POLICY ISSUE 

(Notation Vote)

October 19, 2007 SECY-07-0182

FOR: The Commissioners 

FROM: Luis A. Reyes 

Executive Director for Operations /RA/ 

SUBJECT: SEMI-ANNUAL UPDATE ON THE STATUS OF EMERGENCY 

PREPAREDNESS ACTIVITIES 

PURPOSE: 

This paper informs the Commission of the status of important activities in the area of emergency 

preparedness (EP) and enhancements to nuclear power plant (NPP) licensees’ EP programs. It 

also requests Commission approval on changing the frequency of future updates. 

SUMMARY: 

In this semi-annual update, the staff is reporting the status of 10 significant EP initiatives. These 

activities represent the enhancement efforts for EP by the Nuclear Regulatory Commission 

(NRC) and licensees. Any related documents previously submitted to the Commission are 

identified under the respective initiative discussion. With this paper, the staff is recommending a 

change in frequency of this report to an annual update. 

BACKGROUND: 

The Commission directed the staff to provide a semiannual report on important EP activities in 

Staff Requirements Memorandum (SRM) “SECY-05-0010, Recommended Enhancements of 

Emergency Preparedness and Response at Nuclear Power Plants in Post-9/11 Environment,” 

dated May 4, 2005. The staff’s last report to the Commission was SECY-07-0070, dated 

April 10, 2007. 

CONTACT: Ned Wright, NSIR/DPR 

(301) 415-5563
The Commissioners -2- 

DISCUSSION: 

Although the 10 initiatives described below are important EP activities, they by no means 

encompass all of the important activities in the EP area. For example, the staff is continuing to 

perform licensing activities including reviews of emergency plan change submittals for current 

licensees. The staff also supported the comprehensive review by the Department of Homeland 

Security (DHS) of NPP’s and regional inspection activities. 

Initiative 1: Review of EP Regulations and Guidance 

The staff provided a rulemaking plan entitled, “Rulemaking Plan for Enhancements to 

Emergency Preparedness Regulations and Guidance,” to the Commission on April 17, 2007. 

This plan built on the information presented in SECY-06-0200, “Results of the Review of 

Emergency Preparedness Regulations and Guidance,” dated September 20, 2006, and outlined 

milestones for completion of the enhancements to EP regulations and guidance. 

The staff is currently developing an expanded technical basis for the proposed rulemaking 

which will become the foundation for the proposed rule. The technical basis is expected to be 

completed in October 2007. The staff intends to initiate a contract to conduct the regulatory 

analysis in early fiscal year (FY) 2008. 

SRM-SECY-06-0200 disapproved the staff’s recommendation to delegate to the staff the ability 

to approve emergency plan changes that represent a reduction in effectiveness. However, the 

Commission directed the staff to submit a proposal with a documented basis and recommended 

language that would authorize such a delegation. The staff is on schedule (December 2007) to 

provide the Commission its recommendation to allow the staff authority to approve emergency 

plan changes that would result in a reduction of effectiveness of an emergency plan. 

The staff is currently pursuing rulemaking only on the issues identified in SECY-06-0200 to be of 

high priority. In SECY-06-0200 the staff committed to revisit those issues which were 

determined to be less than a high priority at a later time, and the Commission approved the 

staff’s recommendation to develop a rulemaking plan. The staff intends to budget resources in 

the FY 2010 budget to disposition the issues identified in SECY-06-0200 that were determined 

to have less than a high priority. 

The NRC/Federal Emergency Management Agency (FEMA) rulemaking working group was 

formed to ensure changes to regulations and guidance at the NRC and FEMA are in alignment. 

The working group continues to coordinate actions to limit rulemaking conflicts between the two 

agencies. 

Initiative 2: EP Outreach 

The staff has conducted more than 20 outreach activities with key internal and external 

stakeholders to enhance communications and mutual understanding with industry, foreign 

governments, State and local governments, and members of the public. The staff has also 

supported the Office of Nuclear Reactor Regulation (NRR), Office of New Reactors, and Region 

I in public meetings and information sessions. In addition, the staff continues to conduct 

periodic meetings with the FEMA Regional Assistance Committee Chairs, the Regional State 
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Liaison Officers, and Emergency Response Coordinators, and expanded its scope of activities 

to include an all-hazards approach to EP. As a result of these outreach activities, the staff has 

increased public awareness of the NRC’s mission by engaging the public in NRC activities and 

expanding partnerships with internal and external stakeholders. 

