Regulatory guides are issued to describe and make available to the public such information as methods acceptable to the NRC staff for implementing specific parts

of the NRC’s regulations, techniques used by the staff in evaluating specific problems or postulated accidents, and data needed by the NRC staff in its review of

applications for permits and licenses. Regulatory guides are not substitutes for regulations, and compliance with them is not required. Methods and solutions different

from those set out in the guides will be acceptable if they provide a basis for the findings requisite to the issuance or continuance of a permit or license by the

Commission.

This guide was issued after consideration of comments received from the public. Comments and suggestions for improvements in these guides are encouraged

at all times, and guides will be revised, as appropriate, to accommodate comments and to reflect new information or experience. Written comments may be submitted

to the Rules and Directives Branch, ADM, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001. 

Regulatory guides are issued in ten broad divisions: 1, Power Reactors; 2, Research and Test Reactors; 3, Fuels and Materials Facilities; 4, Environmental and Siting;

5, Materials and Plant Protection; 6, Products; 7, Transportation; 8, Occupational Health; 9, Antitrust and Financial Review; and 10, General. 

Single copies of regulatory guides (which may be reproduced) may be obtained free of charge by writing the Distribution Services Section, U.S. Nuclear Regulatory

Commission, Washington, DC 20555-0001, or by fax to (301)415-2289, or by email to DISTRIBUTION@NRC.GOV. Electronic copies of this guide and other recently

issued guides are available at NRC’s home page at <WWW.NRC.GOV> through the Electronic Reading Room, Accession Number ML032020276.

U.S. NUCLEAR REGULATORY COMMISSION Revision 4

July 2003

REGULATORY GUIDE

OFFICE OF NUCLEAR REGULATORY RESEARCH

REGULATORY GUIDE 1.101, REVISION 4

(Draft was issued as DG-1075)

EMERGENCY PLANNING AND PREPAREDNESS

FOR NUCLEAR POWER REACTORS

A. INTRODUCTION

In § 50.47, "Emergency Plans," of 10 CFR Part 50, "Domestic Licensing of Production and

Utilization Facilities," paragraph (a)(1) states that no initial operating license for a nuclear power reactor

will be issued unless a finding is made by the NRC that there is reasonable assurance that adequate

protective measures can and will be taken in the event of a radiological emergency. For operating power

reactors, 10 CFR 50.54(s)(2)(ii) requires that "If . . . the NRC finds that the state of emergency

preparedness does not provide reasonable assurance that adequate protective measures can and will be

taken in the event of a radiological emergency . . . the Commission will determine whether the reactor

shall be shut down until such deficiencies are remedied or whether other enforcement action is

appropriate." In both cases, the NRC will base its finding on a review of the Federal Emergency

Management Agency (FEMA) findings and determinations as to whether State and local emergency plans

are adequate and capable of being implemented, in addition to the NRC assessment as to whether the

licensee's emergency plans are adequate and capable of being implemented.

Onsite and offsite emergency response plans must meet the standards that are listed in 10 CFR

50.47 in order for the staff to make a positive finding that there is reasonable assurance that adequate

protective measures can and will be taken in the event of a radiological emergency. One of these

standards, 10 CFR 50.47(b)(4), pertains to the development of emergency action levels (EALs). Section

IV, "Content of Emergency Plans," of Appendix E to 10 CFR Part 50 also contains requirements for the

development and review of EALs. 
 1

Copies are available at current rates from the U.S. Government Printing Office, P.O. Box 37082, Washington, DC 20402-

9328 (telephone (202)512-1800); or from the National Technical Information Service by writing NTIS at 5285 Port Royal Road,

Springfield, VA 22161; (telephone (703)487-4650; <http://www.ntis.gov/ordernow>. Copies are available for inspection or

copying for a fee from the NRC Public Document Room at One White Flint North, 11555 Rockville Pike, Rockville, MD 20852;

the PDR’s mailing address is US NRC Public Document Room, Washington, DC 20555; telephone (301)415-4737 or

(800)397-4209; fax (301)415-3548; email is PDR@NRC.GOV.

