ML20215H746

NRC Incident Response Plan

ML20215H746
Person / Time
Issue date:	06/30/1987
From:	NRC OFFICE FOR ANALYSIS & EVALUATION OF OPERATIONAL DATA (AEOD)
To:
References
NUREG-0728, NUREG-0728-R02, NUREG-728, NUREG-728-R2, NUDOCS 8706240202
Download: ML20215H746 (29)

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NOTICE Availability of Reference Materials Cited in NRC Publications Most documents cited in NRC publis:ations will be available from on6 of the following sources:

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1. Tne NRC Public Docunant Room,1717 H Street, N.W.

Washingt9n, DC 20555

2. The Superintendent of Documents, U.S. Government Printing Office, Post Office Box 37082, Washington, DC 20013 7082

3. The National Technical Information Service, Springfield, VA 22161 l l

Although the listing that follows represents the majority of documents cited in NRC publications, it is not intended to be exhaustive.

Referenced documents ava9able for inspaciion and copying for a fee from the NRC Public Docu-ment Room ' include NRC corresponderice and internal NRC memoranda; NRC Office of Inspection and Enforcement bulletins, circulars, informati6n notices, inspection and investigation notices; Licensee Event Reports; vendor reports and correspondence; Commission papers; and applicant and l

licensee documents and correspondence.

i The following documents in the NUREG series are available for purchase from the GPO Sales Program: formal NRC staff and contractor reports, NRC sponsored confenence proceedings, and NRC booklets and brochures. Also available are Regulatory Guides, NRC regulations in the Code of i Federal Regulations, and Nuclear Regulatory Commission issuances.

Documents available from the National Technical Information Service include NUREG series reports and technical reports prepared by other federal agencies and reports prepared by the Atomic 7

Energy Commission, forerunner agency to the Nuclear Regulatory Commission.

Documents available from public and special tect'nical libraries include all open literature items, i such as books, journal and periodical articles, and transactions. Federal Register notices, federal and state legislation, and congressional repnrts can usually be obtained from these libraries.

Documents such as theses, dissertations, foreign reports cnd translations, and non NRC conference proceedings are available for purchase from the organization sponsoring the publication cited.

Single copies of NRC draft reports are available free, to the extent of supply, upon written request to the Division of Technical information and Document Control, U.S. Nuclear Regulatory Com-mission, Washington, DC 20555.

Copies of industry codes and standards used in a substantive mantier in the NRC regulatory process are maintained at the NRC Library, 7920 Norfolk Avenue, Bethesda, Maryland, and are available  !

there for reference use by the public. Codes and standards are usually copyrighted and may be purchued from the originating organization or, if they ara Amwican National Standards, from the American National Standards Institute,1430 Broadway, New York, NY 10018.

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NUREG-0728 Revision 2.

NRC Incident Response Plan Manuscript Completed: May 1987 Date Published: June 1987 Office for Analysis and Evaluation of Operational Data U.S. Nuclear Regulatory Commission I Weshington, DC 20555 l

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ABSTRACT l

f The Nuclear Regulatory Commission (NRC) regulates civilian nuclear activities to protect the public health and safety and to preserve environmental quality.

An Incident Respcnse Plan had been developed and has now been revised to re-flect current Commission policy. NUREG-0728, Rev. 2 assigns responsibilities for responding to any potentially threatening incident involving NRC licensed activities and for assuring that the NRC will fulfill its statutory mission.

This report has also been reproduced for staff use as NRC Manual Chapter 0502.

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CONTENTS Page l

1. INTRODUCTION ................................................. 1 1.1 Statutory Responsibility ................................ 1 1.2 Parallel Responsibilities ............................... 1 1.3 Purposes and Scope of the Plan .......................... 2

2. EMERGENCY RESPONSE ORGANIZATION AND OPERATIONS ............... 2 2.1 Licensee's Rasponsibilities During an Emergency . . . . . . . . . ~4 2.2 NRC's Responsibilities During An Emergency ...... ....... 4 2.3 State and Local Government Responsibilities ............. 6 2.4 Response Modes .......................................... 6 2.5 Response Management ..................................... 11

2. 6 Principal Participants .................................. 15 2.7 Response Functi,ons ...................................... 16

3. RESPONSIBILITIES ............................................. 19 i

i 3.1 Summary'of Interfaces with Other Organizations .......... 19

4. REFERENCES ................................................... 20

5. LIST OF ACRONYMS ............................................. 21 LIST OF FIGURES

1. Relationship of Plan, Procedures, and Resources ......... 3 l 2. Initial Activation Management ........................... 12