The staff continues to offer many opportunities for stakeholders to tour the Headquarters 

Operations Center (HOC) and to observe NRC HOC exercise activities. The staff has 

conducted tours for various groups including non-governmental organizations, foreign 

dignitaries, senior utility executives, and others. These tours include overviews of the various 

response teams, presentations on NRC response modes, and demonstrations of facility 

equipment, communications, and response capabilities. The response to these tours has been 

consistently positive. In addition, the States of Massachusetts and North Carolina observed two 

NRC Headquarters exercises and provided positive feedback. These information exchanges 

will enhance NRC and State relationships and interfaces during exercises and events. 

Initiative 3: Early Site Permits, Combined Licenses, and Standard Design Certifications 

The staff continues to support new reactor licensing activities, including the review of early site 

permits (ESPs) and standard design certifications (DCs). In addition, the staff is preparing for 

the review of multiple combined license (COL) applications. Currently, the staff is reviewing the 

application for DC for the economic simplified boiling-water reactor and a Westinghouse DC 

amendment application for the AP1000, which addresses a change for the AP1000 Annex 

Building Technical Support Center. 

The staff is also reviewing the ESP application for the Vogtle site. This represents a first-of-akind application review under Title 10 of the Code of Federal Regulations, Part 52, “Early Site 

Permits: Standard Design Certifications; and Combined Licenses for Nuclear Power Plants” 

(10 CFR Part 52) in that it includes a complete and integrated emergency plan with inspections, 

tests, analyses, and acceptance criteria (ITAAC). In preparation for inspection activities 

associated with emergency planning for new reactors, the staff has developed a draft 

construction inspection procedure, which primarily focuses on verification that the COL ITAAC 

have been met. 

The staff continues to coordinate activities with FEMA in preparation for the review of multiple 

COL applications including the application for the South Texas Project Units 3 and 4, dated 

September 20, 2007. To promote openness of NRC processes, the staff has participated in 

several public meetings to inform the public of the review process for new reactor license 

applications. 

On October 4, 2007, the NRC staff observed a meeting between the Nuclear Energy Institute 

(NEI) and FEMA regarding FEMA’s new reactor application review process. FEMA 

Headquarters officials informed the NEI New Reactors Working Group of FEMA’s review 

process, the role of FEMA regions in the review process, and FEMA’s commitment to meet the 

schedules for pending COL applications. 
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Initiative 4: Protective Action Recommendation Study 

The staff, with the support of Sandia National Laboratories, is nearing completion of Volume 1 of 

a draft NUREG documenting results from the project entitled, “Review of NUREG-0654, 

Supplement 3, Criteria for Protective Action Recommendations for Severe Accidents,” (PAR 

Study). The staff has presented the results to the Advisory Committee on Reactor Safeguards 

and will address the Committee’s comments in the draft NUREG. The Commission Paper, with 

the staff’s recommendations for Commission consideration, as well as the draft NUREG, are 

progressing and due for submission in December 2007. 

The staff intends to conduct a telephone survey of the public residing in NPP emergency 

planning zones to determine likely public reaction to protective action direction and the 

implementation of alternative protective action regimens. The survey instrument was submitted 

to the Office of Management and Budget for approval and was placed in the Federal Register

for public comment. The public comment period ended June 4, 2007. The NRC received useful 

comments and will apply them to revise the survey. The final survey and comment resolution 

will be placed in the Federal Register. The staff expects to conduct the public survey by 

February 2008. Current plans are to publish the results of the focus groups conducted in 2006 

and the telephone survey as Volume 2 of the PAR Study in 2008. 

