NUREG-0728, Rev. 4

 NRC Incident Response Plan

U.S. Nuclear Regulatory Commission

Office of Nuclear Security and Incident Response

April 2005 [Issued for Interim Use Effective April 14, 2005] 
NUREG 0728, Rev 4 Issued for Interim Use Effective 04/14/2005

ABSTRACT

The United States Nuclear Regulatory Commission (NRC) regulates the Nation’s civilian uses of

nuclear fuels and materials to protect the health and safety of the public, to promote the

common defense and security, and to protect the environment. The NRC Incident Response

Plan, NUREG-0728, was developed to reflect Commission policy on the agency’s response to

radiological and other incidents and emergencies especially incidents involving NRC licensees

and certificate holders. The Plan assigns responsibilities for responding to any potentially

threatening incident involving NRC-regulated activities and for assuring that the NRC fulfills its

statutory mission. This revision, Revision 4, to the Plan reflects the current NRC policy and

organization structure and aligns the Plan with the National Response Plan and the National

Incident Management System. 

Comments regarding this document should be forwarded to the following: 

Director, Division of Preparedness and Response 

Office of Nuclear Security and Incident Response 

U.S. Nuclear Regulatory Commission 

Washington, D.C. 20555
NUREG 0728, Rev 4 Issued for Interim Use Effective 04/14/2005

TABLE OF CONTENTS

Executive Summary................................................................................................................... 6

 I. Introduction.................................................................................................................... 7

A. Purpose and Scope of Plan ..................................................................................

B. NRC Statutory Authority.......................................................................................

II. Overview: NRC Incident Response Program..............................................................10

A. Program Scope......................................................................................................

B. Program Documentation..................................................................................

C. Program Resources.........................................................................................

D. Program Readiness...........................................................................................

E. Licensee Alignment...............................................................................................

F. Interagency Alignment..........................................................................................

G. National Response Plan and National Incident Management System..............

H. Nuclear/Radiological Incident Annex ..................................................................

III. Key Planning Concepts................................................................................................ 16

A. Nuclear/Radiological Incidents............................................................................ 

B. Incidents Involving Licensees..............................................................................

C. Nonlicensee Incidents...........................................................................................

D. Terrorism Incidents...............................................................................................

IV. Roles and Responsibilities.......................................................................................... 18

A. Licensees................................................................................................................

B. State, Local, and Tribal Governments.................................................................

C. NRC.........................................................................................................................

1. Licensee Incidents 

2. Nonlicensee Incidents 

D. Federal Government..............................................................................................

1. The White House 

2. Department of Homeland Security 

3. Federal Bureau of Investigation 

4. Federal Departments/Agencies 

V. Concept of Operations................................................................................................. 22

A. NRC Response Functions.....................................................................................

B. NRC Response Organization................................................................................

1. Headquarters Operations Center 

2. Regional Offices 

3. Headquarters Executive Team 

4. Headquarters Support Teams 
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C. NRC Response Modes...........................................................................................

1. Normal 

2. Monitoring

3. Activation 

4. Expanded Activation 

D. NRC External Coordination...................................................................................

1. Licensees 

2. State/Local/Tribal Governments 

3. Department of Homeland Security 

a. Homeland Security Operations Center 

b. Incident of National Significance 

c. Interagency Incident Management Group 

d. Principal Federal Official and Joint Field Office 

e. Federal Emergency Management Agency 

4. Federal Interagency Assets 

a. Interagency Modeling and Atmospheric Assessment Center 

b. Advisory Team for Environment, Food, and Health 

c. Federal Radiological Monitoring and Assessment Center 

d. Radiological Assistance Program 

e. Other Assets 

5. The White House 

6. Congress 

7. International Organizations 

8. Public/Media 

E Continuity of Operations (COOP) Planning.........................................................

VI. Incident Response Management and Administration.............................................. 35

Authorities and Responsibilities......................................................................................

1. Management Directive 8.2 

2. Office of Nuclear Security and Incident Response 

B. Plan, Procedures, and Agreements.....................................................................

1. Headquarters Implementing Procedures 

2. Regional Implementing Procedures 

3. Memoranda of Agreement/Understanding 

4. Document Management 

C. Supporting Programs............................................................................................

VII. REFERENCES............................................................................................................... 38

FIGURES AND TABLES

Table 1: Licensee Emergency Classes.................................................................... 39

Figure 1: Monitoring NRC Response Mode.............................................................. 40

Figure 2: Activation NRC Response Mode............................................................... 41

Figure 3: Expanded Activation (w/o Site Team) NRC Response Mode................... 42

Figure 4: Expanded Activation (with Site Team) NRC Response Mode................. 43

Figure 5: NRC Interface with Department of Homeland Security............................ 44

Figure 6: Multiagency Coordination.......................................................................... 45

Figure 7: Principal Federal Official/Joint Field Office.............................................. 46
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APPENDICES 

A. Key Terms and Authorities................................................................................47

B. Acronyms and Initialisms..................................................................................56

C. Implementing Procedures..................................................................................59
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EXECUTIVE SUMMARY 

This Revision 4 to NUREG-0728, NRC Incident Response Plan (IRP), incorporates (1) agency

policy and organizational roles and responsibilities relative to incident and emergency response

set forth in Management Directive 8.2, NRC Incident Response Program; (2) national-level

incident management policy and mechanisms provided in the National Response Plan (NRP)

and the National Incident Management System (NIMS); (3) enhancements and updates to the

NRC’s Incident Response Program; and (4) agency organizational changes. 

This Plan and Management Directive 8.2 are being revised in parallel to ensure consistent

documentation of the NRC Incident Response Program. Planning-related information which

was previously contained in Management Directive 8.2 has been relocated to this Plan. In

addition, certain detailed information previously contained in this Plan has been incorporated

into the implementing procedures for this Plan. 

Within the framework of the NIMS, the NRP and associated annexes (Emergency Support

Function Annexes, Support Annexes, and Incident Annexes) govern the Federal Government’s

overall response to an incident. As a signatory to the NRP, the NRC commits to support the

NRP concepts, processes, and structures and to carry out NRC’s assigned functional

responsibilities to ensure effective and efficient incident response. Key NRP concepts

incorporated into Revision 4 include Incident of National Significance, Homeland Security

Operations Center (HSOC), Interagency Incident Management Group (IIMG), Principal Federal

Official (PFO), Joint Field Office (JFO), Interagency Modeling and Atmospheric Assessment

Center (IMAAC), and provisions of the NIMS related to incident command and management. In

addition, Revision 4 incorporates provisions of the Nuclear/Radiological Incident Annex to the

NRP. This annex, which supersedes the Federal Radiological Emergency Response Plan

(FRERP), provides for timely, coordinated Federal response to nuclear/radiological incidents

and is the principal NRP annex applicable to the NRC. 

Revision 4 incorporates several programmatic enhancements and updates and reflects the

agency’s current organization. The revision of the agency’s response modes is noteworthy: 

the Normal mode is the routine state of agency operations and the ongoing level of response

readiness; the Monitoring mode reflects a heightened state of agency readiness associated with

incident assessment; the Activation mode reflects agency escalation for extensive incident

analysis and evaluation, for consideration of dispatching an NRC site team, or for incidents

involving terrorist activities; and the Expanded Activation mode reflects agency escalation for

incidents which warrant the full response capabilities of the NRC and which may involve

dispatch of an NRC site team.
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I. INTRODUCTION 

A. Purpose and Scope of Plan

The NRC Incident Response Plan (IRP), NUREG-0728, Revision 4, governs the overall NRC

response to radiological incidents and emergency events with a focus on those incidents

involving NRC licensees and certificate holders (hereafter referred to as “licensees”). The Plan

reflects Commission policy regarding the planning and preparations for, response to, and

recovery from incidents and assigns headquarters and regional responsibilities, by organization

and by position, to assure the NRC will fulfill its statutory mission. 

This Plan is a key document of the NRC Incident Response Program and provides the basis for

NRC’s incident-related interface and coordination with licensees and other stakeholders. The

Plan is focused on incidents involving facilities and materials licensed by the NRC or an

Agreement State; however, the Plan encompasses all incidents in which the NRC has a

response role under its statutory authorities or as part of the overall Federal Government

response. For completeness, the Plan includes summaries of the responsibilities and activities

of the licensees, State/local/tribal governments, and the Federal Government for incidents

involving NRC-regulated facilities and materials.

As a signatory of the NRP (Reference 1), the NRC has committed to the national-level policies,

concepts, processes, and structures identified therein. Accordingly, this Plan is in alignment

with the NRP and applicable parts of the National Incident Management System (Reference 2). 

This Plan: 

# Identifies the role and responsibilities of the NRC related to incident response 

# Identifies the NRC’s capabilities and organizational structure for incident response 

# Identifies NRC interrelationships with licensees, State/local/tribal governments, other

Federal agencies, and other organizations 

# Emphasizes the licensee’s primary responsibilities relative to incident response 

# Describes NRC response activities and provisions for delegation of incident-related

authority vested in the Chairman 

# Guides headquarters and regional staff in carrying out their responsibilities for response

to an incident 

# Guides headquarters and regional staff in interactions prescribed in the NRP and

associated annexes 

# Identifies the “road map” for implementing procedures and supporting documents related

to incident management

B. NRC Statutory Authority 

The Atomic Energy Act of 1954, as amended, and the Energy Reorganization Act of 1974

provide the statutory authority for the NRC and the foundation for NRC regulations. The

statutory authorities for the NRC’s incident response functions are summarized as follows:
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# Atomic Energy Act of 1954, as amended (AEA): Under the AEA, 42 U.S.C. § 2011

et seq., the NRC has broad authority to regulate (by licensing, regulation or order)

commercial nuclear power and fuel facilities and the possession, transfer, and use of

source, byproduct, and special nuclear materials and other actions to protect the

public health and safety and to provide for the common defense and security. 

# Energy Reorganization Act of 1974: This Act abolished the Atomic Energy

Commission (AEC) and moved the AEC’s regulatory function to the NRC, establishing

the NRC as an independent regulator of certain nuclear materials and facilities. 

See 42 U.S.C. § 5801 et seq. This Act (in combination with AEA) gives the NRC

authority to regulate a limited number of Federal facilities operated by the Department

of Energy.

# Reorganization Plan No. 1 of 1980: This plan, which was enacted in Public Law

98-614, establishes the NRC Chairman as the principal executive officer and official

spokesman for the Commission. Section 3 of the plan transfers to the Chairman all the

functions vested in the Commission pertaining to an emergency involving NRC-licensed

or regulated materials and facilities. Under Section 3, the Chairman may delegate this

authority in whole or in part to other Commissioners or the NRC staff.

# Uranium Mill Tailings Radiation Control Act of 1978: This Act amended the AEA to

give the NRC authority to regulate the radioactive tailings or wastes generated by

uranium milling and other operations designed to process ores for uranium or thorium. 

NRC regulations at 10 C.F.R. Part 40 govern disposal of such material.

# Nuclear Non-Proliferation Act of 1978: This Act (in combination with the AEA) gives

the NRC authority to license the export and import of nuclear materials and equipment to

ensure that these items are used for peaceful purposes. NRC regulations governing

export licensing are set forth in 10 C.F.R. Part 110.

# Nuclear Waste Policy Act of 1982/Nuclear Waste Policy Act Amendments of

1987/Energy Policy Act of 1992: These Acts set forth requirements for development

and licensing of Yucca Mountain, a proposed high-level radioactive waste repository

being developed by the Department of Energy (DOE). The NRC will consider DOE’s

eventual license application against technical criteria set forth in NRC regulations in

10 C.F.R. Part 63. 

# Diplomatic Security and Anti-Terrorism Act of 1986: This Act, 22 U.S.C. § 4802

et seq., requires the Secretaries of Defense, State, and Energy, the Director of the Arms

Control and Disarmament Agency, and the NRC to review the adequacy of the physical

security standards currently applicable to the shipment and storage outside the United

States of special nuclear material which is subject to U.S. prior consent rights, with

special attention to protection against terrorist acts. The Act also amends the AEA to

require each licensee or applicant for a license to operate a utilization facility (e.g., a

nuclear power reactor) to fingerprint each individual who is permitted unescorted access

to the facility or is permitted access to certain safeguards information. 

# Solar, Wind, Waste, and Geothermal Power Production Incentives Act of 1990:

This Act amended the AEA to require licensing of uranium enrichment facilities under

NRC regulations in 10 C.F.R. Parts 40 and 70. 
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# Prohibited transactions involving nuclear materials, 18 U.S.C. § 831, provides for

criminal penalties for specified transactions involving nuclear materials and provides that

the Attorney General may request assistance from the Secretary of Defense in the

enforcement of this section notwithstanding the Posse Comitatus Act.

The mission of the NRC, under the AEA, is to regulate the civilian commercial, industrial,

academic, and medical uses of nuclear materials in order to protect the public health and safety

and promote the common defense and security. This congressionally-defined NRC mission

enables the Nation to use radioactive materials for beneficial civilian purposes while ensuring

that public health and safety, the common defense and security, and the environment are

protected. 

