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{{#Wiki_filter:1 Because of its classification as Safeguards Information, NRC restricted distribution ofInformation Notice 98-35 to certain classes of licensees.SAFEGUARDS INFORMATIONViolation of protection requirements Document transmitted herewith contains for SAFEGUARDS INFORMATION subjectsensitive unclassified information, when
{{#Wiki_filter:UNITED STATES
to CIVIL AND CRIMINAL penaltiesseparat
                              NUCLEAR REGULATORY COMMISSION
ed from Enclosure 2, this document
                OFFICE OF NUCLEAR MATERIALS SAFETY AND SAFEGUARDS
is decontrolled.UNITED STATESNUCLEAR REGULATORY COMMISSIONOFFICE OF NUCLEAR MATERIALS SAFETY AND SAFEGUARDSWASHINGTON. D.C. 20555-0001January 29, 2003NRC REGULATORY ISSUE SUMMARY 2002-12FCATEGORY III FUEL FACILITIESNRC THREAT ADVISORY AND PROTECTIVE MEASURES SYSTEMADDRESSEESAll U.S. Nuclear Regulatory Commission (NRC) category III fuel facilities.INTENTThe NRC is issuing this Regulatory Issue Summary (RIS) to inform addressees of changes tothe descriptions of the various threat advisory conditions and provide guidance that addressees
                                  WASHINGTON. D.C. 20555-0001
                                          January 29, 2003
                  NRC REGULATORY ISSUE SUMMARY 2002-12F
                              CATEGORY III FUEL FACILITIES
    NRC THREAT ADVISORY AND PROTECTIVE MEASURES SYSTEM
ADDRESSEES
All U.S. Nuclear Regulatory Commission (NRC) category III fuel facilities.
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
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
environment. This RIS supersedes Information Notice 98-35, Threat Assessments and
Consideration of Heightened Physical Protection Measures" (dated September 4, 1998).
Consideration of Heightened Physical Protection Measures (dated September 4, 1998).1 It is
1 It isnoted that a RIS is generally used to communicate with the nuclear industry on a variety of
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
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
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
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 tothreat advisories.BACKGROUNDThe Office of Homeland Security (OHS) has developed a Homeland Security Advisory System(HSAS) to provide a comprehensive and effective system to disseminate information regarding  
Homeland Security, NRC, and licensee expectations with respect to licensees response to
the risk of terrorist attacks to Federal, State, and local authorities and the public. The HSAS
threat advisories.
implements Homeland Security Presidential Directive 3 (HSPD-3), March 11, 2002. This new
BACKGROUND
RIS 2002-12FPage 2 of 5system includes five color-coded threat conditions with a description of corresponding actions ateach level. These conditions are:*Green (Low Condition) Low risk of terrorist attack*Blue (Guarded Condition) General risk of terrorist attack
The Office of Homeland Security (OHS) has developed a Homeland Security Advisory System
*Yellow (Elevated Condition) Significant risk of terrorist attack
(HSAS) to provide a comprehensive and effective system to disseminate information regarding
*Orange (High Condition) High risk of terrorist attack
the risk of terrorist attacks to Federal, State, and local authorities and the public. The HSAS
*Red (Severe Condition) Severe risk of terrorist attackDISCUSSIONThe HSAS provides a consistent national framework for allowing government officials andcitizens to communicate the nature and degree of terrorist threats. The advisory system
implements Homeland Security Presidential Directive 3 (HSPD-3), March 11, 2002. This new
        1
          Because of its classification as Safeguards Information, NRC restricted distribution of
Information Notice 98-35 to certain classes of licensees.
                                  SAFEGUARDS INFORMATION
Violation of protection requirements                Document transmitted herewith contains
for SAFEGUARDS INFORMATION subject                  sensitive unclassified information, when
to CIVIL AND CRIMINAL penalties                    separated from Enclosure 2, this document
                                                    is decontrolled.
 