3. Expanded Activation Management .......................... 13 l

4. Headquarters Internal Organization, Initial Activation .. 14 LIST OF TABLES

1. Typical Relationship between NRC and Licensee Response Modes ................................................... 9  !

2. Description and Purpose of Emergency Classes of l NUREG-0654, Rev. 1 ...................................... 10 ,

3. NRC Interfaces with Other Organizations (except  !

licensee) ..................... ......................... 22 1

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INTRODUCTION 1.1 Statutory Responsibility The U.S.' Nuclear Regulatory Commission (NRC) regulates nuclear activities, through licensing and other means, to protect the health and safety of the public and to preserve environmental quality. In the event of an incident involving NRC-licensed activities that has the potential to threaten the public or the environment, the NRC must be prepared to respond quickly. This Incident Response Plan assigns individual and group responsibilities which collectively assure that NRC will fulfill its statutory responsibility.

1. 2 Parallel Responsibilities During an incident at a licensed facility, the licensee is at all times respon-sible for mitigating the consequences of the incident. The licensee is also responsible for providing appropriate protective action recommendations to State / local officials.

The underlying foundation for all Federal response activities is coordination with and support for State and local government and licensee response efforts.

As part of its role as Federal technical coordinator, i.e., Cognizant Federal Agency (CFA) during an emergency, the NRC is rMponsible for providing (to

.the Governors of affected states) Federal recommendations for actions to protect the public.

The licensee must be prepared to perform essential technical activities to protect the public in the event of an incident at a licensed facility. The NRC must be ready to support and assist the licensee by (1) monitoring the incident to be ready to advise the licensee based on NRC's assessment of the plant situation, and by (2) locating and obtaining needed expertise and equip-ment. Both the NRC and the licensee must be prepared to cooperate in all their activities with local, State, and Federal agencies that have related responsibilities.

The Federal Emergency Management Agency (FEMA) has published the Federal Radio-logical Emergency Response Plan (FRERP) for coordinating all Federal activities in response to a radiological emergency at a commercial nuclear power plant (Ref. 1). The plan defines the responsibilities of each Federal organization with a role in such emergencies, including the responsibility of the NRC for coordinating all Federal support for licensee activities and all Federal tech-nical activities off site. FEMA has the complementary responsibility for coor-dinating all offsite nontechnical activities of Federal organizations. The NRC also has signed a Memorandum of Understanding with the Federal Bureau of Investigation (FBI) for incidents involving possible terrorist activity or other safeguards violations and another with the Department of Transportation (DOT) for transportation accidents. To assure operational consistency between this NRC Incident Response Plan and the planned radioiogical activities of several other agencies, NRC participated in preparing the Federal Radiological Monitoring and Assessment Plan (FRMAP), which is included in the FRERP.

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1.3 Purposes and Scope of,the Plan ,

This Incident Response Plan governs NRC resporse to incidents involving NRC e licensees as defined by the Atomic Energy Act of 1954.

r The plan is intended to serve the following ra, int purposes:

(1) Guide N..C managers who must assure that all appropriate tasks are under way at any stage of a response.

(2) Remind each NRC participant of his or her responsibilities (either as an individual or as a team member) throughout a rtsponse.

(3) Identify NRC interrelationships with other organizations.

(4) Serve as a training aid to maintain personnel readine.cs. ,

(5) Emphasize the primary responsibility of the licensee in responding to an I incident. '

The Incident Response Plan deceribes the functions and kinds of decisions that (w constitute an NRC response. Taken as a whole, the plan provides an overview ,'

of NRC functions before and during an incident. The responsibilities assigned by the plan are exercised through a set of implementing procedures (NUREG-0845, i Agency Procedures for the NRC Incident Responae Pico [Ref. 5] and correspond-ing Headquarters and Regional Supplements) that delineate the manner in which each function will be performed (Fig. 1). The implementing procedures (such ^ '-

as call lists) are not included in this plan;.they are operational tools that ,'

are subject to more frequent change than the plan and so are contained in separate documents.

The need for resources is dictated by the implementing procedures. Therefore, l this plan and its implementing procedures will be used as the basis for allo- '

cating resources among the functions.

l 2. EMERGENCY RESPONSE ORGANIZATION AND OPERATIONS An effective emargency response demands not only a simplified management con-cept but also a clear organization of task responsibilities. This plan is in-tended to do the following:

(1) Provide for definite decizions to increase or decrease the scope of the NRC response so that all participants will be aware of the correct re- ~

sponse mode, and of their correspo^ ding responsibilities, at all times.