The NRC’s scope of responsibility includes regulation of commercial nuclear power plants;

research, test, and training reactors; nuclear fuel cycle facilities; medical, academic, and

industrial uses of radioactive materials; and the transport, storage, and disposal of nuclear

materials and wastes. NRC’s regulations are designed to protect the public and occupational

workers from radiation hazards in industries using radioactive materials.
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II. OVERVIEW: NRC INCIDENT RESPONSE PROGRAM 

This section provides a narrative overview of the NRC Incident Response Program and its

relationship to both national policy and the response programs of licensees and State/local/tribal

governments. 

A. Program Scope 

The NRC Incident Response Program integrates the overall NRC capabilities associated with

the planning and preparation for, response to, and recovery from radiological incidents and/or

emergency events. The program is focused on incidents involving nuclear/radiological facilities

and materials licensed by the NRC or an Agreement State. However, the program

encompasses all incidents in which the NRC has a response role under its statutory authority or

as part of the overall response role of the Federal Government. 

The headquarters Office of Nuclear Security and Incident Response (NSIR) manages and

administers the program. NSIR’s responsibilities include: develop and maintain program

documentation; staff, operate and maintain the Headquarters Operations Center (HOC);

coordinate the staffing of response teams and functions of personnel in the incident response

organization; conduct training, drills, and exercises; conduct outreach activities with

stakeholders (e.g., licensees, State, local, and tribal government agencies, other Federal

entities); integrate NRC’s incident management processes and activities with licensees,

State/local/tribal governments, and Federal entities; and carry out a process of agency-wide

continuing improvement for incident management. 

Each of the four regional offices manages and administers the regional elements of the

program. The elements include staffing and operation of the regional incident response

centers; developing and maintaining region-specific program documentation; staffing incident

response teams; conducting training, drills, and exercises; integrating NRC incident response

with licensees’ and State/local/tribal governments’ incident response; and conducting

stakeholder outreach activities. 

B. Program Documentation

Management Directive 8.2, NRC Incident Response Program (Reference 3), the top-tier

document, sets forth policy on the agency’s Incident Response Program. The directive

specifies the organizational and positional roles and responsibilities of headquarters and

regional offices relative to incident management and response and is applicable to all

agency employees.

This Plan, NUREG-0728, Revision 4, reflects the NRC policy and organizational structure

provided in Management Directive 8.2. This Plan governs the overall NRC response to

incidents and assigns responsibilities for assuring that the NRC fulfills its statutory mission

relative to incident response. 

Headquarters and regional office implementing procedures, separate from this Plan, document

the specific functions and responsibilities and contain the detailed information for the NRC’s

response teams and personnel to implement and carry out the provisions of the Plan. 

Procedures address such topics as responder notifications and team staffing, lessons learned,

communication protocols, system/equipment operation, licensee interface, interagency

coordination, and stakeholder outreach. 
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C. Program Resources 

NRC resources associated with the Incident Response Program include personnel, facilities,

and systems/equipment. The agency provides 24/7 staffing of the HOC by duty officers familiar

with licensee facilities and operations. In response to an incident, NRC personnel provide

staffing of the headquarters response teams, and activate the agency’s response capabilities. 

Regional offices provide personnel to staff their respective incident response centers and, as

appropriate, a team to be dispatched to the incident location. Further, NRC personnel staffing is

maintained sufficient to continually staff positions on a 24/7 basis as necessary to support

incident response functions. 

The HOC and the regional incident response centers are equipped with communications,

information display, and analysis systems. For example, communications systems provide

direct linkages, including secure telephone/fax, with licensees and government entities. The

Emergency Response Data System (ERDS) displays real-time safety system data from all

nuclear power reactor plants. Radiological analysis and consequence assessment processes

provide the capability for predicting radiological consequences to the public and/or the

environment. 

D. Program Readiness 

NRC readiness for response to incidents is maintained by planning and preparedness activities

such as: plan and procedure maintenance, training, exercises, interagency liaison/coordination,

stakeholder outreach, and program assessments. This Plan and the implementing procedures

are reviewed and periodically updated to reflect lessons learned and agency organizational

changes. Headquarters Operations Officers(HOOs)/Headquarters Emergency Response

Officers (HEROs) receive ongoing training and response team members receive both initial and

refresher training. The NRC maintains a broad program of emergency exercises and

participates, either full-scale or partial, in both facility and materials licensee exercises and

Federal interagency exercises on an ongoing basis. The NRC is an integral part of the Federal

incident management community and actively participates in interagency policy and planning

and preparedness activities with the Homeland Security Council (HSC), Department of

Homeland Security (DHS), Federal Emergency Management Agency (FEMA), and other

departments/agencies. The agency maintains a comprehensive program of stakeholder

outreach activities to include licensees, Federal/State/local/tribal government agencies, and the

public. The agency maintains an aggressive program of continuing improvement related to

nuclear/radiological security, emergency preparedness, and incident response. 

E. Licensee Alignment

The NRC responds to incidents under its own statutory authorities and responsibilities in

accordance with this Plan and, if applicable, as an integral part of the overall response by the

Federal government consistent with the NRP. Licensees respond to incidents involving their

licensed facilities and/or material in accordance with their respective NRC-mandated plans,

programs, and procedures. The scope and extent of the NRC response to a licensee incident

are dependent upon the incident’s severity and typically correlates with the information reported

by the licensee and the licensee’s scope of response.

Facility licensees are responsible for taking immediate actions to ensure safety and security, to

mitigate the consequences of an incident, to promptly notify State/local/tribal officials and the
NUREG 0728, Rev 4 Issued for Interim Use Effective 04/14/2005

NRC, and to provide appropriate public protective action recommendations to offsite

government authorities. 

Incident notifications and response activities are facilitated by the NRC-mandated standardized

emergency classification scheme for incidents at licensee facilities. 

The NRC (1) performs independent assessment of incidents and potential offsite consequences

and, as appropriate, confirms or provides recommendations concerning public protective

measures; (2) performs oversight of the licensee to include monitoring, evaluation of

protective action recommendations, advice, assistance, and, in rare circumstances, direction;

and (3) dispatches, if appropriate, an NRC site team of technical experts to the licensee’s

facility. Under certain extreme circumstances and subject to significant preconditions, the NRC

may take possession of special nuclear materials and/or operate certain facilities regulated by

the NRC if necessary to protect the health and safety of the public or the common defense

and security. 

For incidents involving licensed radioactive materials, the respective responsibilities of the

licensee and the NRC are unchanged from those for a facility. Response activities would,

however, be incident-specific and vary with incident type and location, source term, and

potential consequences. 

F. Interagency Alignment 

Homeland Security Presidential Directive-5 (HSPD-5), Management of Domestic Incidents,

(Reference 4) tasks all Federal departments and agencies to support and assist the

Secretary of Homeland Security and to adopt and conform to the NIMS and NRP.

NIMS: The NIMS provides a nationwide framework for Federal, State, local, and tribal

governments to prevent, prepare for, respond to, and recover from domestic incidents. The

NIMS consists of protocols for incident command and management, plus provisions for resource

management, communications, and planning and preparedness. 

NRP: The NRP, using the NIMS, integrates Federal domestic prevention, preparedness,

response, and recovery plans into a single all-discipline, all-hazards plan. The NRP consists of

a “base plan” plus multiple subject-specific annexes that expand upon, and further delineate,

the interagency roles, responsibilities and activities pertaining to particular incidents. 

Participation in the NRP allows Federal agencies to draw on the resources of others in

exchange for the commitment to provide similar assistance when requested “consistent with

[the agency’s] own authorities and responsibilities.” 

The NRP emphasizes that agencies fully retain their independent authorities and

responsibilities; but it also anticipates that participating agencies will coordinate their actions by

working through NRP-established multi-agency organizations. The Secretary of Homeland

Security does not direct policy or resolve conflicts that may arise within these multi-agency

organizations. The Secretary, consistent with HSPD-5, provides the mechanisms necessary to

coordinate Federal operations and resources and facilitates conflict resolution. 
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G. National Response Plan and National Incident Management System

The Federal Government’s overall response to an incident is governed by the NRP and

associated annexes (Emergency Support Function Annexes, Support Annexes, and Incident

Annexes) within the framework of the NIMS. 

Revision 4 of this Plan brings the Plan into alignment with the NRP and the NIMS. As a

signatory to the interagency letter of agreement that promulgated the NRP, the NRC

commits to: 

# Supporting NRP concepts, processes, and structures and carrying out NRC’s assigned

functional responsibilities to ensure effective and efficient incident response 

# Agreeing to the terms and conditions of the Memorandum of Agreement (MOA) for

mutual aid set forth in the Financial Management Support Annex of the NRP 

# Providing cooperation, resources, and support to the Secretary of Homeland Security in

the implementation of the NRP, as appropriate and consistent with NRC’s authorities

and responsibilities 

# Cooperating with appropriate Federal incident management leadership to include the

Principal Federal Official, Federal Coordinating Officer, and Federal Resource

Coordinator, as appropriate and consistent with NRC’s authorities and responsibilities 

# Modifying existing NRC incident management and emergency response plans to

facilitate compliance with the NRP 

# Forming and maintaining incident management partnerships with State, local, tribal, and

regional entities, the private sector, and nongovernmental organizations 

# Utilizing NRC-specific authorities, resources, and programs to facilitate incident

management activities in accordance with the NRP 

# Developing, exercising, and refining headquarters and regional capabilities to ensure

sustained operational readiness in support of the NRP. 

Key NRP concepts adopted by the NRC and incorporated into the provisions of this

Plan include: 

# Incident of National Significance. As determined by DHS, an actual or potential

high-impact event that requires a coordinated and effective response by an appropriate

combination of Federal, State, local, tribal, nongovernmental, and/or private-sector

entities in order to save lives and minimize damage and to provide the basis for

long-term community recovery and mitigation activities is termed an Incident of

National Significance. For such incidents, DHS coordinates the overall Federal

response according to provisions of the NRP and annexes.

 

# Nuclear/Radiological Incident Annex. Incidents involving nuclear/radioactive materials,

including incidents considered Incidents of National Significance, are addressed in this

annex to the NRP (see discussion below). 

# Homeland Security Operations Center (HSOC). The NRC and other Federal

departments/agencies report incident-related information to the DHS headquarters 24/7

operations center. In addition, the NRC provides staff liaisons on a “situation basis” as

requested by DHS to facilitate interagency coordination. 

# Interagency Incident Management Group (IIMG). The NRC provides management-level

representation to the IIMG, on a “situation basis” and in parallel with other
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Federal departments/agencies, for interagency policy-level support to the Secretary of

Homeland Security and the White House. 

# Principal Federal Official (PFO) and Joint Field Office (JFO). During Incidents of

National Significance, when a PFO is designated to locally oversee, coordinate, and

execute the Secretary of Homeland Security’s responsibilities and a JFO is established

to coordinate Federal assistance to the affected jurisdictions, the NRC staffs positions in

the JFO organization in support of the PFO and other Federal agencies. The JFO may

include a joint information center (JIC). 

# Interagency Modeling and Atmospheric Assessment Center (IMAAC). The IMAAC,

coordinated by DHS, provides hazardous materials (radiological, chemical, biological)

atmospheric dispersion modeling and health effect predictions during an Incident of

National Significance and generates the single Federal prediction of atmospheric

dispersion and consequences utilizing the best available resources from the Federal

Government. The NRC interfaces and coordinates with the IMAAC. 

# NIMS. This Plan and the associated implementing procedures incorporate the

provisions of the NIMS related to incident command and management. The NRC will

evaluate and adopt, as appropriate, the other provisions of the NIMS which are currently

undergoing DHS-coordinated interagency collaborative development. 

H. Nuclear/Radiological Incident Annex 

The NRP’s Nuclear/Radiological Incident Annex (Reference 5), which supersedes the FRERP,

provides for timely, coordinated response by Federal agencies to nuclear/radiological incidents

and is the principal annex applicable to the NRC. The annex applies to any nuclear/radiological

incident that has actual, potential, or perceived radiological consequences within the United

States, its territories, possessions, or territorial waters, and requires a response by the Federal

Government. The annex does not create any new authorities nor change any existing

authorities and nothing in the annex alters or impedes the ability of the NRC or other Federal

agencies to carry out their specific authorities and perform their responsibilities under law. 

Under this annex, the NRC roles/responsibilities are analogous to those under the superseded

FRERP and the annex comports closely with the FRERP. 

The annex may be implemented (1) concurrently with, and as integral part of, the NRP for

Incidents of National Significance or (2) independently as a stand-alone Federal interagency

protocol for incidents below the threshold of an Incident of National Significance. Under the

annex, NRC is either the Coordinating Agency or a Cooperating Agency. The Coordinating

Agency is that Federal agency which owns, has custody of, authorizes, regulates, or is

otherwise deemed responsible for the radiological facility or activity involved in the incident. 