                                                                                RIS 2002-12F
                                                                                Page 2 of 5
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
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
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 thePresident 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?
terrorist activities.
*To what degree is the threat specific and/or imminent?
In declaring threat conditions, the Attorney General, in consultation with the Assistant to the
*How grave are the potential consequences of the threat?
President for Homeland Security will consider, but not be limited to, the following factors:
*To what degree is the target vulnerable to the threat?HSAS advisories regarding threat conditions may be declared for the entire nation or for aspecific geographical area, or functional or industrial sector, and will be sent to local, State, and
        *       To what degree is the threat information credible?
Federal government agencies as appropriate. In general, the threat conditions escalate as the
        *       To what degree is the threat information corroborated?
likelihood or imminence of an attack increases.Although the threat condition will be determined by the Attorney General, the NRC has theobligation under HSPD-3 to establish the appropriate protective measures. In addition, the
        *       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
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 licenseesof the threat condition and of the appropriate protective measures. In addition, the NRC may
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
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
absence of an HSAS declaration. The NRC could take such a step, for example, to respond to
an emergency or a site-specific situation. The NRC is using this RIS to announce its threat advisory and protective measures system toimplement the HSAS for category III fuel facilities. The NRC will relay information relating tothe threat conditions using the color-coded system defined by the HSAS. The NRC has also
an emergency or a site-specific situation.
RIS 2002-12FPage 3 of 5defined protective measures in five levels, which generally correlate with the five color-codedconditions of the HSAS. Protective measures at each level build upon the actions defined in
The NRC is using this RIS to announce its threat advisory and protective measures system to
the lower levels. For example, measures at level III will include those measures taken at levelsI and II.*The level I (Low) protective measures, which generally correspond to the greenthreat condition, are considered to be the routine level of operation and are
implement the HSAS for category III fuel facilities. The NRC will relay information relating to
satisfied by licensees maintaining the security programs required by the
the threat conditions using the color-coded system defined by the HSAS. The NRC has also
regulations, individual licenses, and Orders. Measures to enhance security need
 
to be available so that they can be readied or implemented in higher threat
                                                                              RIS 2002-12F
conditions when called upon. *The level II (Guarded) protective measures, which generally correspond to theblue threat condition, warrant more action by the licensees, but will generally not
                                                                              Page 3 of 5
involve significant action beyond the routine level of operation. These actions
defined protective measures in five levels, which generally correlate with the five color-coded
would typically relate to readiness, e.g., notifying personnel to standby, or
conditions of the HSAS. Protective measures at each level build upon the actions defined in
bringing in additional security officers to prepare for an enhanced response.  
the lower levels. For example, measures at level III will include those measures taken at levels
Actions taken at level II will include those taken at level I.*The level III (Elevated) protective measures, which generally correspond to theyellow threat condition, warrant enhanced security measures and additional
I and II.
resources, perhaps on a sustained basis, but would be based on hardware and
        *     The level I (Low) protective measures, which generally correspond to the green
personnel already at the licensee's disposal. (Note: When the HSAS was first
                threat condition, are considered to be the routine level of operation and are
announced on March 12, 2002, OHS also announced that the country was then
                satisfied by licensees maintaining the security programs required by the
considered to be in a Yellow threat condition.) Actions taken at level III will
                regulations, individual licenses, and Orders. Measures to enhance security need
include those taken at levels I and II.*The level IV (High) protective measures, which generally correspond to theorange threat condition, assume that the licensee's security organization is at its
                to be available so that they can be readied or implemented in higher threat
highest sustainable level and that the licensee will request augmentation by local
                conditions when called upon.
and State, and possibly Federal, resources to provide additional defensive
        *     The level II (Guarded) protective measures, which generally correspond to the
capabilities to the extent such resources can be made available. (Note: NRC
                blue threat condition, warrant more action by the licensees, but will generally not
advisories will provide additional specific information to the licensee(s) as
                involve significant action beyond the routine level of operation. These actions
information about the threat develops. Any additional licensee actions will be
                would typically relate to readiness, e.g., notifying personnel to standby, or
based upon threat specific information). Actions taken at level IV will include
                bringing in additional security officers to prepare for an enhanced response.
those taken at levels I, II, and III.*The level V (Severe) protective measures, which generally correspond to the redthreat condition, assume that the licensee will request augmentation by Federal
                Actions taken at level II will include those taken at level I.
resources beyond State and local resources to provide additional defensive
        *     The level III (Elevated) protective measures, which generally correspond to the
capabilities to the extent such resources can be made available to enhance the
                yellow threat condition, warrant enhanced security measures and additional
security of the facility. NRC will facilitate implementation of this added Federal
                resources, perhaps on a sustained basis, but would be based on hardware and
presence. (Note: It is expected that this condition will be limited to one or a very
                personnel already at the licensees disposal. (Note: When the HSAS was first
small number of licensees for a limited period of time. Any additional specific
                announced on March 12, 2002, OHS also announced that the country was then
actions will be based on an ongoing assessment of the threat by the NRC and
                considered to be in a Yellow threat condition.) Actions taken at level III will
other Federal agencies.) Actions taken at level V will include those taken at
                include those taken at levels I and II.
levels I, II, III, and IV.  
        *     The level IV (High) protective measures, which generally correspond to the
RIS 2002-12FPage 4 of 5When the Attorney General of the United States makes a change in threat condition that affectsNRC licensees, the NRC will issue a threat advisory notifying its licensees of the change. TheNRC will refer licensees to the recommended protective measures outlined in the table
                orange threat condition, assume that the licensees security organization is at its
attached to this RIS. Regardless of the current threat condition, licensees are required to
                highest sustainable level and that the licensee will request augmentation by local
comply with existing regulations, licenses, and Orders. The table is designed to provide a clear
                and State, and possibly Federal, resources to provide additional defensive
description of the basic actions appropriate to achieve the desired level of protection. The NRC
                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
                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.
 