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(2) Identify clear responsibilities for advising offsite authorities, advising -

the licensee, directing the licensee, and making other decisions, j 3]

(3) Provide for informing NRC personnel and other organizations about NRC response actions and about any delegation of authority particularly when

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the focus of the response is shifted from Headquarters to the Director of Site Operations (D50). ,

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2.1 Licensee's Responsibilities During an Emergency 2.1.1 Limiting the Consequences. The licensed has the immediate and pri-mary continuing responsibility for limiting the consequences of an incident at a nuclear power reactor. Limiting the consequences to public health and safety ,

should take clear precedence over limiting financial loss or adverse publicity. l During a radiological emergency the licensee should take whatever action is deemed necessary to limit the conraquences to public health and safety, even if that action viclates the NRC license technical specifications. If time does not permit in an emergency, r.otification of and consultation with NRC is not required prior to the licensee taking action he deems appropriate.

2.1.2 Recommending Protective Actions The licensee is responsible for keeping local, State and Federal authorities (as specified in the approved plant emergency plan) informed on the status of the emergency as it relates to protection of the public health and safety. The licensee should recommend to local, State and Federal authorities specific protective actions to limit the danger to the public, including evacuation.

2.1.3 Notifying NRC. Licensee notification to NRC must be in compliance with 10 CFR Part 50.72, " Notification of Significant Esents."

2.2 NRC's Responsibilities During An Emergency 2.2.1 General. NRC staff at the Operations Center is limited in its ability 1 to provide detailed recommendations to plant personnel or overrule plant managers at the site. It is the Comnission's policy that the emergency should be managed l from the site. The Director (this and all future reference to Director will mean the NRC Chairman or his or her designee) may transfer authority for managing the NRC's emergency response efforts to a senior onsite NRC representative, Director of Sit.e Operations (D50), when the Director is confident that the I onsite NRC representative is prepared to receive the authority and if the Director deems it appropriate. The NRC Regional Administrator or other senior manager, upon arrival on site, will contact the NRC .HQ Operations Center for a status report, talk to licensee management to assess the situation from their perspective, assess the status of nonlicensee activities, deploy his site team, contact the resident inspector and then again report to the Director. Transfer of authority to the DSO will be discussed in Section 2.5.

j Once the NRC response is in an Activation Mode and until the Regional Admin-istrator arrives at the site (normally expected to be from 2-6 hours after initial notification), and is designated Director of site Operations (D50),

the NRC Operations Center will be the primary location where this agency will monitor and evaluate licensee actions. During that time the normal response roles for the NRC Operations Center will be to monitor, inform, and, upon request, advise licensees and other local, State and Federal authorities.

Although the Director has the authority to issue orders and directives to the licensee, this authority need not be exercised by the Director but may be dele-gated to the DSO after one is established. The reason for this is that there may be more complete information available to the D50 at the site, and therefore there may be a firmer basis for such orders or directives.

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In any incident, NRC may exercise more than one role, sometimes concurrently, as the incident progresses. However, it is important that all perticipants in an incident (NRC and others) be made fully aware of changes in the NRC role.

These major roles are presented in ascending order of responsibility. Role alternatives are not discreet or mutually exclusive, but instead are succes-sive increments in which one is added to another.

2.2.2 Monitoring-Only Role. In this role, NRC response is essentially passive and confined to information acquisition and assessment. The licent.ee, in conjunction with State and local authorities, has primary responsibility for dealing with the incident. NRC keeps itself apprised of both the situation and

, the status of response actions, based on data supplied by the licensee as well as any data obtained independent of the licensee via a data system, reported by NRC personnel on site, or provided by offsite authorities. NRC also maintains cognizance of offsite conditions and activities related to the incident.

Additional ad hoc information may be requested by NRC, as deemed necessary.

Data from all sources is collated, verified, analyzed, and evaluated by NRC to arrive at an independent estimate of the situation and of the adequacy of the operational protective measures being recommended or implemented. NRC serves as the focal point at the Federal level for providing authoritative technical information on the incident related to the onsite situation and licensee offsite activities.

N The monitor role is exercised by both NRC Headquarters and the DSO throughout

. the course of an incident. Upon transfer of authority to the DSO on site, I however, the DSO becomes the primary contact with the licensee, State and local authorities.

2.2.3 Inform Role. Based on the monitoring rcle, the NRC may find it appropriate to inform affected officials, and the public about the status of l

the emergency. This role would be exercised only when it is clear that respon-sible parties are not aware of pertinent informetion or when information is specifically requested by other interested parties (e.g. , news media, Congress, White House). Primary interaction with the news media will transfer from the Headquarters Executive Team to the DSO when the DSO assumes control.

2.2.4 Advisory Role. The NRC role in this case is expanded to include exerting influence on the response process, using information gathered by con-tinued monitoring. Primary responsibility for coping with the incident, how-ever, still resides with the licensee. NRC gives advisory support, to assist in diagnosing the situation, isolating critical problems, and determining what remedial courses of action and additional precautionary measures are indicated.