(Note: “Coordinating Agency” equates to “Lead Federal Agency” under the FRERP.) The NRC

is the Coordinating Agency for incidents that occur at fixed facilities or activities licensed by the

NRC or Agreement States or involving AEA licensed material. For terrorism incidents involving

materials or facilities licensed by NRC or Agreement States, NRC is the Coordinating Agency

responsible for coordinating technical support and assistance to the Federal Bureau of

Investigation (FBI) in the performance of its law enforcement mission. 
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As the Coordinating Agency, NRC performs the following Federal-level functions: 

(1) coordinates actions of Federal agencies related to the overall response; (2) coordinates

Federal activities related to response and recovery of the radiological aspects of the incident;

(3) coordinates security activities related to Federal response operations; (4) ensures

coordination of technical data (collection, analysis, storage, and dissemination); (5) ensures that

Federal protective action recommendations are developed and provides advice and assistance

to State, local, and tribal governments for implementation; (6) coordinates release of Federal

information to the public; (7) coordinates release of Federal information to Congress; (8) informs

the White House on aspects of the incident; and (9) ensures coordination of demobilization of

Federal assets. For Incidents of National Significance, DHS is responsible for the overall

coordination of Federal response activities and NRC performs the Coordinating Agency

response functions in concert with DHS. 

As a Cooperating Agency, the NRC provides technical and resource support to the

Coordinating Agency. The NRC is a Cooperating Agency for all nuclear/radiological incidents

other than those for which it is the Coordinating Agency. For example, for incidents involving

Department of Energy (DOE)-owned/operated facilities and for terrorism incidents involving

material not licensed by NRC or Agreement States, NRC would provide technical assistance to

other Federal, State, local, and tribal agencies as a Cooperating Agency.
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III. KEY PLANNING CONCEPTS 

A. Nuclear/Radiological Incidents 

The Nuclear/Radiological Incident Annex of the NRP is implemented (1) concurrently with, and

as an integral part of, the NRP for nuclear/radiological incidents considered to be Incidents of

National Significance or (2) independently for other nuclear/radiological incidents considered to

be below the threshold of an Incident of National Significance and, therefore, not requiring

overall Federal coordination by DHS. 

The Coordinating Agency leads the nuclear/radiological aspects of the response in support of

DHS for Incidents of National Significance or, for incidents below the threshold of an Incident of

National Significance, leads the overall Federal response. The Cooperating Agencies provide

technical and resource support to DHS and to the Coordinating Agency. 

B. Incidents Involving Licensees 

The licensee, pursuant to provisions of Title10 of the Code of Federal Regulations, is

responsible for controlling the nuclear/radioactive material or facility, protecting against

radiological releases, and mitigating the consequences of the incident. The licensee must be

prepared to perform essential activities to ensure protection of the public in the event of an

incident. 

The NRC supports and assists the licensee, conducts an independent assessment of licensees

and others to ensure safety and mitigate potential offsite consequences, and provides

assistance and recommendations concerning any protective measures. For incidents involving

facilities or materials licensed by the NRC or an Agreement State, the NRC is the designated

Coordinating Agency under the Nuclear/Radiological Incident Annex. 

For a transportation incident, the respective responsibilities of the licensee and NRC are the

same as for a regulated facility. Response activities vary with the mode of transportation

(e.g., highway, rail, ship, or plane), incident location, incident type, source term, and potential

consequences. Response to an incident in the public transportation domain inherently relies on

licensee and NRC cooperation with appropriate State, local, tribal, and Federal agencies. 

C. Nonlicensee Incidents 

For an incident involving a nuclear or radiological facility or material not licensed by the NRC or

an Agreement State, another Federal department/agency is the designated Coordinating

Agency under the Nuclear/Radiological Incident Annex and the NRC serves as a Cooperating

Agency. In this capacity, the NRC provides technical assistance and support to DHS, other

Federal entities, and State/local/tribal authorities commensurate with its capabilities and

consistent with its statutory authorities. 
NUREG 0728, Rev 4 Issued for Interim Use Effective 04/14/2005

D. Terrorism Incidents 

Terrorism incidents involving nuclear or radioactive materials, including facilities and materials

licensed by the NRC or an Agreement State, are considered Incidents of National Significance. 

For such incidents, DHS coordinates the overall Federal response under the provisions of the

NRP and the associated annexes. Under the provisions of the Terrorism Incident Law

Enforcement and Investigation Annex, the FBI manages and directs law enforcement and

intelligence aspects of the response, while coordinating its activities with appropriate

Federal/State/local/tribal governments. 

For facilities or material licensed by the NRC or an Agreement State, the NRC is the

Coordinating Agency under the Nuclear/Radiological Incident Annex. The NRC performs the

functions delineated in the annex and, supported by the designated cooperating agencies,

provides technical support and assistance to the FBI in the performance of its law enforcement

and criminal investigative mission.
NUREG 0728, Rev 4 Issued for Interim Use Effective 04/14/2005

IV. ROLES AND RESPONSIBILITIES 

A. Licensees 

Licensees have the following responsibilities for incident response, pursuant to provisions of

Title 10 of the Code of Federal Regulations: 

(1) Limiting the Consequences 

The licensee has the immediate and primary continuing responsibility for preventing the

occurrence and limiting the consequences of an incident. Limiting the consequences to

public health and safety takes clear precedence over adverse publicity or limiting

financial loss. During an incident the licensee is required to take whatever action is

deemed necessary to limit the consequences to public health and safety. 

(2) Notifications and Protective Action Recommendations 

The licensee is responsible for initial incident notifications to State, local, tribal, and

Federal authorities (as specified in the licensee’s emergency plan) and for keeping these

entities informed of the status of the incident with respect to protection of the public

health and safety. The licensee is required to promptly recommend to State, local, tribal,

and Federal authorities specific protective actions to limit the danger to the public,

including evacuation and sheltering and the prophylactic use of potassium iodide (KI) as

appropriate. 

(3) Notifying NRC 

The licensee is responsible for notifying the NRC in compliance with regulatory

requirements (e.g., 10 CFR Part 20, Subpart M, “Reports”; 10 CFR 30.50,

“Reporting Requirements”; 10 CFR 40.60, “Reporting requirements”; 10 CFR 50.72,

“Immediate notification requirements for operating nuclear power reactors”;

10 CFR 70.50, “Reporting requirements”; 10 CFR 70.74, “Additional reporting

requirements”; 10 CFR 73.71, “Reporting of safeguards events”; and 10 CFR 76.120,

“Reporting requirements”). 

B. State, Local, and Tribal Governments

State governments and, as applicable, local/tribal governments are responsible for determining

and implementing measures to protect life, property, and the environment in areas outside the

facility boundary or incident location. Although the licensee has the primary role in preventing

and mitigating onsite incident consequences, the State authorities are responsible for

implementing a response to assure the protection of the public from offsite consequences.

These State authorities are assisted by the NRC, DHS, and other Federal Government

departments/agencies. In addition, for incidents involving Agreement State licensees, State

governments are responsible for notifying the NRC of the incident in a timely and effective

manner. 

C. NRC 

NRC roles and responsibilities for incident response are as follows: 

(1) Licensee Incidents 

For incidents involving facilities or materials licensed by the NRC or an Agreement State,

NRC responsibilities include (1) performing an independent assessment of the safety of
NUREG 0728, Rev 4 Issued for Interim Use Effective 04/14/2005

the facility or material; (2) evaluating licensee protective action recommendations;

(3) performing oversight of the licensee (monitoring, advising, assisting, and/or

directing); (4) supporting and coordinating with State/local/tribal authorities, DHS, and

other Federal agencies; (5) reporting information to appropriate entities including the

media and the public. 

In carrying out its responsibilities related to a licensee incident, the NRC may have more

than one licensee interface role, sometimes concurrently, as events progress. These

interface roles are not discrete or mutually exclusive, but are generally incremental. The

following interface roles are presented in ascending order of NRC responsibility: 

 

# Monitor and assess. In this role, NRC response is limited and involves

information acquisition and assessment. The licensee has primary responsibility

for ensuring safety and responding to the incident. NRC keeps itself appraised of

both the situation and the status of response actions, based on information and

electronic data supplied directly by the licensee, as well as any data obtained

from independent sources, reported by NRC personnel on site, or provided by

offsite authorities. NRC maintains cognizance of offsite conditions and activities

related to the incident. Data are collated, verified, analyzed, and evaluated by

NRC to arrive at an independent assessment of the situation and of the

adequacy of safety and 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 activities. 

# Coordinate and inform. The NRC will appropriately inform cognizant officials,

other agencies, and the public about the status of the incident. This role is

exercised when it is clear that responsible parties are not aware of pertinent

information or when information is specifically requested by interested parties

(e.g., news media, DHS, White House). NRC activities are coordinated with DHS

and other Federal entities. 

 

# Advisory. The NRC response is expanded to exert influence on the response

process. The primary responsibility for dealing with the incident remains with the

licensee. NRC gives advisory support and assists in diagnosing the situation,

isolating critical problems, and determining what courses of action and additional

precautionary measures are necessary and appropriate. NRC advises the

licensee and, as applicable, State/local/tribal authorities and other Federal

agencies. In coordination with DHS, NRC advises State and local/tribal

authorities on actions to mitigate the consequences of the incident and to protect

the public. This advice may confirm the licensee’s recommendation or provide

additional recommendations. 

# Assistance. The NRC may, upon request, assist the licensee by obtaining

onsite and external support relating directly to onsite response activities. In this

capacity, NRC may serve as an intermediary between the licensee and other

response participants. NRC may also coordinate the deployment of Federal

resources to the State and/or other response organizations.

 

# Limited direction. In rare situations, the NRC may find it necessary to intervene

in a limited manner to direct the licensee’s onsite response. NRC rarely assumes
NUREG 0728, Rev 4 Issued for Interim Use Effective 04/14/2005

this role, but plans are made for such a contingency. The Chairman of the NRC

has the authority to issue orders and directives to the licensee and, in such

situation, the Chairman or designee issues formal orders to the licensee to take

certain measures and then monitor implementation of the actions ordered. The

licensee continues to make other incident-related decisions and to operate and

manage the facility with licensee personnel. 

(2) Nonlicensee Incidents 

For nuclear/radiological incidents not involving facilities or materials licensed by the NRC

or an Agreement State, the NRC is responsible for providing technical assistance and

support, consistent with its statutory authorities. For incidents in which the

Nuclear/Radiological Incident Annex is implemented, the NRC serves as a Cooperating

Agency and is responsible for (1) providing technical assistance to include source term

estimation, plume dispersion, and dose assessment calculations (2) providing

assistance concerning protective action measures and (3) providing assistance in

Federal radiological monitoring and assessment activities. 

D. Federal Government 

1. The White House 

The President leads the Nation in response to an Incident of National Significance. The

President may instruct a Federal department/agency, subject to statutory limitations, to utilize its

authorities and resources. Under provisions of the Robert T. Stafford Disaster Relief and

Emergency Assistance Act (Stafford Act), the President may declare a major disaster or

emergency to provide Federal assistance to State/local/tribal entities. The Assistant to the

President for Homeland Security, as directed by the President, may convene Federal

interagency meetings to coordinate policy issues. The White House uses the mechanisms and

provisions of the NRP to coordinate the response activities of Federal departments/agencies. 

2. Department of Homeland Security 

The Secretary of Homeland Security is responsible for coordinating the overall Federal

Government response to Incidents of National Significance in accordance with HSPD-5 and the

NRP. The Secretary, in accordance with HSPD-3, “Homeland Security Advisory System,”

coordinates dissemination of information regarding the risk of terrorist acts and the

implementation of measures to reduce vulnerability or increase response capability during a

period of heightened alert. 

For a nuclear/radiological Incident of National Significance, DHS carries out overall coordination

responsibilities according to the provisions of the NRP Base Plan, the Nuclear/Radiological

Incident Annex, and other NRP annexes. For nuclear/radiological incidents of lesser severity,

below the threshold of an Incident of National Significance and, therefore, not requiring overall

coordination by DHS, organizational elements of DHS (e.g., DHS/FEMA); DHS/Infrastructure

Analysis and Infrastructure Protection, Customs and Border Protection; Science and

Technology Directorate; DHS/U.S. Coast Guard (USCG); DHS/U.S. Secret Service; others)

carry out their respective responsibilities according to the provisions of the Nuclear/Radiological

Incident Annex and other annexes. 
NUREG 0728, Rev 4 Issued for Interim Use Effective 04/14/2005

In accordance with provisions of the Stafford Act, DHS/FEMA is responsible for coordinating the

provision of Federal resources and assistance to affected State, local, and tribal governments

for incidents resulting in presidentially declared disasters or emergencies. All incidents resulting

in disaster and emergency declarations under the Stafford Act are considered Incidents of

National Significance. However, not all Incidents of National Significance necessarily result in a

declaration under the Stafford Act.

3. Federal Bureau of Investigation (FBI)

Under the AEA, the FBI is responsible for investigating all alleged or suspected criminal

violations of the act. The Attorney General, typically acting through the FBI, has lead

responsibility for criminal investigations of terrorist acts or threats, including those involving

nuclear/radioactive materials, and for coordinating activities of other members of the law

enforcement community. The FBI also plays a key part in working with the NRC and DHS in

determining the credibility of threats involving nuclear facilities and materials. 

For a nuclear/radiological terrorism incident, the FBI is responsible for managing and directing

the law enforcement and intelligence aspects of incident response under the Terrorism Incident

Law Enforcement and Investigation Annex of the NRP. The Coordinating Agency and

Cooperating Agencies under the Nuclear/Radiological Incident Annex perform their respective

functions delineated in the annex and provide technical support and assistance to the FBI.