 2Copies are available for inspection or copying for a fee from the NRC Public Document Room at One White Flint North,

11555 Rockville Pike, Rockville, MD 20852; the PDR’s mailing address is US NRC Public Document Room, Washington, DC

20555; telephone (301)415-4737 or (800)397-4209; fax (301)415-3548; email is PDR@NRC.GOV.

1.101-2

This regulatory guide provides guidance to licensees and applicants on methods acceptable to

the NRC staff for complying with the NRC’s regulations for emergency response plans and

preparedness at nuclear power reactors. Licensees and applicants may propose means other than

those specified by the provisions of the Regulatory Position of this guide for meeting applicable

regulations. No new positions or requirements are being imposed by this regulatory guide. 

Implementation of the Nuclear Energy Institute’s (NEI’s) guidance by licensees will be on a

strictly voluntary basis.

The information collections contained in this regulatory guide are covered by the

requirements of 10 CFR Part 50, which were approved by the Office of Management and Budget

(OMB), approval number 3150-3011. The NRC may not conduct or sponsor, and a person is not

required to respond to, a request for information or an information collection requirement unless

the requesting document displays a currently valid OMB control number.

B. DISCUSSION

Revision 1 to NUREG-0654/FEMA-REP-1, "Criteria for Preparation and Evaluation of

Radiological Emergency Response Plans and Preparedness in Support of Nuclear Power Plants,"1

was published in November 1980 to provide specific acceptance criteria for complying with the

standards set forth in 10 CFR 50.47. FEMA, NRC, and other involved Federal agencies intend to

use the guidance contained in Revision 1 of NUREG-0654/FEMA-REP-1in their individual and

joint reviews of the radiological emergency response plans and preparedness of State and local

governments and the plans and preparedness of applicants for and holders of a license to operate a

nuclear power reactor. Revisions 2 and 3 of Regulatory Guide 1.101 endorsed Revision 1 of

NUREG-0654/FEMA-REP-1.

In January 1992, the Nuclear Utilities Management and Resource Council (NUMARC)

issued Revision 2 of NUMARC/NESP-007, "Methodology for Development for Emergency

Action Levels,"2 which contained guidance on EAL development that accounted for lessons

learned from ten years of using the NUREG-0654 guidance. The NRC stated in Revision 3 of

Regulatory Guide 1.101 (August 1992), that Revision 2 of NUMARC/NESP-007 was considered

to be an acceptable alternative to the guidance provided in NUREG-0654 for development of

EALs to comply with 10 CFR 50.47 and Appendix E to 10 CFR Part 50. In addition, the NRC

stated in Revision 3 of Regulatory Guide 1.101 that there is a likelihood that the results of ongoing

risk studies related to shutdown may necessitate revision of both the NRC EAL guidance

(NUREG-0654) and the NUMARC EAL guidance (NUMARC/NESP-007). Appendix E to 10
 3

Electronic copies (Accession Number ML030300486) are available in NRC’s Public Electronic Reading Room, which can

be accessed through the NRC’s web site, <WWW.NRC.GOV> .

 4Electronic copies (Accession Number ML022970165) are available in NRC’s Public Electronic Reading Room, which can

be accessed through the NRC’s web site, <WWW.NRC.GOV> .

1.101-3

CFR Part 50 specifies that EALs are to be used as criteria for determining the need for taking

emergency response actions (e.g., notification of emergency response organizations). The need for

emergency response actions depends on the degree of degradation of plant safety during an event. 

The shutdown risk studies have demonstrated that events warranting emergency classification and

response (although very unlikely) can occur in the shutdown and refueling mode of plant

operation. 