Advice is made available to the licensee, State and local authorities, and to other Federal agencies concerned.

In coordination with FEMA, NRC will advise State and local authorities on actions to mitigate the ccnsequences of the incident and for protecting the public. This advice may confirm the licensee's recommendation or provide additional recommendations.

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In addition, in selected cases the NRC may, upon request, assist the licensee by obtaining onsite and external support relating directly to onsite response needs. In thiF Capacity, NRC may serve as an intermediary for the licensee and various other participants involved.

2.2.5 Limited Direction Role. In addition to monitoring and advisory activities, in some unusual and very rare situations, the NRC could find it necessary to intervene in a limited fachion to direct the licensee's onsite re-sponse. It is not expected that NRC will be required to assume this role, but plans raust be made for such a contingency. In such an unlikely event the NRC would issue formal orders to the licensee to take certain measures and then monitor implementation of the actions ordered. In this role, the licensee con-tinues to make other key operational decisions and to operate and manage the facility with licensee personnel. NRC advice and direction would be channeled to licensee management. Although the Director has the authority to issue orders and directives to the licensee, this authority may not normally be exercised by the Director at headquarters but may be delegated to the DSO after one is eetab-lished. The reason for t.his is that there may be more complete information available to the DSO at the site, and thus there may be a firmer basis for such orders or directives.

2.3 State and Local Government Responsibilities While the licensee has the primary role in mitigating incident consequences, the State and local authorities have ultimate responsibility for assuring the pro-tection of the public from such consequences offsite. The licensee, the NRC, and FEMA will assist the State and local authorities in assuring protection of the public.

2.4 Response Modes NRC incident response operations are divided in this plan into five distinct modes dependent upon the licensee event classification and an independent NRC perception of relative severity or uncertainty of accident conditions:

(1) NORMAL This mode includes all activities designed to maintain readiness; it continues through the initial discussion of any call. Headquarters and Regional personnel jointly assess the initial information, and the senior Headquar-ters official along with his regional counterpart jointly determine NRC actions in the Normal response mode. If so instructed, the Headquarters Operations Officer establishes and maintains a telephone conference 1 inking the person reporting a problem with the Headquarters and Regional personnel responding to it. Any number of specialists may be consulted, but the Operations Center is not formally activated.

Transition to STANDBY:

The NRC Standby response is initiated by a decision of the Regional Administrator in consultation with and Executive Team Member (or if neither is available, the Emergency 6

Officer) when the incident. is judged to be sufficiently uncertain or complex that there is a need to use the facilities of the Operations Center. The NRC response will generally go on Standby, whenever a licensee declares an Alert at a site. (See Appendix 1 of :<UREG-0654 Rev. 1

[Ref. 3].) .

(2) STANDBY The primary. Regional Office will appropriately staff its Incident Response Center. The Headquarters Operations Center will be staffed by a Standby Team and will be lead by an Executive Team member or designea. Each location will evaluate the available information, make appropriate notifications and prepare for rapid activation should it become necessary. The Regional Administrator will lead the NRC response in tMs mode, except under the following cir-cumstances, in which case an Executive Team member will lead:

The Regional Administrator is not available.

The Ragional Administrator requests NRC Headquarters to take the lead.

An Executive Team member determines that the NRC Head-quarters should have the lead in that particular situatien.

If available, the NRC Resident Inspector will go to the facility to assist in the assessment of the situation.

Licenaces will designate somaone to provide data requested l by NRC.

Transition to INITIAL ACTIVATION:

The Regional Administrator will generally provide a recom-mendation to activate to an ET member who makes the deci-sion. The NRC response system will activate upon either of the following actions:

Licensee declaration of a reactor Site Area or General Emergency that is not an obvious overclassification.

(See Appendix 1 of NUREG-0654, Rev. 1 [Ref. 3].)

Decision by an Executive Team member (see page 11) to activate the NRC response for any other reason. Tnis may occur before declaration of a Site Area or General Emergency by the licensee.

(3) INITIAL Response teams report to the Operations Center and other ACTIVATION duty stations. The Incident Response Center (IRC) of the affected Regional Office staffing is appropriately adjusted when a designated Site Team is dispatched under tne leader-ship of the Regional Administrator. Other Regional Offices are alerted. The focus of NRC response operations is at Headquarters.

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I Transition event to EXPANDED ACTIVATION:

The NRC response enters an Expanded Activation mode whenever, after receiving a report from the Regional Administrator or other senior NRC official from the site, the Director (i.e. , the NRC Chairman or nis designee) de-cides to augment the response. The Regional Administrator or other qualified senior NRC official on site will be designated as the NRC Director of Site Operations (DSD) and the Director will delegate specific authority to the DSO.