                                                                                  RIS 2002-12F
                                                                                  Page 4 of 5
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,
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 securitymeasures be implemented beyond those provided in the attached table. For example, such
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
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
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
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
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, reflectingthe seriousness of the threat and the need for timely action to address the threat. Therefore,
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
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 inthe transition period before a formal declaration of a threat escalation by the Attorney General.  
the facility.
HSPD-3 makes clear that agency heads "retain the authority to respond, as necessary, to risks,
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
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
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 protectivemeasures for various threat levels and to reflect results from its ongoing comprehensive review
beyond what is generically prescribed in the tables for a particular threat level.
of security matters. In addition, this RIS will be reviewed at least once a year and revised as
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
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
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.BACKFIT DISCUSSIONRISs are generally used to communicate with the nuclear industry on a variety of matters forwhich no response or action is required. This RIS communicates actions the NRC considersappropriate at each threat level, but these actions are not requirements. A backfit analysis has
should forward comments to the contact listed below.
not been performed.  
BACKFIT DISCUSSION
RIS 2002-12FPage 5 of 5FEDERAL REGISTER NOTIFICATIONA notice of opportunity for public comment was not published in the Federal Register becausethis RIS is informational. The Commission also plans to issue additional regulatory issue
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.
 
                                                                            RIS 2002-12F
                                                                            Page 5 of 5
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
summaries in this series to cover additional classes of licensees, or NRC-licensed activities, as
NRC's review progresses. Any specific comments should be forwarded to the contact listed
NRCs review progresses. Any specific comments should be forwarded to the contact listed
below.PAPERWORK REDUCTION ACT STATEMENTThis RIS does not request any information collection; therefore, this RIS is not subject to thePaperwork Reduction Act of 1995 (44 U.S.C. 3501, et seq.)If you have any questions about this matter, please telephone or e-mail the technical contactlisted below./RA by TJohnson for/Robert C. Pierson, DirectorDivision of Fuel Cycle Safety and Safeguards
below.
Office of Nuclear Material Safety and SafeguardsContact:Andrew D. Rayland, NSIR (301) 415-8102
PAPERWORK REDUCTION ACT STATEMENT
E-mail: adr@nrc.govEnclosures:(1) HSPD-3, Homeland Security Advisory System(2) Threat Conditions and Specific Actions for Category  
This RIS does not request any information collection; therefore, this RIS is not subject to the
III Fuel Fa
Paperwork Reduction Act of 1995 (44 U.S.C. 3501, et seq.)
cilities
If you have any questions about this matter, please telephone or e-mail the technical contact
RIS 2002-12FPage 5 of 5FEDERAL REGISTER NOTIFICATIONA notice of opportunity for public comment was not published in the Federal Register becausethis RIS is informational. The Commission also plans to issue additional regulatory issue
listed below.
                                      /RA by TJohnson for/
                                      Robert C. Pierson, Director
                                      Division of Fuel Cycle Safety and Safeguards
                                      Office of Nuclear Material Safety and Safeguards
Contact:       Andrew D. Rayland, NSIR
                (301) 415-8102
                E-mail: adr@nrc.gov
Enclosures:     (1) HSPD-3, Homeland Security Advisory System
                (2) Threat Conditions and Specific Actions for Category III Fuel Facilities
 