4. Federal Departments/Agencies 

The responsibilities of other Federal departments/agencies (e.g., DOE, Environmental

Protection Agency [EPA], U.S. Department of Agriculture [USDA]) pertaining to

nuclear/radiological incidents are delineated in the Nuclear/Radiological Incident Annex. For a

nuclear/radiological incident in which the NRC is designated the Coordinating Agency, these

departments/agencies serve as Cooperating Agencies and provide technical assistance and

support to the NRC. 
NUREG 0728, Rev 4 Issued for Interim Use Effective 04/14/2005

V. CONCEPT OF OPERATIONS 

A. NRC Response Functions 

The NRC carries out incident response functions, in accordance with this Plan, under its own

statutory authorities and responsibilities (see Section I.B) and, if applicable, as an integral part

of the overall Federal response consistent with the NRP. For incidents involving facilities and/or

materials licensed by the NRC or an Agreement State, the NRC (1) performs an independent

assessment of the incident and potential offsite consequences and, as appropriate,

provides/confirms recommendations concerning any protective measures (2) performs oversight

of the licensee (monitoring, evaluation of protective action recommendations, advice,

assistance, and, in rare circumstances, direction) and (3) dispatches, if appropriate, an NRC

team of technical experts to the licensee’s site. 

As a signatory to the NRP, the NRC supports the NRP concepts, processes, and structures and

carries out assigned functional responsibilities to ensure effective and efficient incident

management. In addition, NRC cooperates with and supports the Secretary of Homeland

Security in implementation of the NRP, as appropriate and consistent with NRC’s authorities

and responsibilities. 

For incidents involving facilities and/or materials licensed by the NRC or an Agreement State,

NRC is the Coordinating Agency under the Nuclear/Radiological Incident Annex. Accordingly,

the NRC performs the specified Federal-level response functions, as appropriate and consistent

with the agency’s authorities and responsibilities, including (1) coordinating actions of Federal

agencies related to the overall response; (2) coordinating Federal activities related to response

and recovery of the radiological aspects of the incident; (3) coordinating security activities

related to Federal response operations; (4) ensuring coordination of technical data (collection,

analysis, storage, and dissemination); (5) ensuring Federal protective action recommendations

are developed in a timely and effective manner and providing advice and assistance to State,

local, and tribal governments for implementation; (6) coordinating release of Federal information

to the public; (7) coordinating release of Federal information to Congress; (8) informing the

White House on all aspects of the incident; and (9) ensuring coordination of demobilization of

Federal assets. The designated cooperating agencies (e.g., DOE, EPA, USDA) provide

assistance and support to the NRC. 

For incidents below the threshold of an Incident of National Significance, the NRC, as

Coordinating Agency, performs the Federal-level functions and coordinates the overall Federal

response as provided in the annex. For Incidents of National Significance, DHS is responsible

for the overall coordination of Federal response activities and the NRC, as Coordinating

Agency, performs the Federal-level functions in concert with DHS. 

For other nuclear/radiological incidents (e.g., incidents involving DOE-owned material), the NRC

is a Cooperating Agency. Accordingly, NRC provides technical assistance and support to DHS

and the Coordinating Agency as appropriate and consistent with the agency’s authorities and

responsibilities. 

For non-nuclear/radiological incidents, NRC may be designated a "support agency" or

"cooperating agency" under one or more of the Emergency Support Function Annexes,

Support Annexes, and/or Incident Annexes. Accordingly, NRC provides technical assistance

and support according to the provisions of the annexes as appropriate and consistent with

NRC’s authorities and responsibilities. 
NUREG 0728, Rev 4 Issued for Interim Use Effective 04/14/2005

B. NRC Response Organization 

The overall response to any incident is under the direction of the NRC Chairman, or his/her

designee. Response personnel at both headquarters and regional offices are organized by

teams and the Chairman is the Director of the Executive Team. The agency’s response at the

regional level is under the direction of the respective Regional Administrator or designee. If an

NRC site team is established and dispatched to the vicinity of an incident (e.g., licensee’s site),

the Site Team Director (i.e., director of the NRC site team) assumes lead responsibilities under

specific authorities delegated by the Chairman. 

NRC headquarters and regional response teams are staffed by experienced and qualified

personnel whose routine responsibilities/activities correlate with the respective team’s incident

response functions and activities. Experienced and qualified supervisors/managers serve as

team directors. Team directors tailor team staffing for a particular incident and, for an extended

incident, determine long-term team staffing. Team-specific incident response implementing

procedures identify the specific staffing and functions/activities for each team. 

1. Headquarters Operations Center (HOC) 

The HOC is continuously staffed (24 hours a day, 7 days a week) with a HOO/HERO. The

HOO and HERO function as a team to receive emergency and non-emergency notifications

from NRC licensees, government agencies, and/or private entities. Notifications made to the

HOC include safety and security incidents. Depending on the nature of the reported incident,

the HOO and HERO notify designated headquarters and regional management-level decision

makers. If a decision is made to escalate the NRC response mode, the HOO and HERO

promptly notify the appropriate NRC incident response team members. In addition to internal

notifications, the HOO and HERO notify other Federal departments/agencies and, if appropriate,

licensees and State agencies. The HOO and HERO, while continuing to perform their functions,

are an integral part of the headquarters incident response organization. HOO/HERO functions

are conducted in accordance with an implementing procedure. 

2. Regional Offices 

Regional incident response is under the leadership of the respective Regional Administrator

with oversight by the Executive Team (ET). Response personnel include selected management

and technical staff at the respective regional offices and the resident inspectors at nuclear

power plant and nuclear fuel facility sites. For an incident at a licensee site with resident

inspectors, the inspectors typically receive prompt notification from the licensee, monitor the

licensee’s response, and communicate with the respective regional office. Regional response

personnel communicate with the HOO/HERO and, if appropriate, additional headquarters

response personnel. 

Depending on the incident’s complexity and severity, the regional office may partially or fully

staff its incident response center. For a severe incident at a licensee’s site, the regional office

staffs its incident response center and dispatches the site team. For an Incident of National

Significance in which a JFO is established, the regional office may provide NRC representation

consisting of the Senior NRC Official and appropriate support staff. NRC representation at the

Joint Field Office is typically supplemented by headquarters and/or other regional offices. 

Regional office incident response staffing and activities are addressed in an implementing

procedure. 
NUREG 0728, Rev 4 Issued for Interim Use Effective 04/14/2005

3. Headquarters Executive Team (ET) 

The ET, typically under the leadership of the Chairman, is the NRC’s senior decision-making

body for incident response. The ET’s essential functions are (1) support licensees and

State/local/tribal decision makers to assure that radiological consequences are minimized and

(2) communicate and coordinate effectively with Federal stakeholders. The ET: 

• Leads Federal response under NRC statutory authorities

• Responds as the Coordinating Agency or a Cooperating Agency under the NRP 

• Supports and assists decision-making to assure that risk to the public is

minimized

• Communicates appropriateness of actions to protect the public to Federal

departments/agencies, Congress, media, and other stakeholders

• Coordinates Federal resources to licensee or support organizations when

licensee capabilities are exceeded 

The ET is led by the Director (NRC Chairman or designee) and the Deputy Director (appointed

by the Director, typically the Executive Director for Operations [EDO]). Additional team

members may include: the Deputy Executive Directors, the Director of the Office of Nuclear

Reactor Regulation (NRR), the Director of the Office of Nuclear Regulatory Research (RES), the

Director of the Office of Nuclear Material Safety and Safeguards (NMSS), and/or the Director of

the Office of Nuclear Security and Incident Response (NSIR). 

At the discretion of the Director, additional management support to the ET may include: the

Director of Communications, the Office of General Counsel, the Office of the Inspector General,

the Office of the Chief Financial Officer, the Office of Enforcement, the Office of Public Affairs,

the Office of Investigations, the Office of Information Services, the Office of Administration,

and/or other senior managers. For an extended incident requiring long-term staffing of the ET,

members of the Team may be relieved by other senior managers as authorized by the Director.

Other Commissioners are kept informed of the incident but are typically not designated as part

of the ET. For an extended incident requiring long-term staffing of the ET, other Commissioners

may relieve the Chairman as the Director. The staffing and activities of the ET are addressed in

an implementing procedure. 

4. Headquarters Support Teams 

The headquarters support teams provide technical expertise and support to the ET. One team

assesses the licensee actions to ensure safety and project future conditions. Another team

monitors and independently determines potential radiological exposure to the public and

provides assistance to licensees and governmental agencies in determination of public

protective measures. Additional teams assess licensee actions to ensure safeguards/security

and coordinate security response with law enforcement and intelligence agencies; provide

liaison with DHS and other Federal departments/agencies; communicate and coordinate with

Federal agencies, State governmental agencies, and other stakeholder organizations;

communicate with media representatives and the public; and provide administrative support for

the effective functioning of the NRC response organization. The staffing and activities of the

support teams are addressed in an implementing procedure. 
NUREG 0728, Rev 4 Issued for Interim Use Effective 04/14/2005

C. NRC Response Modes

The NRC response is flexible and tailored to the specific incident(s). Predesignated response

modes enable the agency to activate response capabilities in a structured manner and focus the

agency’s response, as appropriate, at the region, headquarters, or incident site. This flexibility

permits the NRC response to be commensurate with incident characteristics and severity and

with licensee activities. The appropriate response mode is based on the NRC’s assessment of

incident severity and/or uncertainty. NRC’s performance measure in this area is to make a

decision regarding the appropriate agency response mode within 30 minutes of receiving initial

notification of an incident. The NRC response modes are addressed in an implementing

procedure. 

The NRC Chairman is the senior authority for all aspects of emergency response. The

Chairman becomes the Director of the ET with the authority and the responsibility for leading

the agency in responding to emergencies. The Director may call on other Commissioners to

provide advice and/or perform key functions. 

Certain authorities may be delegated by the Chairman to the Deputy Director of the ET. The

Deputy Director, typically the EDO, exercises the delegated authorities unless the Chairman

specifically directs otherwise. Together, the Director and Deputy Director assure that planned

actions are under way during the response modes and, in addition, identify other necessary

actions unique to the particular incident. The headquarters and regional teams carry out those

actions. 

For an incident at a specific licensed facility, the NRC response mode is determined by

consideration of the licensee emergency classification and the NRC’s independent assessment

of incident conditions. (Table 1, Part A, identifies and describes licensee emergency classes for

nuclear power plants, as excerpted from NUREG-0654, Rev. 1 (Reference 6). Table 1, Part B,

describes emergency classes for gaseous diffusion plants, regulated under 10 CFR Part 76,

and facilities regulated under 10 CFR Part 30 (byproduct material), 10 CFR Part 40 (source

material), and 10 CFR Part 70 (special nuclear material), as excerpted from the respective parts

of 10 CFR.) The NRC response mode for other types of incidents (e.g., a transportation

incident involving regulated material, regional electric grid incident affecting multiple licensed

facilities, large-scale natural disaster, national-level domestic threat, and/or terrorist

threat/attack not focused at a specific facility) is determined by the NRC’s independent

assessment of the aggregate of available incident-related information, including information

from licensees and other sources. 

The NRC’s deactivation of activated response capabilities and, if applicable, participation in

recovery activities are performed in a structured manner but are flexible and tailored to the

specific incident(s). Deactivation includes activities such as collecting incident-related

information and records, identifying and assigning post-incident activities and investigations,

resupply of expended response consumables, addressing personal needs of response

personnel, and developing lessons learned. Recovery may include radiological cleanup

activities in accordance with mechanisms of the National Response Plan and the development,

coordination, and execution of restoration plans for impacted communities. Deactivation and

recovery are addressed in an implementing procedure.

1. NORMAL Mode

The routine (i.e., normal) state of NRC operations includes all activities designed to maintain
NUREG 0728, Rev 4 Issued for Interim Use Effective 04/14/2005

incident response readiness (e.g., 24/7 staffing by HOOs/HEROs). In addition, the NRC is

poised to respond at its alternate Continuity of Operations (COOP) site. The regional offices

are prepared to back up each other and headquarters. When warranted (e.g., during National

Special Security Events), the NRC may dispatch staff to the HSOC and other sites to enhance

coordination and communications. 

2. MONITORING Mode

The NRC escalates to the MONITORING mode, a heightened state of readiness for incident

assessment, upon decision by designated headquarters and regional managers. For a

facility-specific or region-specific incident, the responsible regional office has the lead for

agency response and appropriately staffs its incident response center. Headquarters supports

the region and may have specific individuals participating in monitoring and/or analysis

activities, but the HOC is not staffed and activated. 

 

The NRC may escalate to the MONITORING mode for situations that are not facility or

region-specific (e.g., natural phenomena involving multiple licensees, multi-region electric grid

incident, international incident, terrorism-related incidents). For such situations, headquarters

has the lead for agency response and the regions provide appropriate support. Figure 1

illustrates the role of headquarters and regional offices for the MONITORING mode. 

3. ACTIVATION Mode 

The NRC escalates to the ACTIVATION mode if an incident is sufficiently complex or uncertain

that it warrants extensive analysis and evaluation by the agency, if it warrants consideration for

sending an NRC site team to the vicinity of the incident, or if the incident involves terrorist

activities. In the ACTIVATION mode, the lead for agency response shifts from the region to

headquarters. The HOC is activated with partial staffing by the support teams under the

leadership of a partially-staffed ET. For a facility-specific or location-specific incident

(e.g., a transportation incident), the responsible regional office continues staffing of its incident

response center and may prepare a site team to travel to the licensee’s site or the location of

the incident. Headquarters and the regional office maintain continuous communication,

evaluate available information, make appropriate notifications, and prepare for escalation of

response should it be necessary. Other regional offices provide appropriate support. Figure 2

illustrates the role of headquarters and regional offices for the ACTIVATION mode. 