(4) EXPANDED The focus of NRC response operations is at the site although ACTIVATION Headquarters will retain any authority not specitically aelegated to the DSO. Tne Executive Team or a member of the Executive Team designatea by the Director draws on all Regional and Headquarters personne'l to provide support to the NRC Director of Site Operations. The DSO will be the primary spokesman for the NRC.

Transition to DEACTIVATING The NRC response enters the deactivating mode when the DSO, after consultation with the Director, so decides. The NRC response deactivates from Initial or Expanded Activation when the Director se decides, usually on the basis of an Executive Teau or.DSO recommandation.

(5) DEACTIVATING Response operations during the early part of this mode are similar to those during the Standby . node, except that a

, Site Team may remain active. In addition, tapes, logs, and l other records of the incident are assembled and catalogued for review. Responsibilities for reviews and investiga-ti6ns are assigned. Responsibilitiet for recovery opera-tions vill also be etsigned, and some recovery operations will usually continue as the NRC response returns to normal.

Table I relates the NRC response modes to those de~ Tined for licenses ia Appendix 1 of NUREG-0654, Rev. 1. As noted in the t6ble, licensees report many events under the requirements of 10 CFR 50.72 or 10 CFR 73.71 (Ref. 2) which do not meet the thresholds defined in NOREG-0654, Rev.1, fer " Notification of an Unusual Event." Those reports, which this plan denotes es "Early Notifi-cation," may cause the NRC response to go on Standby under some conditions.

When the licensee reports the Notification of lfnusuel Esent as defined in Appendix 1 cf NUREG-0054, Rev. 1, NRC may remain in Normal Mode, go on Standby or may activate. When NRC enters its Stacdby mode, preparations are made to activate quickly, if necessary, actit<ation of the NRC response will be initi-ated by.an ET met er upon notification of conditions which cause the licansee to declare a Site Area or General Emergency.

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2.5 Response Management The NRC response need not escalate through all modes, but may be ordered into activation immediately. There will nearly always be two modes of activation, howevert (1) Initial (when activities are directed from Headquarters), and (2) Expanded (when most or all activities are directed from the site). The transition occurs when the Director (i.e., the Chairman of the Commission or designated alternate) shifts authority to the NRC Director of Site Operations.

j Figures 2 and 3 show the management concept before and after the appointment.

The conceot permits the management focus to shift from headquarters to the t,ite without disrupting response operations.

The Chairman of the Commission is the senior NEC authority for all aspects of a response and, in carrying out his or her responsibility for directing NRC activitics, may choose to make, modify, or Eet aside any decision. During an emergency, the Chairman will become the " Director" of all NRC response activ-ities and personnel, a title meant to imply thLt the Chairman has not only the authority but also the responsibility for taking direct charge of any partic-ular activity should the need arise.

Certain authorities may be predelegated by the Chairman to the " Deputy Direc-tor" upon activation of the Operations Center. The Deputy Director, who nor-mally would be the Executive Director for Operations (ED0) or another membe.r of the Executive Team (ET), will exercise the delegated authorities unless the Chairman specifically directs otherwise. Other members of the ET are:

Director of the Office for Analysis and Evaluation of Operational Data Director of the Office of Nuclear Reactor Regulation Director of the Office of Nuclear Material Safety and Safeguards Director of the 0ffice of Nuclear Regulatory Research Together, the Director and Deputy Director assure that preplanned actions are under way during Initial Activation; they also identify other necessary actions unique to the particular incident. Headquarters and Regio. 31 teams carry out those actions. The Director (i.e. , the Chairman) may also call on the other Commissioners to advise him and to perform key missions.

The Director will normally transfer any or all of the following authorities to an NRC Director of Site Operations after a qualified official (usually the cognizant Regional Administrator) arrives at the site with his site team, obtains a briefing from licensee stanagement, assesses the situation and reports back to the Director that he or she is prepared to assume the folicWing authorities.

(1) Authority to recommend actions to the licensee.

(2) Authority to recommend offsite actioris, where necessary, either confirming the licensee's recommendstion or providing additional NRC recommendations.

(3) Authority to direct the licensee tn take specified actions when such actions are necessary to protect tne public from imminent danger.

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i Other officials and organizations will be immeaiately informed of the appoint-The Oicector of Site Operations will assume l

ment and delegated authority.

l supervision of all NRC personnel at the site, will represent NRC in inter-actions with other agencies and the news media and will decide what s

response actions must be taken, corsistent with the delegated authority. The DSO may obtain direct support from any element of NRC. If the Director of Site Operations is uncertain how best to obtain support, the Executive Team or a designated member of the Execytive Team will assist and will assign any agency personnel to such tasks as are needed, as indicated in Figure 3.

