ML022540694
| ML022540694 | |
| Person / Time | |
|---|---|
| Issue date: | 09/09/2002 |
| From: | Beckner W NRC/NRR/DRIP/RORP |
| To: | |
| Mendonca M, NRC/NRR/DRIP/REXB, 415-1128 | |
| References | |
| RIS-02-012B | |
| Download: ML022540694 (5) | |
See also: RIS 2002-12B
Text
SAFEGUARDS INFORMATION
UNITED STATES
NUCLEAR REGULATORY COMMISSION
OFFICE OF NUCLEAR REACTOR REGULATION
WASHINGTON. D.C. 20555-0001
September 9, 2002
NRC REGULATORY ISSUE SUMMARY 2002-12B
RESEARCH AND TEST REACTORS
NRC THREAT ADVISORY AND PROTECTIVE MEASURES SYSTEM
ADDRESSEES
All U.S. Nuclear Regulatory Commission (NRC) research and test reactors.
INTENT
The NRC is issuing this Regulatory Issue Summary (RIS) to inform addressees of changes to
the descriptions of the various threat advisory conditions and provide guidance that addressees
may use in preplanning graded protective measures to respond to changes in the threat
environment. This RIS supersedes Information Notice 98-35, Threat Assessments and
Consideration of Heightened Physical Protection Measures (dated September 4, 1998).1 It is
noted that a RIS is generally used to communicate with the nuclear industry on a variety of
matters for which no response or action is required. This RIS communicates actions the NRC
considers appropriate at each threat level. In the interest of expediency, the Commission has
determined that issuance of this RIS is the most efficient mechanism to align the Office of
Homeland Security, NRC, and licensee expectations with respect to licensees response to
threat advisories.
BACKGROUND
The Office of Homeland Security (OHS) has developed a Homeland Security Advisory System
(HSAS) to provide a comprehensive and effective system to disseminate information regarding
Upon Removal of Enclosure 2
this Document is DECONTROLLED
1
Because of its classification as Safeguards Information, NRC restricted distribution of
Information Notice 98-35 to certain classes of licensees.
SAFEGUARDS INFORMATION
SAFEGUARDS INFORMATION
RIS 2002-12B
Page 2 of 5
the risk of terrorist attacks to Federal, State, and local authorities and the public. The HSAS
implements Homeland Security Presidential Directive 3 (HSPD-3), March 11, 2002. This new
system includes five color-coded threat conditions with a description of corresponding actions at
each level. These conditions are:
- Green (Low Condition) Low risk of terrorist attack
- Blue (Guarded Condition) General risk of terrorist attack
- Yellow (Elevated Condition) Significant risk of terrorist attack
- Orange (High Condition) High risk of terrorist attack
- Red (Severe Condition) Severe risk of terrorist attack
DISCUSSION
The HSAS provides a consistent national framework for allowing government officials and
citizens to communicate the nature and degree of terrorist threats. The advisory system
characterizes appropriate levels of vigilance, preparedness, and readiness for each threat
condition and describes associated actions that should be taken to counter and respond to
terrorist activities.
In declaring threat conditions, the Attorney General, in consultation with the Assistant to the
President for Homeland Security will consider, but not be limited to, the following factors:
- To what degree is the threat information credible?
- To what degree is the threat information corroborated?
- To what degree is the threat specific and/or imminent?
- How grave are the potential consequences of the threat?
- To what degree is the target vulnerable to the threat?
HSAS advisories regarding threat conditions may be declared for the entire nation or for a
specific geographical area, or functional or industrial sector, and will be sent to local, State, and
Federal government agencies as appropriate. In general, the threat conditions escalate as the
likelihood or imminence of an attack increases.
Although the threat condition will be determined by the Attorney General, the NRC has the
obligation under HSPD-3 to establish the appropriate protective measures. In addition, the
NRC has the obligation to respond to risks, threats, incidents, and events at NRC-regulated
facilities, or involving NRC-regulated materials.
Upon a declaration of an HSAS threat condition, the NRC will promptly notify affected licensees
of the threat condition and of the appropriate protective measures. In addition, the NRC may
find it appropriate to notify affected licensees to establish certain protective measures in the
absence of an HSAS declaration. The NRC could take such a step, for example, to respond to
an emergency or a site-specific situation.
SAFEGUARDS INFORMATION
SAFEGUARDS INFORMATION
RIS 2002-12B
Page 3 of 5
The NRC is using this RIS to announce its threat advisory and protective measures system to
implement the HSAS for research and test reactor licensees. The NRC will relay information
relating to the threat conditions using the color-coded system defined by the HSAS. The NRC
has also defined protective measures in five levels, which generally correlate with the five color-
coded conditions of the HSAS. Protective measures at each level build upon the actions
defined in the lower levels. For example, measures at level III will include those measures
taken at levels I and II.
- The level I (Low) protective measures, which generally correspond to the green
threat condition, are considered to be the routine level of operation and are
satisfied by licensees maintaining the security programs required by the
regulations, individual licenses, and Orders. Measures to enhance security need
to be available so that they can be readied or implemented in higher threat
conditions when called upon.
- The level II (Guarded) protective measures, which generally correspond to the
blue threat condition, warrant more action by the licensees, but will generally not
involve significant action beyond the routine level of operation. These actions
would typically relate to readiness, e.g., notifying personnel to standby, or
bringing in additional security officers to prepare for an enhanced response.