4. EXPANDED ACTIVATION Mode

The NRC escalates to the EXPANDED ACTIVATION mode if the incident severity and/or

situation uncertainty warrants the full response capabilities of the NRC. EXPANDED

ACTIVATION may be initiated in response to a facility-specific incident at a licensee’s site,

incident(s) involving multiple licensees’ facilities, terrorist attack or other incidents in which the

full capabilities of the NRC are needed to support the overall Federal response. Headquarters

typically continues to lead the agency’s response in the EXPANDED ACTIVATION mode. The

ET Director leads the agency response and the HOC is activated with full staffing by the ET and

support teams. Team membership is tailored to the specific incident. The regional office

incident response center is fully staffed and, if appropriate, staffing is adjusted to accommodate

a site team. Other regional offices may partially staff their incident response centers or provide

resources and/or personnel to the NRC site team. Figure 3 illustrates the role of headquarters

and regional offices for the EXPANDED ACTIVATION mode.
NUREG 0728, Rev 4 Issued for Interim Use Effective 04/14/2005

The EXPANDED ACTIVATION mode may involve dispatch of an NRC site team to the

licensee’s site or the vicinity of an incident under the leadership of the Regional Administrator or

designee. The Site Team Director is delegated specific authorities from the ET Director to lead

NRC response activities. The focus of NRC response is at the incident site and the site team

may have the lead for most of the agency response. At the site, the Site Team Director

assumes supervision of NRC personnel, represents NRC in interactions with other agencies

(e.g., represents the NRC locally as Coordinating Agency or Cooperating Agency), and decides

what response actions must be taken, consistent with the delegated authority. The ET Director

retains any authority not specifically delegated to the Site Team Director. Figure 4 illustrates

the role of the site team, headquarters, and regional offices during EXPANDED ACTIVATION.

D. NRC External Coordination 

1. Licensees 

For incidents involving facilities and/or materials licensed by the NRC or an Agreement State,

the NRC continually interfaces and coordinates with the licensee. The NRC relies upon the

licensee for providing the initial notification of an incident or potential incident in accordance with

NRC regulations and guidance (see Section IV.A.3). Following the initial notification, the NRC

may establish and maintain a continuous communications link with the licensee via the Federal

Telecommunications System (FTS) telephone lines and/or other means. In addition, if

appropriate, the NRC may dispatch a site team to the incident site. 

2. State, Local, and Tribal Governments

a. Protective Action Recommendations 

For incidents involving facilities and/or materials licensed by the NRC or an Agreement

State, the NRC coordinates with State and, as appropriate, local/tribal authorities. 

These offsite authorities have responsibilities for deciding what public protective actions

are to be implemented. A major emphasis in the NRC incident response is providing

offsite authorities with an evaluation of license protective action recommendations that

represent the position of the Federal Government. In order to effectively perform this

task, NRC establishes communication channels with government officials (e.g., the

Governor’s office, emergency management agencies, and radiological health

organizations) at both the headquarters and regional levels. The NRC typically

coordinates such communications with DHS. 

b. Incident Command System 

State/local/tribal government agencies, consistent with implementation of the NIMS, use

the incident command system as the organization structure for their response to an

incident. As such, these agencies may establish and/or support multi-agency

coordination centers (e.g., emergency operations centers (EOCs) and incident command

posts). 

For incidents involving facilities and/or materials licensed by the NRC or an Agreement

State and consistent with the need for interagency coordination, the NRC may provide

NRC representatives to the multi-agency coordination center(s). Staffing for the

representative(s) is provided by the respective regional office with headquarters and

other regional offices providing backup personnel to support shift-work and/or long-term
NUREG 0728, Rev 4 Issued for Interim Use Effective 04/14/2005

activities. The NRC representative(s) interfaces with the representatives of other

agencies/organizations and coordinates NRC activities via communication with the

region, headquarters, and, if established, the NRC Site Team. 

3. Department of Homeland Security 

NRC coordination and interactions with DHS regarding incident response may occur at multiple

levels over an extended period of time and involve both headquarters and regional personnel. 

Figure 5 illustrates overall NRC interface with DHS and Figure 6 illustrates NRC interface within

the multiagency coordination system. 

a. Homeland Security Operations Center 

Homeland Security Operations Center (HSOC)

The HSOC, located at DHS headquarters, serves as the primary national-level hub for

operational communications and information pertaining to domestic incident

management. The HSOC is a standing 24/7 interagency organization fusing law

enforcement, national intelligence, emergency response, and private sector reporting. It

facilitates homeland security information-sharing and operational coordination with other

Federal, State, local, tribal, and non-governmental emergency response organizations. 

National Response Coordination Center (NRCC)

The NRCC, a component of the HSOC located at FEMA headquarters, is a

multiagency center that provides overall Federal response coordination for Incidents

of National Significance. The NRCC supports the efforts of regional and field

components and, during an incident, may operate on a 24/7 basis with staffing by

representatives from Federal departments/agencies associated with the Emergency

Support Function Annexes. 

NRC Information Reporting 

The NRC reports incident-related information to the HSOC through execution of an

implementing procedure. The HOO/HERO notifies the HSOC upon notification that a

licensee has declared an event (to include facility events, significant transportation

events, or events that occur in the field or at industrial sites). The threshold for such

notifications is below the minimum reporting threshold mandated by DHS (i.e., actual or

potential Incident of National Significance). If the NRC transitions to a response mode,

additional notifications are made to the HSOC. Incident updates are reported to entities

that were part of the initial notification process and, therefore, the HSOC is informed of

interactions between the NRC and other Federal agencies, State, local, and tribal

governments, and private/non-government entities. 

NRC Staffing

The NRC and other Federal departments/agencies provide staff-level representation to

the HSOC in order to integrate a spectrum of interagency subject matter expertise and

reach-back capability to meet the demands of a wide range of potential incidents. Many

agencies support the HSOC on a routine basis by shift staffing; however, the NRC and

other selected agencies provide HSOC support as warranted on a situational basis. 

Headquarters provides staff-level technical liaisons to the HSOC as provided in an

implementing procedure. The liaison, as necessary, also serves as the agency’s

representative to the NRCC. 
NUREG 0728, Rev 4 Issued for Interim Use Effective 04/14/2005

b. Incident of National Significance 

The Secretary of Homeland Security, in consultation with other departments and

agencies as appropriate, determines whether an incident is an Incident of National

Significance. The criteria for an Incident of National Significance derive from HSPD-5

and are generally qualitative (e.g., resources of State and local /tribal authorities are

overwhelmed; threats or incidents related to high-profile, large-scale events present

high-probability targets such as National Special Security Events (NSSEs); and the

President directs the Secretary of Homeland Security to assume responsibility for

managing an incident). 

The NRC staff and DHS have developed the following definitive criteria for an Incident of

National Significance involving radiological facilities or materials licensed by the NRC or

an Agreement State (Reference 7): 

Nuclear Power Plants

For radiological incidents at nuclear power plants, the criteria for an Incident of National

Significance typically correlate with the licensee emergency classification scheme. 

# The following would likely be considered Incidents of National Significance: 

G General Emergency declaration at a nuclear power plant resulting from

an “accident” (i.e., non-terrorist incident) due to natural disaster,

equipment failure, operator errors, etc. 

G General Emergency, Site Area Emergency, or Alert declaration at a

nuclear power plant resulting from a terrorist incident. 

# The following would likely be considered below the threshold for an Incident of

National Significance: 

G Site Area Emergency, Alert, or Unusual Event declaration at a nuclear

power plant resulting from an “accident” (i.e., non-terrorist incident) due to

natural disaster, equipment failure, operator errors, etc. 

Facilities/Materials

For radiological incidents involving facilities (other than nuclear power plants) or

materials licensed by the NRC or an Agreement State, the criteria for an Incident of

National Significance generally correlate with the above nuclear power plant criteria with

respect to radiological source term magnitude and potential impact on public health and

safety. 

# The following would likely be considered Incidents of National Significance:

G Facilities (other than nuclear power plants): Alert or higher emergency

class declaration resulting from a terrorist incident. 

G Materials (i.e., incidents outside nuclear/radiological facility boundaries): 

Terrorist incidents involving an improvised nuclear device (IND),

radiological dispersal device (RDD), and/or radiological exposure device. 
NUREG 0728, Rev 4 Issued for Interim Use Effective 04/14/2005

# The following would likely be considered below the threshold for an Incident of

National Significance: 

G Facilities (other than nuclear power plants): Any “accident”

(i.e., non-terrorist incident) due to natural disaster, equipment failure,

operator errors, etc. 

G Materials (i.e., incidents outside nuclear/radiological facility boundaries):

Any “accident” (i.e., non-terrorist incident) due to natural disaster,

equipment failure, operator errors, etc. 

c. Interagency Incident Management Group 

Interagency Incident Management Group (IIMG)

The IIMG is convened during Incidents of National Significance and periods of

heightened national alert as requested by the Secretary of Homeland Security. The

IIMG, located at DHS headquarters, provides policy-level support to the Secretary and

other national authorities. It consists of management-level, senior representatives from

DHS components, other selected Federal departments/agencies, and selected

State/local/tribal agencies. IIMG members officially represent, and provide

time-sensitive reach-back to, their respective agencies. 

NRC Staffing

In coordination with DHS, NRC headquarters provides qualified managers at the

Senior Executive Service (SES) level as representatives to the IIMG as specified in an

implementing procedure. The NRC’s representative coordinates with the

representatives of other departments/agencies and provides reach-back to

headquarters. 

d. Principal Federal Official and Joint Field Office

Principal Federal Official (PFO) and Joint Field Office (JFO)

The PFO and JFO are established as part of the DHS-coordinated Federal response to

an Incident of National Significance. The PFO is the Federal official designated by the

Secretary of Homeland Security to act as his/her representative locally to oversee,

coordinate, and execute the Secretary’s incident management responsibilities under

HSPD-5. The PFO is typically located at the JFO and coordinates the activities of the

Federal officials involved in incident management activities acting under their own

authorities. In addition, the PFO provides a channel for communicating with the media

and the public about the incident. The PFO does not direct or replace the incident 

command structure and does not have directive authority over Federal/State officials,

including the NRC Site Team, who retain their authorities as defined in existing statutes

and directives. 

The JFO, a temporary Federal facility established to coordinate Federal assistance to

the affected jurisdiction(s), provides a central location for Federal, State, local, tribal,

non-governmental, and private-sector organizations with primary responsibility for

incident support and coordination. The JFO focus is providing support to on-scene

efforts and conducting broad support operations beyond the incident site. The JFO is
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intended to combine, within a single Federal facility, the traditional functions of the FBI

Joint Operations Center (JOC), the FEMA Disaster Field Office, and, in some situations,

joint information centers (JICs). 

The JFO utilizes the scalable organizational structure of the NIMS and the organization

adapts to the magnitude and complexity of the incident. The Coordination Group

manages JFO activities and consists of the PFO, Senior Federal Law Enforcement

Officer, Federal Coordinating Officer, Senior Federal Officials with jurisdictional

responsibility or functional authority, selected State/local/tribal officials, and appropriate

private-sector representatives. The Senior Federal Officials, including the Senior NRC

Official if provided, use the existing authorities, expertise, and capabilities of their

respective departments/agencies to assist in incident management in coordination with

other members of the Coordination Group. 

NRC Staffing

The NRC, as Coordinating Agency under the Nuclear/Radiological Incident Annex and

Supporting (Cooperating) Agency under other NRP annexes, supports the JFO structure

with staffing appropriate to the specific incident. The NRC may staff the Senior NRC

Official position to participate in the Coordination Group and provide additional technical

staff to support the Senior NRC Official. JFO staffing is typically provided by the

respective Regional Office with Headquarters and other Regional Offices providing

backup personnel to support shift work and/or long-term activities. NRC staffing to the

JFO is addressed in an implementing procedure. Figure 7 illustrates NRC interface

within the JFO. 

e. Federal Emergency Management Agency 

DHS/FEMA, in consultation with the Coordinating Agency, coordinates the provision of

Federal resources and assistance to affected State/local/tribal governments under the

Stafford Act. In addition, DHS/FEMA maintains integrated, coordinated information

regarding the status of all resource support activities. 

The NRC, as Coordinating Agency, interfaces with FEMA regarding issues/activities

related to the Stafford Act. The NRC, as a Cooperating Agency, may interface with

FEMA regarding provision of NRC technical assistance and support for the incident. 

4. Federal Interagency Assets 

Federal interagency assets for a nuclear/radiological incident are available upon request by the

Coordinating Agency or DHS. The NRC may access and/or contribute to these assets.

a. Interagency Modeling and Atmospheric Assessment Center (IMAAC) 

The IMAAC, is the Federal center responsible for providing hazardous materials,

atmospheric dispersion modeling, and health effect predictions during an Incident of

National Significance. Under DHS coordination, IMAAC generates the single Federal

prediction of atmospheric dispersion and consequences utilizing the best available

resources from the Federal Government. IMAAC products are to be recognized for

single utilization by Federal agencies and for distribution to all levels of government and

to local responders. 
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The NRC, for a radiological incident involving a NRC-licensed facility, uses the

agency-developed radiological assessment tools and methodologies to independently

generate a source term and dose assessment based on facility or event conditions and

other data supplied by the licensee in accordance with an implementing procedure. 