2. 6 Principal Participants NRC response personnel are denoted as follows in this plan (see Figure 4):

(1) Executive Team Director (Chairman of the Commission)

Deputy Director (appointed by the Director in Initial activation, usually E00)

Members (Directors of AE00, NRR, RES and NMSS)

(2) Other executives Other Commissioners (3) Site and regional participants Director, of Site Operations (appointed by the Director after onsite evaluatica by senior official, usually a Regional Administrator)

Regional Administrators (those not appointed Director of Site Operations) l Site Tear,i (except Resident Inspector)

Resident Inspector Regional Offices (personnel not at the site [ Base Team])

Regional Duty Officer Recovery Team (4) Headouarters analysis and support participants Headquarters Operations Officer AECD management Fmergency Officer Standby leam (designated at beginning of Standby mode)

Deactivating Team (designated at beginning of Deactivat.ing mode)

Protective Measures Analysis Team Reactor Safety Analysis Team Safeguards Analysis Team Status Officer (s)

Response Coordination Team Administrative Support Team 15

(5) Liaison Governmer,t Liaison Congressional Affairs Public Affairs (Headquarters and Reginn)

International Affairs Other groups and organizations with which the NRC expects to interact directly (but with varying frequency) during an incident are:

Executive Office of the President (" White House")

Federal Fmergency Management Agency (FEMA)

Department of Energy (00E)

Environmental Protection Agency (EPA)

Department of Health and Huinan Services (HHS)

Federal Bureau of Investigation (FBI)

Departn'ent of State (005)

Department of Transportation (DOT)

Congress State Executive (Governor)

State radiological and logistical personnel State emergency scevices Local emergency services (Civil Lefense)

Licensee management (at corporate headquarters, at the onsice Technical Support Center, and at the offsite Emergency Operations Facility)

Licensee operating personnel Public and the media Plant architects and engineers, construction contractors, nuclear steam system suppliers, and other vendors Nuclear industry edvisory groups Consultants Intervenor groups The NRC will interact with other organizations through one of the listed groups.

2.7 Response Functions The functions described below are those that must be performed to some degree in preparation for, and response to, ar.y incident of sufficient severity.

These functions are defined in further detail in NUREG-0845 (Ref. 5).

(1) Maintain response capability. This function includes those tasks required I

to maintain readiness, such as training personnel and maintaining commurications systems.

(2) Man emergency communications systems. This function includes those tasks that assure proper receipt and handling of all communications during any response mode.

~

16

(3) Evaluate and categorize initial information. This function includes those tasks that culminate in d.ecisions as to the severity of an event and the extent of the initial NRC response.

(4) Decide to escalate the NRC response. This function includes those tasks which address responsibilities both for recommending and for deciding on a need for greater NRC participation at any time after the initial response decision.

(5) Enter Standby Mode. This. function includes those tasks that must be completed as soon as possible upon transition to the Standby Mode.

(6) Enter Initial Activation Mode. This function includer., those tasks that must be completed as scorIaTpossible upon transition to the Initial Activation Mode.

(7) Enter Expanded Activation Mode. This function includes those tasks tha',

must be completed as'soon as possible upon transition to the Expanded Autivation Mode.

(8) Enter Deactivating Mode. This function includes those tasks that must be completed as coon as possible upon transition to the Deactivating Mode.

(9) Evaluate incident and plant _ states. This function includes those tasks needed to assure that response personnel have a complete and accur6te overview of the evolution end status of the problem at any time.

(10) Evaluate licensee actions. This function includes those tasks that provide an overview of the Heensee's actions with respect to mitigating j

the actual or potential consequences of an incident and witil respect to the adequacy of licensee recommendations to offsite authorities for protective ar.tions for the pubifc.

(11) Project incident consequences and plant statut. This function includes those tasks needed to devalop timely projections of the likely future course of an incident.

(12) Advise, assist or direct licensee (a) Advise. This function includes those tcsks needed to assure that advice is stated clearly, deve?oped from the best information and projections, and transmitted accurately.

(b) Assist. This function also includes those tasks needed to assure that the licensee is provided the expertise, equipment, and author-ity to take such action as is necessary to mitigate the consequences of the incident.

17

(c) Direct. Tnis function also includes, those tasks needed to assure that sole authority to issue orders in Ln emergency is delega?.ed from the Director to the DSO, in the event such action is necessary to protect the public from imminent danger, and that the orders are based on accurate Information, clearly stated, and accurately conveyed by the DSO.