Initiative 5: Development and Implementation of a Security-Based Drill and Exercise Program 

In a letter dated March 30, 2007, the DHS Director, Chemical and Nuclear Preparedness and 

Protection Division, concurred on recommendations developed by the joint NRC/FEMA Exercise 

Scenario Working Group in response to the June 29, 2006, Commission SRM, “Briefing on 

Status of Emergency Planning Activities.” The SRM directed the staff to engage FEMA in 

identifying a wide spectrum of EP exercise scenarios that would help avoid anticipatory 

responses associated with the preconditioning of participants. The working group 

recommended various alternatives, including radiological release options. However, based on a 

May 23, 2007, letter to NEI from the FEMA Acting Deputy Administrator for Emergency 

Preparedness, the proposed “no release” option would still require the demonstration of field 

monitoring dose assessment capabilities and protective action decision-making for a postulated 

release either through controller injects or evaluation of a separate drill. The working group has 

developed specific changes to FEMA’s exercise evaluation criteria in order to implement these 

recommendations, which have been submitted to FEMA’s Acting Director, Chemical and 

Nuclear Preparedness and Protection Division for consideration, and have been shared with the 

FEMA Regional Radiological Assistance Committee (RAC) Chairs. Some opposition to various 

recommendations has been raised by certain FEMA Regions, including the belief that a large 

radiological release still needs to be postulated in every biennial exercise to verify continued 

reasonable assurance. FEMA Headquarters is attempting to gain alignment with Regional RAC 

Chairs on this issue. NRC management, at various levels, continues to work with FEMA 

management to gain consensus on a path forward. 

The staff participated in joint NRC/FEMA/industry panel sessions at the April 2007 National 

Radiological Emergency Preparedness Conference and the June 2007 NEI EP and 

Communications Forum to discuss implementation of NEI 06-04, “Guidelines for the 

Development of Emergency Preparedness Drill and Exercise Threat-Based Scenarios,” dated 

August 2006, and expectations for the conduct of an “off-year” (non-evaluated) EP drill at each 
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NPP site over a 3-year period by the end of calendar year (CY) 2009. These meetings provided 

a forum for increased communication regarding security-based EP drills with FEMA, State and 

local government representatives, and industry representatives. 

The industry has conducted Phase III off-year security threat-based EP drills at several NPP 

sites: Quad Cities in April 2007; Vogtle in June 2007; Braidwood, Seabrook, Prairie Island, and 

Brunswick in July 2007; Point Beach in August 2007; and Perry in September 2007. The staff 

observed each of these drills and also supported pre-drill tabletops at Quad Cities, Braidwood, 

Seabrook, Prairie Island, and Brunswick Stations. Based on the lessons learned from the initial 

drill at the Quad Cities Station, the industry provided a supplement to NEI 06-04 in a May 18, 

2007, letter which clarified demonstration expectations. NEI and licensees initially underestimated the time and resource commitment needed to conduct these drills effectively. This 

commitment is significantly above that required for a normal off-year EP drill. NEI has selected 

an industry loanee to support its efforts in overseeing the effective and consistent conduct of 

future off-year drills starting in CY 2008. 

In early July 2007, the staff implemented a Security Threat-Based EP Drill link on the internal 

NRC Web site, http://www.internal.nrc.gov/NSIR/ep-drills-phase-3.html, which provides status 

and related Phase III information (i.e., staff observations, industry lessons learned, background 

documentation, schedules, and points of contact). The staff has provided a link to the public 

Web site to describe this initiative, which provides applicable NRC and NEI guidance 

documents. The staff is conducting a public meeting on November 9, 2007, to discuss and 

solicit comments on the status and lessons learned from the off-year drills and on proposed 

changes to the FEMA exercise evaluation criteria. 

No regulatory requirement exists for licensees to include options to address challenging and 

non-anticipatory exercise scenarios as reflected in the June 29, 2006, Commission SRM. Thus, 

the staff has incorporated this element into the proposed EP rulemaking discussed in Initiative 1 

of this paper. 

Initiative 6: Coordination of EP Activities with FEMA 

The staff continues to coordinate and communicate with FEMA in areas of mutual interest and 

routinely works with FEMA in areas of joint responsibility, particularly with offsite EP issues. 

FEMA has partnered with the staff on several initiatives such as regional conferences, tri-state 

meetings, and government-to-government meetings. The staff has initiated periodic conference 

calls and meetings with FEMA (headquarters and field offices) to seek alignment on specific 

issues and to expedite issue resolution. This has served to enhance NRC/FEMA relationships 

and resulted in better communication and coordination. However, the staff recognizes the need 

for continued efforts to enhance its working relationship with FEMA at all levels of management. 