As Coordinating Agency, the NRC shares source term information with IMAAC and uses

IMAAC capabilities to confirm and/or modify the NRC assessments. IMAAC supports

the NRC and develops dose assessments, using the source information, to provide

confirmation and overall refinement using the NRC source term and dose assessment

calculations. When available, IMAAC results are compared to those obtained by the

NRC and licensee. As Coordinating Agency, the NRC may request/coordinate data from

the IMAAC, and coordinate the release of these data to other government agencies. 

b. Advisory Team for Environment, Food, and Health 

The Federal Advisory Team develops coordinated advice and recommendations

concerning environmental, food health, and animal health matters for use by DHS, the

JFO Coordination Group, the Coordinating Agency, and State/local/tribal governments. 

The Advisory Team includes representatives from DHS, EPA, USDA, Food and Drug

Administration (FDA), Centers for Disease Control and Prevention, and other Federal

agencies. 

As Coordinating Agency, the NRC is a member of the Advisory Team and coordinates

the composition and activities of the Advisory Team in accordance with an implementing

procedure. As a Cooperating Agency, the NRC may participate as a member of the

Team as requested by the Coordinating Agency. 

c. Federal Radiological Monitoring & Assessment Center 

The FRMAC is established at or near the incident location in coordination with DHS, the

Coordinating Agency, other Federal agencies, and State/local/tribal authorities. DOE is

responsible for developing and maintaining FRMAC policies and procedures,

determining FRMAC composition, and maintaining FRMAC operational readiness. A

FRMAC normally includes representation from DOE, EPA, Department of Commerce,

National Communications System, U.S. Army Corps of Engineers, and other Federal

agencies as needed. DOE coordinates radiological monitoring and assessment

activities during the initial phases of incident response and typically transfers this

responsibility to EPA during the recovery process. 

As Coordinating Agency, the NRC provides representation to the FRMAC and

coordinates FRMAC activities as provided in an implementing procedure. As a

Cooperating Agency, the NRC may provide representatives to the FRMAC at the

request of the Coordinating Agency. 

d. Radiological Assistance Program (Department of Energy - DOE)

The DOE maintains Radiological Assistance Program (RAP) teams at DOE field

locations as a first-responder resource to assess, evaluate, and mitigate the hazards of

a radiological incident. The NRC, or other Federal agency or State, may acquire RAP

team assistance on a 24/7 basis via request to DOE. 
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e. Other Interagency Assets

The NRC, as Coordinating Agency, may access additional nuclear/radiological Federal

assets as provided in the Nuclear/Radiological Incident Annex to the NRP. Examples

include the Aerial Measurement System (AMS) to provide wide-area radiation

monitoring; the Radiation Emergency Assistance Center/Training Site (REAC/TS) to

provide medical assistance, advisory teams, and training related to nuclear/radiological

incidents; and the Accident Response Group (ARG) for response to an incident involving

U.S. nuclear weapons. 

5. The White House 

As the Coordinating Agency, the NRC in concert with DHS will provide incident-related

information to the White House for Incidents of National Significance and other significant

events. In addition, the NRC may interface and coordinate with the White House through the

HSC and/or the National Security Council (NSC) regarding interagency policy-level issues and

courses of action. Interface with White House and/or the HSC/NSC typically involves the

Chairman or his/her designee. 

6. Congress 

As the Coordinating Agency, the NRC in concert with DHS may provide incident-related

information to Congress. For example, members of Congress will be informed about significant

events involving facilities or materials in their States and districts. Such interface is typically

coordinated by the Office of Congressional Affairs (OCA). 

7. International Organizations 

As the Coordinating Agency, the NRC in concert with DHS, informs and coordinates with the

Department of State (DOS) for an incident with actual or potential foreign impact. Although

DOS is responsible for official interactions with foreign governments, NRC has bilateral

agreements with governments and organizations (e.g., Canada Nuclear Safety Commission,

International Atomic Energy Agency) that permit direct interface and exchange of information. 

Such interface is typically coordinated by the Office of International Programs (OIP).

8. Public/Media 

As the Coordinating Agency, the NRC in concert with DHS, provides incident-related information

to the public. At the Federal level, communication with the public is accomplished in

accordance with procedures outlined in annexes to the NRP (ESF #15, External Affairs, and the

Public Affairs Support Annex). NRC’s interface with the media and release of information to the

public is coordinated by the OPA and may include the News Center, JIC in the vicinity of the

licensee’s site, and/or a DHS-coordinated Joint Information Center integral with the JFO. 

E. Continuity of Operations (COOP) Planning 

This Plan sets forth the agency’s incident response and emergency decisionmaking functions

when normal facilities and equipment are available. These important functions are a subset of

the agency’s minimum essential functions. The NRC Plan for COOP (Reference 8) describes

the agency’s minimum essential functions and the comprehensive and effective program to

ensure that capabilities exist to continue these minimal essential functions, uninterrupted,
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across a wide range of potential emergencies and disruptions, including loss of normal facilities

and equipment. 

This Plan may be activated under the umbrella of the agency’s COOP. Available members of

Headquarters senior management and others will form a COOP Management Team to address

interagency coordination at the headquarters level, restoration of operations, and other

functions (additional to the minimum essential functions) that may arise in a COOP emergency.

Each Federal department/agency must contribute to the national capability by maintaining a

COOP plan that provides for continuity of its minimum essential functions. Continuity of

Government (COG) provides for continuity at the next level, the executive branch, by

coordinating department and agency COOP plans to meet the Federal Government’s policy

goals. Although NRC is a participant in COG activities, the COG plan is maintained at the

executive branch level.
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VI. INCIDENT RESPONSE MANAGEMENT and ADMINISTRATION

The NRC Incident Response Program integrates the overall NRC capabilities associated with

the planning and preparation for, response to, and recovery from radiological incidents and/or

emergency events. The program, focused on incidents involving nuclear/radiological facilities

and materials licensed by the NRC or an Agreement State, encompasses all incidents in which

the NRC has a response role under its statutory authority or as part of the overall response of

the Federal Government.

The program is maintained in coordination with the NRC’s licensees and other stakeholders. 

A. Authorities and Responsibilities 

1. Management Directive 8.2 

Management Directive 8.2, NRC Incident Response Program, and the associated Handbook 8.2

specify agency policy, the organizational roles/responsibilities of headquarters and regional

offices, and the positional authorities and responsibilities relative to the program. 

2. Office of Nuclear Security and Incident Response (NSIR) 

NSIR is responsible for the management and administration of the NRC Incident Response

Program. NSIR responsibilities include the following: 

 

(1) Develop and maintain agency plans, program requirements, and procedures for

planning, preparedness, response and recovery related to incidents. Ensure the

NRC response to incidents is consistent with the agency’s role and

responsibilities and is coordinated with the DHS, other Federal/State activities,

and licensees. 

(2) Develop, maintain, and integrate agency plans, program requirements, and

procedures for response to incidents that threaten the continuity of government

(COG) or COOP. 

(3) Develop, maintain, and administer the agency personnel qualification program

related to incident response. 

(4) Manage the HOC. Receive, screen, and promptly communicate operational

event information reported to the center. 

(5) Conduct and coordinate exercises with licensees and Federal/State/local/tribal

entities to achieve and test readiness objectives. 

(6) Oversee the regional incident response program. Provide guidance to regional

offices and assess regional office response capabilities. 

(7) Conduct outreach and communication activities with licensees, Agreement

States, and other stakeholders. 

(8) Conduct investigations of significant operational events involving facilities or

materials licensed by the NRC. 
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(9) Perform programmatic oversight of the agency’s Incident Response Program. 

Chair a joint headquarters/regional oversight committee and ensure performance

of periodic assessments and continual improvements to the agency’s program. 

B. Plan, Procedures, and Agreements 

This Plan reflects the policy and organizational responsibilities set forth in Management

Directive 8.2. It governs the overall NRC response to incidents and assigns responsibilities to

assure that the agency fulfills its statutory mission relative to incident response. The

implementing procedures, separate from this Plan, document the specific functions and

responsibilities and contain the detailed information for response teams and personnel to

implement and carry out the provisions of the Plan. Appendix C lists the implementing

procedures. 

1. Headquarters Implementing Procedures 

NSIR is responsible for developing, managing, and administering the headquarters 

implementing procedures. The implementing procedures are generally organized to correlate

with the structure, functions, and responsibilities of the Headquarters response teams. Several

implementing procedures address functions of the HOC and these procedures are integrated

with other procedures utilized by the NRC’s incident response organization. 

2. Regional Implementing Procedures 

Standardized regional implementing procedures are applicable to all regional offices. NSIR is

responsible for developing, managing, and administering these procedures. Some procedures

(e.g., State/local/tribal interfaces, COOP activities) vary among the regions and some

procedures (e.g., hurricane response) are not applicable to all regions. The respective regional

offices, under the guidance and oversight of NSIR, are responsible for developing, managing,

and administering these region-specific procedures

3. Memoranda of Agreement/Understanding (MOA/MOU) 

In addition to Management Directive 8.2, this Plan, and the associated implementing

procedures, the NRC may establish MOA/Memoranda of Understanding (MOU) with other

Federal departments/agencies to provide support or services relating to the NRC’s Incident

Response Program. Where appropriate, commitments to be fulfilled by NRC will be addressed

in implementing procedures. These Memoranda will be maintained and periodically reviewed to

assure that they meet current program needs. 

4. Document Management 

a. Current/Superseded Documents 

Revision 4 (April 2005) of this Plan supercedes all prior revisions and/or versions. In

addition, Revision 4 takes priority over and supercedes all other documents on incident

response which contradict Revision 4. 
NUREG 0728, Rev 4 Issued for Interim Use Effective 04/14/2005

The following documents are superseded upon issuance of Revision 4: 

G NUREG/BR-0230, Response Coordination Manual 1996, September 1996 

G NUREG-1471, Concept of Operations, February 1994 

G NUREG-0845, Agency Procedures for NRC IRP, February 1983 

b. Document Maintenance – review/update/distribution

This Plan and the associated implementing procedures are formally reviewed, updated

as appropriate, and distributed to Headquarters /Regional offices on a periodic basis in

accordance with the document maintenance implementing procedure. 

C. Supporting Programs 

Associated with the NRC Incident Response Program are a number of “supporting programs”

which either directly correlate with, or are an integral part of, the agency’s response capabilities. 

These supporting programs address personnel resources (e.g., notification and training of

responders), communications equipment, facility operations/maintenance; response tools

(e.g., consequence assessment model), stakeholder outreach, and readiness (e.g., exercises,

lessons learned). Documentation associated with supporting programs is included within

implementing procedures. 
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VII. REFERENCES

1. National Response Plan, December 2004 

2. National Incident Management System, March 1, 2004 

3. NRC Incident Response Program, Management Directive 8.2 

4. Homeland Security Presidential Directive 5 (HSPD-5), Management of Domestic

Incidents, February 28, 2003 

5. Nuclear/Radiological Incident Annex to NRP, December 2004 

6. Criteria for Preparation and Evaluation of Radiological Emergency Response Plans and

Preparedness in Support of Nuclear Power Plants, NUREG-0654/FEMA-REP-1, Rev. 1,

November 1980 

7. Memorandum to the Commission, April 12, 2004, Subject: Results from Nuclear

Regulatory Commission and Department of Homeland Security Tabletop Exercise 

8. Plan for Continuity of Operations (COOP), USNRC, June 2003
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1

This Appendix consists of excerpted information from the National Response Plan, December 2004. 

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Appendix A1

Key Terms and Authorities 

The Atomic Energy Act of 1954, 42 U.S.C. §§ 2011- 2297 (2003), and the Energy

Reorganization Act of 1974, 5 U.S.C. §§ 5313-5316, 42 U.S.C. §§ 5801- 5891 (2002), provide

the statutory authority for both the DOE and the NRC, and the foundation for NRC regulation of

the Nation’s civilian use of byproduct, source, and special nuclear materials to ensure adequate

protection of public health and safety, to promote the common defense and security, and to

protect the environment.

Catastrophic Incident. Any natural or manmade incident, including terrorism, that results in

extraordinary levels of mass casualties, damage, or disruption severely affecting the population,

infrastructure, environment, economy, national morale, and/or government functions. It could

result in sustained national impacts over a prolonged period of time; almost immediately

exceeds resources normally available to State, local, tribal, and private-sector authorities in the

impacted area; and significantly interrupts governmental operations and emergency services to

such an extent that national security could be threatened. All catastrophic incidents are

Incidents of National Significance.

Chain of Command. A series of command, control, executive, or management positions in

hierarchical order of authority.

Consequence Management. Predominantly an emergency management function and

included measures to protect public health and safety, restore essential government services,

and provide emergency relief to governments, businesses, and individuals affected by the

consequences of terrorism. The requirements of consequence management and crisis

management are combined in the NRP. 

Credible Threat. A potential terrorist threat that, based on a threat assessment, is credible and

likely to involve Weapons of Mass Destruction (WMD).