(13) Pequest other-agency support. This function includes those tasks that clarify responsibilities among participating agencies for identifying needs, requesting support, and resolv:ng conflicts in priorities or actions.

(14) Naintain liaison with the Congress, White House, other Federal, State, International and local agenclE~s. Inis function includes those tasks that identify primary liaison responsibilities for helping to assure that information exchange is adequate, sccurate, timely, and consistent.

(15) Inform public and monitor public information. Thic function includes those tasks needed to assure G rst, that NRC information releases are complett, accurate, and consistent, cvail6ble to all response personnel, coordinated with other response organt2ations and accurately relayed to i

the public; and secor.d, that public reactions are brought to the attention

} of NRC managers.

(10) Recommend protective actions for public. This function includes those tasks that culminate in NRC decisions to endorse licensee recommendations for protective action or to recommend additional offsite actions to pro-tect the public health and safety, based on technical actions and NRC projections nf plant etatus. Iruplementation of protective actions in response to a fast moving severe accident (General Emergency) should not await NRC approval or review.

(17) Provide administrative and logistical support. This function includes those tasks nteded to assure the availability of adequate transportation, housing, information re murces, and sny other support needs of N C response personnel that may be identified during an incident.

(18) Decide to deeschlate. This function includes those tasks that provide for orderiy reduction of thc NRC response.

(19) Review, investigate, and document response actions. This function includes those taskt that formalize the resp 5nlIDTlities for assuring complete and timely documentary followup to an incident.

18

(20) Recover. Tiiis function inc'ludes those tasks that formalize the responsibilities for assuring appropriate technical followup to an incident.

3. RESPONSIBILITIES The Office for Analysis and Evaluation of Operational Data is responsible for developing and maintaining an effective NRC response cepability. That office will maintain and revise this plan and its implementing procedures and will continue to assure readiriess through a comprehensive assessment, training and exercise program.

Individual and team responsibilities for incident response tasks and decisions are presented in agency procedures for the NRC Incident Response Plan, that are NUREG-0845 (Ref. 5). These procedures are designed primarily to aio NRC man-apers in assuring that all appropriate response activities are under t;ay during any of the five response modes. It is also to be used by all response per-sonnel to define individual or team responsibilities. The procedures permit usars to identify readily; a functions that should be under way in a particular response mode;

- responsibilities and authorities for accomplishing those functions;

• responsibilities for key interfaces with cther organizations.

The task assignments are intended to assure that each function is properly performed without unnecessary duplication of effort.

3.1 Scmmary of Interfaces With Other Organizations The most frequent interface for the NRC is with the licensee. The NRC depends on the licensee for initial notification of any incident in accordance with guidelines set forth in 10 CFR 50.72, NUREG-0654 (Rev. 1.) and 10 CFR Part 73.71(c). Direct telephone lines (Emergency Notification System [ ENS]) have been installed to facilitate the notification call. With the first decision by NRC Headquarters or a Regional Office that a report cannot be handled rou-tinely, a continuous communicati6ns link with the licensee may be established over the dircct lines to be maintained for as long as necessary. Additional telephone conferences may also be established (including those using the Health Physics Network LHPN]).

Other than electronic links, there are three major facets to the interface with the licensee:

(1) Esstntial facility design data for each nuclear power reactor will be maintained at the Headquarters Operations Center 09d Regional Incident Response Center.

(2) Resident Inspectors at each site provide independent assessments of the early stager of an incident prior to arrival of the NRC site team from one or more of the Regional Offices.

19 1

I

(3) An onsite Technical Support Center (TSC) and an offsite Emergency Operations Facility (EOF) will provide for effective communication without crowding the reactor control room (Ref. 4). Upon transfer of NRC authority to a Director of Site Operations, face-to-face communication at those facilities is expected to become the dominant means of exchanging information and of interacting with the licensee.

The interface with offsite authorities (local and State government) is also extensive. These offsite authorities (the Governor or his designated representative) have responsibilities for ceciding what protective actions will be taken for the public. It is the responsibility of local governmeri. te assure that the appropriate actions are carried out. A major emphasis in the NRC response to emergencies will be the ability and capability te provide offsite authorities with an evaluation of license recommendations and provide a clear and concise recommendation for protective actions that represents the position of the Federal government. These recomrnendaticns will normally be presented to offsite authorities in coordination with FEMA. In order to effectively perform this task, NRC will establish communication channels primarity with various State officials (e.g., the Governor or his office, emergency maragement agencies and radiological health organizations).