Actions taken at level II will include those taken at level I.
- The level III (Elevated) protective measures, which generally correspond to the
yellow threat condition, warrant enhanced security measures and additional
resources, perhaps on a sustained basis, but would be based on hardware and
personnel already at the licensees disposal. (Note: When the HSAS was first
announced on March 12, 2002, OHS also announced that the country was then
considered to be in a Yellow threat condition.) Actions taken at level III will
include those taken at levels I and II.
- The level IV (High) protective measures, which generally correspond to the
orange threat condition, assume that the licensees security organization is at its
highest sustainable level and that the licensee will request augmentation by local
and State, and possibly Federal, resources to provide additional defensive
capabilities to the extent such resources can be made available. (Note: NRC
advisories will provide additional specific information to the licensee(s) as
information about the threat develops. Any additional licensee actions will be
based upon threat specific information). Actions taken at level IV will include
those taken at levels I, II, and III.
- The level V (Severe) protective measures, which generally correspond to the red
threat condition, assume that the licensee will request augmentation by Federal
resources beyond State and local resources to provide additional defensive
capabilities to the extent such resources can be made available to enhance the
SAFEGUARDS INFORMATION
SAFEGUARDS INFORMATION
RIS 2002-12B
Page 4 of 5
security of the facility. NRC will facilitate implementation of this added Federal
presence. (Note: It is expected that this condition will be limited to one or a very
small number of licensees for a limited period of time. Any additional specific
actions will be based on an ongoing assessment of the threat by the NRC and
other Federal agencies.) Actions taken at level V will include those taken at
levels I, II, III, and IV.
When the Attorney General of the United States makes a change in threat condition that affects
NRC licensees, the NRC will issue a threat advisory notifying its licensees of the change. The
NRC will refer licensees to the recommended protective measures outlined in the table
attached to this RIS. Regardless of the current threat condition, licensees are required to
comply with existing regulations, licenses, and Orders. The table is designed to provide a clear
description of the basic actions appropriate to achieve the desired level of protection. The NRC
may tailor the protective measures to be implemented based on the nature of the threat,
including specific instructions regarding protection against a specific mode of attack.
In some cases, the circumstances of a particular threat may warrant that additional security
measures be implemented beyond those provided in the attached table. For example, such
additional measures may be necessary depending upon the type of licensee affected, the
safeguards risks associated with various licensed activities, the specific vulnerabilities at a
given site, the suspected mode of attack, and the likelihood and nature of the threat. Although
most terrorist attacks occur without specific warning, whenever possible, the NRC will provide
information about the nature and projected timeframe of the threat.
The protective measures in the attached table are assigned to particular threat levels, reflecting
the seriousness of the threat and the need for timely action to address the threat. Therefore,
prompt implementation of the measures is essential if the steps are to be effective in protecting
the facility.
The Commission may need to direct additional measures to deal with a fast-moving situation in
the transition period before a formal declaration of a threat escalation by the Attorney General.
HSPD-3 makes clear that agency heads retain the authority to respond, as necessary, to risks,
threats, incidents, or events at facilities within the specific jurisdiction of their department or
agency. In these cases, the NRC threat advisory will include additional specific guidance
beyond what is generically prescribed in the tables for a particular threat level.
NRC will update the table enclosed with this RIS as necessary to reflect changes in protective
measures for various threat levels and to reflect results from its ongoing comprehensive review
of security matters. In addition, this RIS will be reviewed at least once a year and revised as
necessary consistent with requirements to report changes to the Office of Homeland Security
by August 1 of each year. Licensees seeking to provide input to the RIS and possible revisions
should forward comments to the contact listed below.
SAFEGUARDS INFORMATION
SAFEGUARDS INFORMATION
RIS 2002-12B
Page 5 of 5
BACKFIT DISCUSSION
RISs are generally used to communicate with the nuclear industry on a variety of matters for
which no response or action is required. This RIS communicates actions the NRC considers
appropriate at each threat level, but these actions are not requirements. A backfit analysis has
not been performed.
FEDERAL REGISTER NOTIFICATION
A notice of opportunity for public comment was not published in the Federal Register because
this RIS is informational. The Commission also plans to issue additional regulatory issue
summaries in this series to cover additional classes of licensees, or NRC-licensed activities, as
NRCs review progresses. Any specific comments should be forwarded to the contact listed
below.
PAPERWORK REDUCTION ACT STATEMENT
This RIS does not request any information collection; therefore, this RIS is not subject to the
Paperwork Reduction Act of 1995 (44 U.S.C. 3501, et seq.)
If you have any questions about this matter, please telephone or e-mail one of the technical
contacts listed below.
/RA/
William D. Beckner, Program Director
Operating Reactor Improvements Program
Division of Regulatory Improvement Programs
Office of Nuclear Reactor Regulation
Technical Contacts: Marvin Mendonca, NRR/DRIP
301-415-1128, mmm@nrc.gov
Dennis Gordon, NSIR/DNS
301-415-1162, dxg@nrc.gov
Enclosures: 1. HSPD-3, Homeland Security Advisory System
2. Threat Conditions and Specific Actions for Research and Test Reactors
SAFEGUARDS INFORMATION