entitled p' Staff Policy and Procedures for Notifications to Adjudicatory Tribunals."
i Approximately every month, 0GCB will issue to all NRR divisions and the re-gional offices a list of the 10 CFR Part 21 notifications that have been received within the last 6 months and their current status. A list of the 10 i
CFR 50.55(e) notifications that have been assigned for review within that same period will also be provided. These lists will include a brief description of the notification, the branch responsible for the review, and the current review status.
Effective Date This office letter is effective upon issuance.
l Thomas E. Murley, Director Office of Nuclear Reactor Regulation I
Distribution TEMurley, NRR JHSniezek, NRR RWStarostecki, NRR CERossi, NRR g, c AA_- J A A'#N Wh-t CHBerlinger, NRR JGuillen, NRR
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. 1 providing.0GCB with a basis for licensing action (if any), or a basis for i
determining whether the indicated defect or noncompliance is generic or unfoue i
to a facility.
If the 10 CFR Part 21 or 10 CFR 50.55(e) notification identi-fies more than one facility, OGCB will' coordinate the review and determine who-
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will take the lead responsibility.
j If the notification 'could affect' an ongoing licensing board proceeding, the assigned reviewer shall promptly provide a proposed board notification to the appropriate Division Director explaining why the item may affect pending Board proceeding. The board notification policy is applicable to all adjudicatory proceedings, including operating license (0L), full-term OL, OL amendment, construction permit (CP), and CP amendment proceedings. This policy and the
. procedures for implementing it are outlined in NRR Office Letter No.19 " Staff Policy and Procedures for Notifications to Adjudicatory Tribunals."
Approximately every month, 0GCB will issue to all NRR divisions and the re-gional offices a list of the 10 CFR Part 21 notifications. that have been received within the last 6 months and their current status. A list Lf the 10 CFR 50.55(e) notifications that have been assigned for review within that same-period will also be provided. These lists will include a brief description of the notification, the branch responsible for the review, and the current review status.
Effective Date
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This Office Letter is effective upon issuance.
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g Thomas E. Murley, Director Office of Nuclear Reactor Regulation Distribution TEMurley, NRR JHSnierek, NRR j
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. providing 0GCB with a basis for licensing action (if any), or a basis for determining whether the indicated defect or noncompliance is generic or unique to a facility.
If the 10 CFR Part 21 or 10 CFR 50.55(e) notification identi-fies more than one facility, 0GCB will coordinate the review and determine who will take the lead responsibility.
If the notification could affect an ongoing licensing board proceeding, the assigned reviewer shall promptly provide a proposed board notification to the appropriate Division Director explaining why the item may affect pending Board
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proceeding. The board notification policy is applicable to all adjudicatory construction permit (CP)perating license (0L), full-term OL, OL amendment, proceedings, including o and CP amendment proceedings. This policy and the procedures for implementing it are outlined in NPR Office Letter No.19, " Staff Policy and Procedures for Notifications to Adjudicatory Tribunals."
Approximately every month, OGCB will isste to all NRR divisions and the re-gional offices a list of the 10 CFR Fart 21 notifications that have been received within the last 6 months and their current status. A list of the 10 CFR 50.55(e) notifications that have been assigned for review within that same period will also be provided. These lists will include a brief description of the notification, the branch responsible for the review, and the current review status.
j Effective Date This Office Letter is effective upon issuance.
Thomas E. Murley, Director Office of Nuclear Reactor Regulation Distribution TEMurley, NRR JHSniezek, NRR RWStarostecki, NRR CERossi, NRR CHBerlinger, NRR JGuillen, NRR EJButcher, NRR WDLanning, NRR JFunches, NPR DCS DOEA R/F OCCB R/F JGuillen R/F D/NRR DD/NRR ADT/NRR TEMurley JHSniezek PWStarostecki 06/ /87 06/ /87 06/ /87 s
OG DOEA:NRR Ph%RM C/0GCB:DOEA:NRRD/DOEA:NRR C:PTSB:NRR JGu 1 1en TechEd CHBerlinger CERossi JFunches 6/
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