Crisis Management. Predominantly a law enforcement function and included measures to

identify, acquire, and plan the use of resources needed to anticipate, prevent, and/or resolve a

threat or act of terrorism. The requirements of consequence management and crisis

management are combined in the NRP.

Critical Infrastructures. Systems and assets, whether physical or virtual, so vital to the United

States that the incapacity or destruction of such systems and assets would have a debilitating

impact on security, national economic security, national public health or safety, or any

combination of those matters.

Defense Support of Civil Authorities (DSCA). Refers to DOD support, including Federal

military forces, DOD civilians and DOD contractor personnel, and DOD agencies and

components, for domestic emergencies and for designated law enforcement and other

activities.
NUREG 0728, Rev 4 Issued for Interim Use Effective 04/14/2005

Emergency. As defined by the Stafford Act, an emergency is “any occasion or instance for

which, in the determination of the President, Federal assistance is needed to supplement State

and local efforts and capabilities to save lives and to protect property and public health and

safety, or to lessen or avert the threat of a catastrophe in any part of the United States.”

Emergency Operations Center (EOC). The physical location at which the coordination of

information and resources to support domestic incident management activities normally takes

place. An EOC may be a temporary facility or may be located in a more central or permanently

established facility, perhaps at a higher level of organization within a jurisdiction. EOCs may be

organized by major functional disciplines (e.g., fire, law enforcement, and medical services), by

jurisdiction (e.g., Federal, State, regional, county, city, tribal), or by some combination thereof.

Emergency Public Information. Information that is disseminated primarily in anticipation of

an emergency or during an emergency. In addition to providing situational information to the

public, it also frequently provides directive actions required to be taken by the general public.

Emergency Support Function (ESF). A grouping of government and certain private-sector

capabilities into an organizational structure to provide the support, resources, program

implementation, and services that are most likely to be needed to save lives, protect property

and the environment, restore essential services and critical infrastructure, and help victims and

communities return to normal, when feasible, following domestic incidents. The ESFs serve as

the primary operational-level mechanism to provide assistance to State, local, and tribal

governments or to Federal departments and agencies conducting missions of primary

Federal responsibility.

Evacuation. Organized, phased, and supervised withdrawal, dispersal, or removal of civilians

from dangerous or potentially dangerous areas, and their reception and care in safe areas. 

Federal. Of or pertaining to the Federal Government of the United States of America.

Federal Coordinating Officer (FCO). The Federal officer who is appointed to manage Federal

resource support activities related to Stafford Act disasters and emergencies. The FCO is

responsible for coordinating the timely delivery of Federal disaster assistance resources and

programs to the affected State and local governments, individual victims, and the private sector.

Federal On-Scene Coordinator (FOSC or OSC). The Federal official predesignated by the

EPA or the USCG to coordinate responses under subpart D of the NCP, or the government

official designated to coordinate and direct removal actions under subpart E of the NCP.

Federal Resource Coordinator (FRC). The Federal official appointed to manage Federal

resource support activities related to non-Stafford Act incidents. The FRC is responsible for

coordinating support from other Federal departments and agencies using interagency

agreements and MOUs.

First Responder. Local and nongovernmental police, fire, and emergency personnel who in

the early stages of an incident are responsible for the protection and preservation of life,

property, evidence, and the environment, including emergency response providers as defined in

section 2 of the Homeland Security Act of 2002 (6 U.S.C. 101), as well as emergency

management, public health, clinical care, public works, and other skilled support personnel
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(such as equipment operators) who provide immediate support services during prevention,

response, and recovery operations. First responders may include personnel from Federal,

State, local, tribal, or nongovernmental organizations.

The Homeland Security Act of 2002, Pub. Law 107- 296, 116 Stat. 2135 (2002)

(codified predominantly at 6 U.S.C. §§ 101-557 and in other scattered sections of the U.S.C.),

established the Department of Homeland Security with the mandate and legal authority to

protect the American people from the continuing threat of terrorism. Congress assigned DHS

the primary missions to: Prevent terrorist attacks within the United States; Reduce the

vulnerability of the United States to terrorism at home; Minimize the damage and assist in the

recovery from terrorist attacks that occur; and act as the focal point regarding natural and

manmade crises and emergency planning. 

Homeland Security Presidential Directive-1: Organization and Operation of the Homeland

Security Council, Oct. 29, 2001. This directive establishes policies for the creation of the HSC,

which shall ensure the coordination of all homeland security-related activities among executive

departments and agencies and promote the effective development and implementation of all

homeland security policies.

Homeland Security Presidential Directive-3: Homeland Security Advisory System,

March 11, 2002. This directive establishes policy for the creation of a Homeland Security

Advisory System, which shall provide a comprehensive and effective means to disseminate

information regarding the risk of terrorist acts to Federal, State, and local authorities and to the

American people. Such a system would provide warnings in the form of a set of graduated

“Threat Conditions” that would increase as the risk of the threat increases. At each Threat

Condition, Federal departments/agencies would implement a corresponding set of “Protective

Measures” to further reduce vulnerability or increase response capability during a period of

heightened alert.

Homeland Security Presidential Directive-5: Management of Domestic Incidents,

February 28, 2003, is intended to enhance the ability of the United States to manage domestic

incidents by establishing a single, comprehensive national incident management system. In

HSPD-5 the President designates the Secretary of Homeland Security as the PFO for domestic

incident management and empowers the Secretary to coordinate Federal resources used in

response to or recovery from terrorist attacks, major disasters, or other emergencies in specific

cases. The directive assigns specific responsibilities to the Attorney General, Secretary of

Defense, Secretary of State, and the Assistants to the President for Homeland Security and

National Security Affairs, and directs the heads of all Federal departments and agencies to

provide their “full and prompt cooperation, resources, and support,” as appropriate and

consistent with their own responsibilities for protecting national security. HSPD-5 notes that it

does not alter, or impede the ability to carry out, the authorities of Federal departments and

agencies to perform their responsibilities under law.

Homeland Security Presidential Directive-7: Critical Infrastructure Identification,

Prioritization, and Protection, Dec. 17, 2003. This directive establishes a national policy for

Federal departments and agencies to identify and prioritize U.S. critical infrastructure and key

resources and to protect them from terrorist attacks.

Homeland Security Presidential Directive-8: National Preparedness, Dec. 17, 2003. This

directive establishes policies to strengthen the preparedness of the United States to prevent

and respond to threatened or actual domestic terrorist attacks, major disasters, and other
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emergencies by requiring a national domestic all-hazards preparedness goal, establishing

mechanisms for improved delivery of Federal preparedness assistance to State and local

governments, and outlining actions to strengthen preparedness capabilities of Federal, State,

and local entities.

Incident. An occurrence or event, natural or human-caused, that requires an emergency

response to protect life or property. Incidents can, for example, include major disasters,

emergencies, terrorist attacks, terrorist threats, wildland and urban fires, floods, hazardous

materials spills, nuclear accidents, aircraft accidents, earthquakes, hurricanes, tornadoes,

tropical storms, war-related disasters, public health and medical emergencies, and other

occurrences requiring an emergency response.

Incident Action Plan. An oral or written plan containing general objectives reflecting the

overall strategy for managing an incident. It may include the identification of operational

resources and assignments. It may also include attachments that provide direction and

important information for management of the incident during one or more operational periods.

Incident Command Post (ICP). The field location at which the primary tactical-level, on-scene

incident command functions are performed. The ICP may be collocated with the incident base

or other incident facilities and is normally identified by a green rotating or flashing light.

 Incident Command System (ICS). A standardized onscene emergency management

construct specifically designed to provide for the adoption of an integrated organizational

structure that reflects the complexity and demands of single or multiple incidents, without being

hindered by jurisdictional boundaries. ICS is the combination of facilities, equipment, personnel,

procedures, and communications operating with a common organizational structure, designed

to aid in the management of resources during incidents. 

Incident Commander (IC). The individual responsible for all incident activities, including the

development of strategies and tactics and the ordering and release of resources. The IC has

overall authority and responsibility for conducting incident operations and is responsible for the

management of all incident operations at the incident site. 

Incident of National Significance. Based on criteria established in HSPD-5, an actual or

potential high-impact event that requires a coordinated and effective response by and

appropriate combination of Federal, State, local, tribal, nongovernmental, and/or private-sector

entities in order to save lives and minimize damage, and provide the basis for long-term

community recovery and mitigation activities.

Infrastructure. The manmade physical systems, assets, projects, and structures, publicly

and/or privately owned, that are used by or provide benefit to the public. Examples of

infrastructure include utilities, bridges, levees, drinking water systems, electrical systems,

communications systems, dams, sewage systems, and roads.

Interagency Modeling and Atmospheric Assessment Center (IMAAC). An interagency

center responsible for production, coordination, and dissemination of consequence predictions

for an airborne hazardous material release. The IMAAC generates the single Federal prediction

of atmospheric dispersions and their consequences utilizing the best available resources from

the Federal Government. 
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Interim Operating Facility (IOF). The IOF is a temporary field facility used by a

DHS/EPR/FEMA-led ERT in the early stages of an incident when the team cannot operate at

the State EOC due to space limitations or other reasons, and the JFO is not yet established. An

IOF is generally located at or near the State EOC, or near the incident site. The IOF remains in

operation until the JFO is established. 

Joint Field Office (JFO). A temporary Federal facility established locally to provide a central

point for Federal, State, local, and tribal executives with responsibility for incident oversight,

direction, and/or assistance to effectively coordinate protection, prevention, preparedness,

response, and recovery actions. The JFO will combine the traditional functions of the JOC, the

FEMA DFO, and the JIC within a single Federal facility.

Joint Information Center (JIC). A facility established to coordinate all incident-related public

information activities. It is the central point of contact for all news media at the scene of the

incident. Public information officials from all participating agencies should collocate at the JIC.

Joint Information System (JIS). Integrates incident information and public affairs into a

cohesive organization designed to provide consistent, coordinated, timely information during a

crisis or incident operations. The mission of the JIS is to provide a structure and system for

developing and delivering coordinated interagency messages; developing, recommending, and

executing public information plans and strategies on behalf of the IC; advising the IC concerning

public affairs issues that could affect a response effort; and controlling rumors and inaccurate

information that could undermine public confidence in the emergency response effort. 

Joint Operations Center (JOC). The JOC is the focal point for all Federal investigative law

enforcement activities during a terrorist or potential terrorist incident or any other significant

criminal incident, and is managed by the SFLEO. The JOC becomes a component of the JFO

when the NRP is activated.

Major Disaster. As defined by the Stafford Act, any natural catastrophe (including any

hurricane, tornado, storm, high water, wind-driven water, tidal wave, tsunami, earthquake,

volcanic eruption, landslide, mudslide, snowstorm, or drought) or, regardless of cause, any fire,

flood, or explosion, in any part of the United States, which in the determination of the President

causes damage of sufficient severity and magnitude to warrant major disaster assistance under

this act to supplement the efforts and available resources of States, local governments, and

disaster relief organizations in alleviating the damage, loss, hardship, or suffering caused

thereby.

Mission Assignment. The vehicle used by DHS/EPR/FEMA to support Federal operations in a

Stafford Act major disaster or emergency declaration. It orders immediate, short-term

emergency response assistance when an applicable State or local government is overwhelmed

by the event and lacks the capability to perform, or contract for, the necessary work. 

Mitigation. Activities designed to reduce or eliminate risks to persons or property or to lessen

the actual or potential effects or consequences of an incident. Mitigation measures may be

implemented prior to, during, or after an incident. Mitigation measures are often developed in

accordance with lessons learned from prior incidents. Mitigation involves ongoing actions to

reduce exposure to, probability of, or potential loss from hazards. Measures may include

zoning and building codes, flood plain buyouts, and analysis of hazard-related data to determine

where it is safe to build or locate temporary facilities. Mitigation can include efforts to educate

governments, businesses, and the public on measures they can take to reduce loss and injury.
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Multiagency Command Center (MACC). An interagency coordination center established by

DHS/USSS during NSSEs as a component of the JFO. The MACC serves as the focal point for

interagency security planning and coordination, including the coordination of all NSSE-related

information from other intra-agency centers (e.g., police command posts, Secret Service

security rooms) and other interagency centers (e.g., intelligence operations centers, joint

information centers).

Multiagency Coordination System. Provides the architecture to support coordination for

incident prioritization, critical resource allocation, communications systems integration, and

information coordination. The components of multiagency coordination systems include

facilities, equipment, EOCs, specific multiagency coordination entities, personnel, procedures,

and communications. The systems assist agencies and organizations to fully integrate the

subsystems of NIMS.

National Counterterrorism Center (NCTC). The NCTC serves as the primary Federal

organization for analyzing and integrating all intelligence possessed or acquired by the

U.S. Government pertaining to terrorism and counterterrorism, excepting purely domestic

counterterrorism information. The NCTC may, consistent with applicable law, receive, retain,

and disseminate information from any Federal, State, or local government or other source

necessary to fulfill its responsibilities.

National Incident Management System (NIMS). A system mandated by HSPD-5 that

provides a consistent, nationwide approach for Federal, State, local, and tribal governments; the

private sector; and NGOs to work effectively and efficiently together to prepare for, respond to,

and recover from domestic incidents, regardless of cause, size, or complexity. To provide for

interoperability and compatibility among Federal, State, local, and tribal capabilities, the NIMS

includes a core set of concepts, principles, and terminology.