In January 2003, the Nuclear Energy Institute submitted guidance (NEI 99-01, Revision 4,

January 2003, “Methodology for Development of Emergency Action Levels”)

3

 for developing

EALs applicable in the shutdown and refueling modes of plant operations. NEI 99-01 also

provided new guidance for developing EALs for permanently shutdown reactors and dry cask

spent fuel storage at nuclear power plants. In addition, improvements to the NUMARC/NESP-007

EAL guidance were incorporated into NEI 99-01; these improvements were first developed (and

the rationale behind the revision discussed) in NEI 97-03, Draft Final Revision 3, “Methodology

for Development of Emergency Action Levels” (December 1998). NEI 97-03 was not endorsed by

the NRC because the NRC applied its resources to the review of NEI 99-01, which incorporates

the guidance in NEI 97-03.

In Revision 3 to Regulatory Guide 1.101, the NRC stated that “Licensees may use either

NUREG 0654/FEMA-REP-1 or NUMARC/NESP-007 in developing their EAL scheme but may

not use portions of both methodologies.” The staff stated in EPPOS No. 1, “Emergency

Preparedness Position (EPPOS) on Acceptable Deviations from Appendix 1 of NUREG-0654

Based Upon the Staff’s Regulatory Analysis of NUMARC/NESP-007, ’Methodology for

Development of Emergency Action Levels,‘”4

 that it recognizes that licensees who continue to use

EALs based upon NUREG-0654 could benefit from the technical basis for EALs provided in

NUMARC/NESP-007. However, the staff also recognized that the classification scheme must

remain internally consistent. Likewise, licensees can benefit from guidance provided in NEI 99-01

without revising their entire EAL scheme. This is particularly so in regard to adopting guidance

on EALs for cold shutdown and refueling modes of operations or for Independent Fuel Storage

Facilities. However, the licensee needs to ensure that its EAL scheme remains internally

consistent (i.e., the EALs making up the scheme are integrated so as to cover the spectrum of

conditions that may warrant classification in a logical manner).

C. REGULATORY POSITION

The criteria and recommendations in Revision 1 of NUREG-0654/FEMA-REP-1, “Criteria

for Preparation and Evaluation of Radiological Emergency Response Plans and Preparedness in

Support of Nuclear Power Plants” (November 1980), are methods acceptable to the NRC staff for

complying with the standards in 10 CFR 50.47 that must be met in onsite and offsite emergency
1.101-4

response plans. These criteria provide a basis for NRC licensees and State and local governments

to develop acceptable radiological emergency plans and improve emergency preparedness. 

The guidance in NUMARC/NESP-007 (Revision 2, January 1992), “Methodology for

Development of Emergency Action Levels,” is acceptable to the NRC staff as an alternative

method to that described in Appendix 1 to NUREG-0654/FEMA-REP-1 for developing EALs

required in Section IV.B of Appendix E to 10 CFR Part 50 and 10 CFR 50.47(b)(4). In addition,

the guidance contained in NEI 99-01 (Revision 4, January 2003), “Methodology for Development

of Emergency Action Levels,”3

 is acceptable to the NRC staff as an alternative method to that

described in Appendix 1 to NUREG-0654/FEMA-REP-1 and NUMARC/NESP-007 for

developing EALs required in Section IV of Appendix E to 10 CFR Part 50 and 10 CFR

50.47(b)(4). 

D. IMPLEMENTATION

The purpose of this section is to provide information to licensees and applicants regarding

the NRC staff's plans for using this regulatory guide.

Except when an applicant or licensee proposes an acceptable alternative method for

complying with specified portions of the NRC's regulations, the methods described in this guide

will be used in the evaluation of emergency plans and preparedness for nuclear power reactors. 
1.101-5

REGULATORY ANALYSIS 

A separate Regulatory Analysis was prepared for the proposed Revision 4 to Regulatory

Guide 1.101 (Draft Regulatory Guyide DG-1075), "Regulatory Analysis for Proposed Revision 4

of Regulatory Guide 1.101 To Accept the Guidance in NEI 99-01 as an Alternative Methodology

for the Development of Emergency Action Levels." Electronic copies of the Regulatory Analysis

are available in NRC’s Public Electronic Reading Room, which may be accessed through the

NRC’s web site at <WWW.NRC.GOV>, under Accession Number ML031250542.