The recent confirmation of Dennis Schrader as the FEMA Deputy Administrator, National 

Preparedness Directorate, should be helpful since it filled a long vacant management position 

and may enable the NRC to better communicate our issues to FEMA. 

The staff suggests continued executive and senior-level communication and coordination with 

FEMA on important initiatives and programs in the areas of EP and response. In addition, the 

NRC has extended (and FEMA staff has accepted) invitations to attend formal NRC training in 
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EP and response. The NRC is also coordinating with FEMA to teach radiological emergency 

preparedness related courses for NRC staff. 

Initiative 7: Potassium Iodide 

In a memorandum dated July 3, 2007, the President assigned the authority for Section 127(f) of 

the Public Health Security and Bioterrorism Preparedness and Response Act of 2002, Public 

Law 107-188, regarding the distribution of potassium iodide (KI) out to 20 miles from 

commercial NPPs to the Director of the White House Office of Science and Technology Policy 

(OSTP). OSTP requested that the Federal Radiological Preparedness Coordinating Committee 

(FRPCC) provide a technical analysis of KI use beyond 10 miles from an NPP within 90 days of 

the issuance of its memorandum dated July 5, 2007, to the FRPCC members. The NRC staff 

worked with the FRPCC on its technical analysis paper for OSTP. The FRPCC has transmitted 

the technical analysis paper to OSTP for the Director’s consideration to support making a 

conclusion in his determination of the applicability of Section 127(f) of Public Law 107-88. 

Initiative 8: Progress of Alert Notification System Related Activities

Indian Point 

On April 13, 2007, Entergy Nuclear Operations, Inc. (Entergy) requested an additional relaxation 

from the January 31, 2006, Confirmatory Order implementation date of April 15, 2007. The 

NRC denied the relaxation request and on April 23, 2007, issued a Notice of Violation (NOV) 

and Proposed Imposition of Civil Penalty (EA-07-092). In its May 23, 2007, reply to the NOV, 

Entergy committed to resolving its problems and placing the system in operation by August 24, 

2007. On July 9, 2007, the staff supported a public meeting on the Indian Point siren issue in 

Westchester County, New York. On July 30, 2007, the NRC issued a second Confirmatory 

Order which required Entergy to obtain approval of the new siren system by FEMA in order to 

meet the conditions of the NRC’s initial Order. 

Since then, a project team comprising representatives from Region I, the Office of Nuclear 

Security and Incident Response (NSIR), NRR, Office of the General Counsel, Office of 

Enforcement, Office of Congressional Affairs, and Office of Public Affairs has conducted weekly 

status teleconferences. In addition, Region I, NSIR, and NRR staffs participate in weekly status 

teleconferences with Entergy, FEMA, and the four risk counties in the Indian Point Energy 

Center Emergency Planning Zone. Significant staff resources have been, and continue to be, 

expended on oversight of Entergy’s compliance with the Confirmatory Order. On August 30, 

2007, as a result of Entergy’s apparent failure to take the timely and necessary actions to 

ensure FEMA’s approval for use of the new Alert Notification System (ANS) by August 24, 2007, 

the NRC issued to Entergy an NOV and informed the licensee that the severity level of the NOV 

and the civil penalty, including potential daily civil penalties, would be determined at a later date. 

As explained in the August 30, 2007, NOV letter, the staff also disapproved Entergy’s request to 

modify the July 30, 2007, Order. FEMA reviewed an August 24, 2007, ANS submittal by 

Entergy, and on September 12, 2007, provided a letter to the New York State Emergency 

Management. Office concluding the siren system was inadequate and did not meet the original 

system design standards. In response, Entergy has sought to meet with FEMA to gain further 

detailed information to satisfy FEMA’s concerns and develop an action plan to resolve the issue. 
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General Alert Notification System Issues 

In the semi-annual report dated October 3, 2006, the staff reported on a Presidential Executive 

Order addressing effective, reliable, integrated, flexible, and comprehensive public warning 

systems, and noted that the staff was working with FEMA to assess the impact of the Executive 

Order on emergency planning regulations and guidance. FEMA continues to work on a revision 

of their draft technical bulletin on outdoor warning systems. 