NRC interface with other organizations is less extensive. In general, NRC personnel at Headquarters will deal with the Headquarters personnel of other agencies; NRC s-ite personnel will deal with all others. NRC will also work with most other organi1ations throcgh the Federal Emergency Management Agency (FEMA), whenever possible (Ref. 1). NRC must also work directly with certain other organizations, however, to exchange radiological data and to assure that radiological effects of an incident are completely monitored for the protection of the public. These other organizations include the Department of Energy (00E), the Environmental Protection Agency (EPA), the Department of Health and Human Services (HHS), and State agencies. DOE will coordinate radiological monitoring operations of these organizations and will correlate the data from such operations at or near the site under terms of the Federal Radiological Monitoring and Assessment Plan. All organizations will thus be able to draw from the same pool of correlated data.

Table 3 summarizes the extent of the NRC interface with organizations other than licensees. The purpose of the table is to alert other organizations to the need to identify appropriate contacts for each kind of interface.

Different kinds of interface may require different contacts. Immediate notification is a one-time action, for example, but technical assistance, which means any kind of help other than a brief explanation of an incident, may require nearly continuous information exchange. The table shows that NRC will be ready to offer technical ascistance to DOE and State agencies, among others, as early a:; the NRC Standby mode. NRC will periodically verify each contact as part of the implementing procedures for this plan.

4 REFERENCES (1) Federal Emergency Management Agency, " Federal Radiological Emergency Response Plan," published in 50 FR 46542, November 8, 1985.

20 w--_________

l (2) Ccce of Federal Regulations, Title 10, Chapter 1, Part 50, Section 72, and Part 73, Section 71, General Services Administration, revised January 1980. Available from Superintendent of Documents, U.S.

Government Printing Office, Washington, D.C. 20402.

l (3) U.S. Nuclear Regulatory Commission and Federal Emergency Management Agency, " Criteria for Preparation and Evaluation of Radiological Emergency Response Plans and Preparedness in Support of Nuclear Power Plants," USNRC Report NUREG-0654, Rev., 1, FEMA-Rep-1, November 1980.

Available from GP0 Sales Program, U.S. Nuclear Regulatory Commission, Washington, D.C. 20555. This document has been endorsed by NRC Regulatory Guide 1.101.

(4) U.S. Nuclear Regulatory Commission, " Functional Criteria for Emergercy Response Facilities," USNRC Report NUREG-0696, February 1981. Available from GPO Sales Program, U.S. Nuclear Regulatory Commission, Washington, D.C. 20555.

(

(5) U.S. Nuclear Regulatory Commission, " Agency Procedures for the NRC Incident Response Plan," USNRC Report NUREG-0845, February 1983. Avail-able from GPO Sales Program, U.S. Nuclear Regulatory Commission, Washington < D.C. 20555,

5. LIST OF ACRONYMS AE00 Office for Analysis and Evaluation of Operational Data CFA Cognizant Federal Agency DOE Department of Energy DOS Department of State DOT Department of Transportation 050 Director of Site Operations I EDO Executive Director of Operations

! ENS Emergency Notification System l E0F Emergency Operations Facility EPA Environmental Protection Agency ET Frecutive Team FBI Federal Bureau of Investigation FEMA Federal Emergency Management Agency FRMAP Federal Radiological Monitoring and Assessment Plan FRERP Federal Radiological Emergency Response Plan HHS Department of Health and Human Services HPN Hea'Ith Php ics Network HQ Headquarters IRC Incident Response Center (Region)

NMSS Cffice of Nuclear Material Safety and Safeguards NRR Off' ice of Nuclear Reactor Regulation NRC U.S. Nuclear Regulatory Commission RES Office of Nuclear Regulatory Research TSC Technical Support Center 21

l Table 3 NRC Interfaces with Other Organizations (except licensee)

NRC Dutputs Expected Inputs To Organization To NRC Periodic Periodic Immediate Status Technical Status Technical

_ Organization Notification Reports Assistance Reports Assistance DOE S,1,E S.I,E S,I,E S,1,E S,I,E DOT

• S I,E S.I E S,I,E S,1,E S.I.E FEMA S,I,E S.I.E I,E 5,I,E I,E, EPA S,I,E 5,I,E I,E, I,E, I,E, HHS S,1,E S,I,E I,E, I,E, I,E, FBI ** S,1,E 5,I,E S,I,E S,I,E S,1,E Congress I,E, I,E, Wh'ite House S,I,E I,E, State S,I,E S,I,E S,1,E I,E, I,E, Consultants *** S.I.E 5,I,E Public, media S,1,E S.I.E International S,I,E 5,I,E 5,I,E S,1,E I,E Mote: S - during Standby I - during Initial Activation E - during Expanded Activation Transportation Only Safeguards Only Industry advisors, plant vendors, contractors 22

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