National Infrastructure Coordinating Center (NICC). Managed by the DHS Information

Analysis and Infrastructure Protection Directorate, the NICC monitors the Nation’s critical

infrastructure and key resources on an ongoing basis. In the event of an incident, the NICC

provides a coordinating vehicle to share information with critical infrastructure and key

resources information-sharing entities.

National Response Center. A national communications center for activities related to oil and

hazardous substance response actions. The National Response Center, located at DHS/USCG

Headquarters in Washington, DC, receives and relays notices of oil and hazardous substances

releases to the appropriate Federal OSC.

National Response Team (NRT). The NRT, comprised of the 16 Federal agencies with major

environmental and public health responsibilities, is the primary vehicle for coordinating Federal

agency activities under the NCP. The NRT carries out national planning and response

coordination and is the head of a highly organized Federal oil and hazardous substance

emergency response network. EPA serves as the NRT Chair, and DHS/USCG serves as

Vice Chair.

National Special Security Event (NSSE). A designated event that, by virtue of its political,

economic, social, or religious significance, may be the target of terrorism or other criminal

activity.
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Nongovernmental Organization (NGO). A nonprofit entity that is based on interests of its

members, individuals, or institutions and that is not created by a government, but may work

cooperatively with government. Such organizations serve a public purpose, not a private

benefit. Examples of NGOs include faith-based charity organizations and the American

Red Cross.

Nuclear Incident Response Team (NIRT). Created by the Homeland Security Act to provide

DHS with a nuclear/radiological response capability. When activated, the NIRT consists of

specialized Federal response teams drawn from DOE and/or EPA. These teams may become

DHS operational assets providing technical expertise and equipment when activated during a

crisis or in response to a nuclear/radiological incident as part of the DHS Federal response.

On-Scene Coordinator (OSC). See Federal On-Scene Coordinator.

Preparedness. The range of deliberate, critical tasks and activities necessary to build, sustain,

and improve the operational capability to prevent, protect against, respond to, and recover from

domestic incidents. Preparedness is a continuous process involving efforts at all levels of

government and between government and private-sector and nongovernmental entities to

identify threats, determine vulnerabilities, and identify required resources. 

Prevention. Actions taken to avoid an incident or to intervene to stop an incident from

occurring. Prevention involves actions taken to protect lives and property. It involves applying

intelligence and other information to a range of activities that may include such

countermeasures as deterrence operations; heightened inspections; improved surveillance and

security operations; investigations to determine the full nature and source of the threat; public

health and agricultural surveillance and testing processes; immunizations, isolation, or

quarantine; and, as appropriate, specific law enforcement operations aimed at deterring,

preempting, interdicting, or disrupting illegal activity and apprehending potential perpetrators

and bringing them to justice.

The Price-Anderson Amendments Act of 1988, Pub.L. No. 100-408, 102 Stat. 1066 (1988)

(amending the Atomic Energy Act of 1954 and codified at 42 U.S.C. §§ 2014, 2210, 2273,

2282a (2003)), provides for indemnification of governments and individuals affected by

nuclear incidents.

Principal Federal Official (PFO). The Federal official designated by the Secretary of

Homeland Security to act as his/her representative locally to oversee, coordinate, and execute

the Secretary’s incident management responsibilities under HSPD-5 for Incidents of National

Significance. 

Private Sector. Organizations and entities that are not part of any governmental structure.

Includes for-profit and not-for-profit organizations, formal and informal structures, commerce

and industry, private emergency response organizations, and private voluntary organizations.

Radiological Emergency Response Teams (RERTs). Teams provided by EPA’s Office of

Radiation and Indoor Air to support and respond to incidents or sites containing radiological

hazards. These teams provide expertise in radiation monitoring, radionuclide analyses,

radiation health physics, and risk assessment. RERTs can provide both mobile and fixed

laboratory support during a response.
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Recovery. The development, coordination, and execution of service and site restoration plans

for impacted communities and the reconstitution of government operations and services through

individual, private-sector, nongovernmental, and public assistance programs that: identify needs

and define resources; provide housing and promote restoration; address long-term care and

treatment of affected persons; implement additional measures for community restoration;

incorporate mitigation measures and techniques, as feasible; evaluate the incident to identify

lessons learned; and develop initiatives to mitigate the effects of future incidents.

Regional Response Teams (RRTs). Regional counterparts to the National Response Team,

the RRTs comprise regional representatives of the Federal agencies on the NRT and

representatives of each State within the region. The RRTs serve as planning and preparedness

bodies before a response, and provide coordination and advice to the Federal OSC during

response actions.

Response. Activities that address the short-term, direct effects of an incident. Response

includes immediate actions to save lives, protect property, and meet basic human needs.

Response also includes the execution of emergency operations plans and of incident mitigation

activities designed to limit the loss of life, personal injury, property damage, and other

unfavorable outcomes. As indicated by the situation, response activities include: applying

intelligence and other information to lessen the effects or consequences of an incident;

increased security operations; continuing investigations into the nature and source of the threat;

ongoing public health and agricultural surveillance and testing processes; immunizations,

isolation, or quarantine; and specific law enforcement operations aimed at preempting,

interdicting, or disrupting illegal activity, and apprehending actual perpetrators and bringing

them to justice.

The Robert T. Stafford Disaster Relief and Emergency Assistance Act, 93 Pub. L. No. 288,

88 Stat. 143 (1974) (codified as amended at 42 U.S.C. §§ 5121- 5206, and scattered sections

of 12 U.S.C., 16 U.S.C., 20 U.S.C., 26 U.S.C., 38 U.S.C. (2002)), establishes the programs and

processes for the Federal Government to provide disaster and emergency assistance to States,

local governments, tribal nations, individuals, and qualified private nonprofit organizations. The

Act covers all hazards including natural disasters and terrorist events. The Act includes a

process for Governors to request Federal disaster and emergency assistance from the

President and for the President to declare a major disaster or emergency. 

Senior Federal Official (SFO). An individual representing a Federal department or agency with

primary statutory responsibility for incident management. SFOs utilize existing authorities,

expertise, and capabilities to aid in management of the incident working in coordination with

other members of the JFO Coordination Group.

Subject-Matter Expert (SME). An individual who is a technical expert in a specific area or in

performing a specialized job, task, or skill.

Terrorism. Any activity that (1) involves an act that (a) is dangerous to human life or potentially

destructive of critical infrastructure or key resources; and (b) is a violation of the criminal laws of

the United States or of any State or other subdivision of the United States; and (2) appears to

be intended (a) to intimidate or coerce a civilian population; (b) to influence the policy of a

government by intimidation or coercion; or (c) to affect the conduct of a government by mass

destruction, assassination, or kidnaping. 
NUREG 0728, Rev 4 Issued for Interim Use Effective 04/14/2005

Threat. An indication of possible violence, harm, or danger.

Unified Command. An application of ICS used when there is more than one agency with

incident jurisdiction or when incidents cross political jurisdictions. Agencies work together

through the designated members of the Unified Command to establish their designated

Incident Commanders at a single ICP and to establish a common set of objectives and

strategies and a single Incident Action Plan. 

Weapons of Mass Destruction (WMD). As defined in Title 18, U.S.C. § 2332a: (1) any

explosive, incendiary, or poison gas, bomb, grenade, rocket having a propellant charge of more

than 4 ounces, or missile having an explosive or incendiary charge of more than one-quarter

ounce, or mine or similar device; (2) any weapon that is designed or intended to cause death or

serious bodily injury through the release, dissemination, or impact of toxic or poisonous

chemicals or their precursors; (3) any weapon involving a disease organism; or (4) any weapon

that is designed to release radiation or radioactivity at a level dangerous to human life.
2

This Appendix consists of excerpted information from the National Response Plan, December 2004. 

NUREG 0728, Rev 4 Issued for Interim Use Effective 04/14/2005

Appendix B 2

Acronyms and Initialisms 

CDRG Catastrophic Disaster Response Group

CERCLA Comprehensive Environmental Response, Compensation, and Liability Act

CFO Chief Financial Officer

CONPLAN U.S. Government Interagency Domestic Terrorism Concept of Operations Plan

DCO Defense Coordinating Officer

DEST Domestic Emergency Support Team

DFO Disaster Field Office

DHS Department of Homeland Security

DMAT Disaster Medical Assistance Team

DMORT Disaster Mortuary Operational Response Team

DOC Department of Commerce

DOD Department of Defense

DOE Department of Energy

DOI Department of the Interior

DOJ Department of Justice

DOL Department of Labor

DOS Department of State

DOT Department of Transportation

DRC Disaster Recovery Center

DRM Disaster Recovery Manager

DSCA Defense Support of Civil Authorities

DTRIM Domestic Threat Reduction andIncident Management

EOC Emergency Operations Center

EPA Environmental Protection Agency

EPCRA Emergency Planning and Community Right-to-Know Act

EPR Emergency Preparedness and Response

ERT Environmental Response Team (EPA)

ERT-A Emergency Response Team—Advance Element

ERT-N National Emergency Response Team

ESF Emergency Support Function

ESFLG Emergency Support Function Leaders Group

EST Emergency Support Team

FBI Federal Bureau of Investigation

FCO Federal Coordinating Officer

FEMA Federal Emergency Management Agency

FIRST Federal Incident Response Support Team

FMC Federal Mobilization Center

FOC FEMA Operations Center

FRC Federal Resource Coordinator

FRERP Federal Radiological Emergency Response Plan

FRP Federal Response Plan

GAR Governor’s Authorized Representative

GIS Geographical Information System
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GSA General Services Administration

HHS Department of Health and Human Services

HQ Headquarters 

HSAS Homeland Security Advisory System

HSC Homeland Security Council

HSOC Homeland Security Operations Center

HSPD Homeland Security Presidential Directive

IAIP Information Analysis and Infrastructure Protection

IC Incident Command

ICP Incident Command Post

ICS Incident Command System

IIMG Interagency Incident Management Group

IMT Incident Management Team

INRP Initial National Response Plan

IOF Interim Operating Facility

JFO Joint Field Office

JIC Joint Information Center

JIS Joint Information System

JOC Joint Operations Center

JTF Joint Task Force

JTTF Joint Terrorism Task Force

MAC Entity Multiagency Coordinating Entity

MACC Multiagency Command Center

MERS Mobile Emergency Response Support

MOA Memorandum of Agreement

MOU Memorandum of Understanding

NASA National Aeronautics and Space Administration

NAWAS National Warning System

NCP National Oil and Hazardous Substances Pollution Contingency Plan

NCR National Capital Region

NCS National Communications System

NCTC National Counterterrorism Center

NDMS National Disaster Medical System

NEP National Exercise Program

NGO Nongovernmental Organization

NICC National Infrastructure Coordinating Center

NICC National Interagency Coordination Center

NIMS National Incident Management System

NIPP National Infrastructure Protection Plan

NIRT Nuclear Incident Response Team

NJTTF National Joint Terrorism Task Force

NMRT National Medical Response Team

NOAA National Oceanic and Atmospheric Administration

NRC Nuclear Regulatory Commission

NRCC National Response Coordination Center

NRP National Response Plan

NRT National Response Team

NSC National Security Council

NSSE National Special Security Event

NVOAD National Voluntary Organizations Active in Disaster

OSC On-Scene Coordinator
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OSHA Occupational Safety and Health Administration

OSLGCP DHS Office of State and Local Government Coordination and Preparedness

PCC Policy Coordination Committee

PDA Preliminary Damage Assessment

PDD Presidential Decision Directive

PFO Principal Federal Official

POC Point of Contact

RCRA Resource Conservation and Recovery Act

RISC Regional Interagency Steering Committee

RRCC Regional Response Coordination Center

RRT Regional Response Team

ROC Regional Operations Center

SAC Special Agent-in-Charge

SAR Search and Rescue

SCO State Coordinating Officer

SFLEO Senior Federal Law Enforcement Official

SFO Senior Federal Official

SIOC Strategic Information and Operations Center

SOG Standard Operating Guideline

SOP Standard Operating Procedure

START Scientific and Technical Advisory and Response Team

TSA Transportation Security Administration

TSC Terrorist Screening Center

US&R Urban Search and Rescue

USACE U.S. Army Corps of Engineers

USCG U.S. Coast Guard

USDA U.S. Department of Agriculture

USSS U.S. Secret Service

VMAT Veterinarian Medical Assistance Team

WAWAS Washington Area Warning System

WMD Weapons of Mass Destruction
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Appendix C

NRC Incident Response Plan Implementing Procedures 

(Topical Listing) 

Headquarters Implementing Procedures 

# HOO/HERO Incident Notifications 

# Responder Notifications and Team Staffing 

# Executive Team 

# Headquarters Support Teams 

# External Coordination 

# Responder Protection and Health/Safety 

# Maintenance of Incident Response Documentation 

# Qualification of Responders 

# Incident Response Facilities/Systems/Equipment 

# Communications 

# Emergency Response Data System 

# Consequence Assessment Models 

# Lessons Learned 

# Natural Phenomena 

Regional Implementing Procedures 

# Standardized Regional Implementing Procedures 

# Region-specific Implementing Procedures 
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