Initiative 9: Revision of the FEMA/NRC Memorandum of Understanding 

Based on changes in prioritization by FEMA management, FEMA’s focus has changed from 

revising its 44 CFR 350 series regulations, to working on a revision to a manual containing 

many of FEMA’s guidance documents. Once this manual revision is completed, FEMA will 

return to addressing the revisions of its regulations. Based on discussion with FEMA, the 

Memorandum of Understanding (MOU) revision project is not expected to resume until FY 2009, 

subject to FEMA prioritization of this work activity. Staff continues to communicate with FEMA 

regarding the resumption of the MOU revision activities and desired changes to be incorporated. 

Initiative 10: Emergency Action Levels 

The staff has been working with industry to establish consistent emergency action levels (EALs) 

across the country. As a result of efforts by the staff and by industry, the staff anticipates that 

the remaining 10 plants with NUREG-0654 EAL schemes will submit a proposal to upgrade to 

NEI 99-01, “Determination of Emergency Action Levels,” by the end of FY 2008. In addition, 

NEI submitted a revision to NEI 99-01, Revision 5 and NEI 07-01, “Methodology for 

Development of Emergency Action Levels (for) Advanced Passive Light Water Reactors,” on 

February 28, 2007, for NRC endorsement. The staff has provided comments to NEI in a public 

meeting on May 23, 2007, and a closed meeting on security EALs held on June 29, 2007. As a 

result, NEI submitted a revision of NEI 99-01, Revision 5, on September 18, 2007, and has 

submitted a revision of NEI 07-01 on September 21, 2007. The staff is currently reviewing 

these documents. 

RECOMMENDATION: 

Effective reporting mechanisms (EDO Daily Notes, periodic briefings, program reviews) are in 

place to keep the Commission fully and currently informed on the status of EP activities and 

programs. Current activities described in this paper are not of such a dynamic nature that semiannual updates would provide substantially new information. Therefore, the staff recommends 

the frequency of this update be provided on an annual basis beginning in October 2008. 

COMMITMENT: 

Staff commits to provide the Commission a SECY paper with a recommendation for the staff to 

have the authority to approve emergency plans that result in a decrease in effectiveness. 

(December 2007) 
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RESOURCES: 

This paper requests no additional resources. The resources presently identified to implement 

these initiatives are included in the FY 2008 budget. Resources are currently included in the 

proposed budget for FY 2009. 

COORDINATION: 

The Office of the General Counsel reviewed this package and has no legal objection. 

 /RA/ 

Luis A. Reyes 

Executive Director 

 for Operations
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RESOURCES: 

This paper requests no additional resources. The resources presently identified to implement 

these initiatives are included in the FY 2008 budgets. Resources are currently included in the 

proposed budget for FY 2009. 

COORDINATION: 

The Office of the General Counsel reviewed this package and has no legal objection. 

 /RA/

Luis A. Reyes 

Executive Director 

 for Operations 

ML072500323 W200500137/EDATS SECY-2007-0105 

OFFICE NSIR/DPR NSIR/DPR NSIR/DPR Tech Editor NSIR/DPR DDEP/DPR 

NAME NWright AMcMurtray 

(KW for)

EWeiss LCulp 

(via email)

STucker CMIller 

DATE 08/24/07 08/24/07 08/27/07 08/27/07 09/11/07 09/11/07 

OFFICE NSIR/DPR NSIR/DPR PMDA/NSIR CFO OE NRR 

NAME ASalus MLeach 

(BM for)

MCohen Not Required 

(per RTiwari email)

CCarpenter 

(SLM for)

JDyer 

(CHaney for)

DATE 09/11/07 09/12/07 09/17/07 09/19/07 09/13/07 09/20/07 

OFFICE NRO OGC NSIR/DPR NSIR/OD EDO 

NAME BBorchardt 

(JL for)

KCyr AStang RZimmerman 

(WDean for)

LReyes 

DATE 09/19/07 09/26/07 09/27/07 10/05/07 10/19/07 

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