                                                                            RIS 2002-12F
                                                                            Page 5 of 5
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
summaries in this series to cover additional classes of licensees, or NRC-licensed activities, as
NRC's review progresses. Any specific comments should be forwarded to the contact listed
NRCs review progresses. Any specific comments should be forwarded to the contact listed
below.PAPERWORK REDUCTION ACT STATEMENTThis RIS does not request any information collection; therefore, this RIS is not subject to thePaperwork Reduction Act of 1995 (44 U.S.C. 3501, et seq.)If you have any questions about this matter, please telephone or e-mail the technical contactlisted below.Robert C. Pierson, DirectorDivision of Fuel Cycle Safety and Safeguards
below.
Office of Nuclear Material Safety and SafeguardsContact:Andrew D. Rayland, NSIR (301) 415-8102
PAPERWORK REDUCTION ACT STATEMENT
E-mail: adr@nrc.govEnclosures:(1) HSPD-3, Homeland Security Advisory System(2) Threat Conditions and Specific Actions for category III fuel facilitiesDISTRIBUTION: See final distribution checklistAccession #: ML030130453OFCFCFBFCFBFCFBNSIR/DNSNAMEKRamsey /RA/LRoché /RA/DGillen /RA/GTracy /RA/DATE1/15/031/15/031/16/031/28/03OFCIMNSFCSSNAMEICabrera /RA/RPierson /RA byTJohnson for/DATE1/15/031/29/03OFFICIAL RECORD COPY
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 the technical contact
listed below.
                                      Robert C. Pierson, Director
                                      Division of Fuel Cycle Safety and Safeguards
                                      Office of Nuclear Material Safety and Safeguards
Contact:       Andrew D. Rayland, NSIR
                (301) 415-8102
                E-mail: adr@nrc.gov
Enclosures:     (1) HSPD-3, Homeland Security Advisory System
                (2) Threat Conditions and Specific Actions for category III fuel facilities
DISTRIBUTION: See final distribution checklist                      Accession #: ML030130453
  OFC      FCFB                FCFB                  FCFB                  NSIR/DNS
  NAME      KRamsey /RA/         LRoché /RA/           DGillen /RA/           GTracy /RA/
  DATE      1/15/03              1/15/03              1/16/03                1/28/03
  OFC      IMNS                FCSS
  NAME      ICabrera /RA/       RPierson /RA by
                                  TJohnson for/
  DATE      1/15/03              1/29/03
                                      OFFICIAL RECORD COPY
}}
}}

Latest revision as of 05:09, 24 November 2019

Category III Fuel Facilities NRC Threat Advisory & Protective Measures System
ML022750059
Person / Time
Issue date: 01/29/2003
From: Pierson R
NRC/NMSS/FCSS
To:
Ramsey K
References
IN-98-035 RIS-02-012F
Download: ML022750059 (9)
v • d • e


See also: RIS 2002-12F

Text

UNITED STATES

NUCLEAR REGULATORY COMMISSION

OFFICE OF NUCLEAR MATERIALS SAFETY AND SAFEGUARDS

WASHINGTON. D.C. 20555-0001

January 29, 2003

NRC REGULATORY ISSUE SUMMARY 2002-12F

CATEGORY III FUEL FACILITIES

NRC THREAT ADVISORY AND PROTECTIVE MEASURES SYSTEM

ADDRESSEES

All U.S. Nuclear Regulatory Commission (NRC) category III fuel facilities.

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

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

1

Because of its classification as Safeguards Information, NRC restricted distribution of

Information Notice 98-35 to certain classes of licensees.

SAFEGUARDS INFORMATION

Violation of protection requirements Document transmitted herewith contains

for SAFEGUARDS INFORMATION subject sensitive unclassified information, when

to CIVIL AND CRIMINAL penalties separated from Enclosure 2, this document

is decontrolled.

RIS 2002-12F

Page 2 of 5

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.

The NRC is using this RIS to announce its threat advisory and protective measures system to

implement the HSAS for category III fuel facilities. The NRC will relay information relating to

the threat conditions using the color-coded system defined by the HSAS. The NRC has also

RIS 2002-12F

Page 3 of 5

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

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.

RIS 2002-12F

Page 4 of 5

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.

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.

RIS 2002-12F

Page 5 of 5

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 the technical contact

listed below.

/RA by TJohnson for/

Robert C. Pierson, Director

Division of Fuel Cycle Safety and Safeguards

Office of Nuclear Material Safety and Safeguards

Contact: Andrew D. Rayland, NSIR

(301) 415-8102

E-mail: adr@nrc.gov

Enclosures: (1) HSPD-3, Homeland Security Advisory System

(2) Threat Conditions and Specific Actions for Category III Fuel Facilities

RIS 2002-12F

Page 5 of 5

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 the technical contact

listed below.

Robert C. Pierson, Director

Division of Fuel Cycle Safety and Safeguards

Office of Nuclear Material Safety and Safeguards

Contact: Andrew D. Rayland, NSIR

(301) 415-8102

E-mail: adr@nrc.gov

Enclosures: (1) HSPD-3, Homeland Security Advisory System

(2) Threat Conditions and Specific Actions for category III fuel facilities

DISTRIBUTION: See final distribution checklist Accession #: ML030130453

OFC FCFB FCFB FCFB NSIR/DNS

NAME KRamsey /RA/ LRoché /RA/ DGillen /RA/ GTracy /RA/

DATE 1/15/03 1/15/03 1/16/03 1/28/03

OFC IMNS FCSS

NAME ICabrera /RA/ RPierson /RA by

TJohnson for/

DATE 1/15/03 1/29/03

OFFICIAL RECORD COPY

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