NEI 12-01 [Revision 0]

Guideline for Assessing 

Beyond Design Basis 

Accident Response 

Staffing and 

Communications 

Capabilities

May 2012
[THIS PAGE IS LEFT BLANK INTENTIONALLY]
NEI 12-01 [Revision 0]

Nuclear Energy Institute

Guideline for Assessing 

Beyond Design Basis 

Accident Response 

Staffing and 

Communications 

Capabilities

May 2012
ACKNOWLEDGEMENTS

This document was developed by the Nuclear Energy Institute (NEI) Beyond Design Basis Event 

Response Staffing Study Task Force and the Communications during an Extended Loss of AC 

Power Task Force.

NEI Beyond Design Basis Event Response Staffing Study Task Force

NEI Chairperson: David Young

Industry Lead: Robert Svaleson, Exelon Nuclear/Corporate

Industry Members:

Paul Driehaus – Exelon Nuclear/Corporate

Monica Ray – APS/Palo Verde Nuclear Generating Station

William Renz – Entergy Nuclear/Corporate

John Stephenson – Progress Energy/Corporate

NEI Communications during an Extended Loss of AC Power Task Force

NEI Chairperson: David Young

Industry Lead: Robert Svaleson, Exelon Nuclear/Corporate

Industry Members:

Michael Austin – Duke Energy/Corporate

David Draghi – Exelon Nuclear/Corporate

Steve Sawtschenko – APS/Palo Verde Nuclear Generating Station

Soren Thomassen - PSEG/Salem and Hope Creek Generating Stations

NOTICE

Neither NEI, nor any of its employees, members, supporting organizations, contractors, or 

consultants make any warranty, expressed or implied, or assume any legal responsibility for the 

accuracy or completeness of, or assume any liability for damages resulting from any use of, any 

information apparatus, methods, or process disclosed in this report or that such may not 

infringe privately owned rights.
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i

EXECUTIVE SUMMARY

This technical report provides recommended criteria to assist with the preparation of assessments 

that will determine the required staff necessary for responding to a beyond design basis external

event that affects multiple units at a site, and the identification of enhancements that could 

provide a means to power equipment needed to communicate on-site and offsite during an 

extended loss of AC power event. These assessments are necessary for responding to certain

information requests contained in US Nuclear Regulatory Commission (NRC) letter, Request for 

Information Pursuant to Title 10 of the Code of Federal Regulations 50.54(f) Regarding 

Recommendations 2.1, 2.3, and 9.3, of the Near-Term Task Force Review of Insights from the 

Fukushima Dai-Ichi Accident, dated March 12, 20121 [the Letter]. As discussed in SECY-11-

0137, Prioritization of Recommended Actions to be taken in Response to Fukushima Lessons 

Learned2, dated October 3, 2011, responses to the information requests will be used to inform 

possible future regulatory actions.

The information requests related to Emergency Preparedness (EP) are contained in Enclosure 5

of the Letter. Within this enclosure are two Requested Actions; both involve performance of an 

assessment. These actions are summarized below.

 Assess current communications systems and equipment used during an emergency event

given a set of standard assumptions. Consider enhancements that may be appropriate for 

the emergency plan with respect to communications requirements of 10 CFR 50.47, 

Appendix E to 10 CFR 50, and the guidance in NUREG-0696 in light the set of standard 

assumptions. Also consider the means necessary to power the new and existing 

communications equipment during a multi-unit event, with a loss of all AC power.

 Assess current staffing levels and determine the appropriate staff to fill all necessary 

positions for responding to a multi-unit event during a beyond design basis external

event, and determine if any enhancements are appropriate given the considerations of 

Fukushima Near-Term Task Force (NTTF) Recommendation 9.33

. 

An associated listing of Requested Information is provided below each Requested Action. 

A licensee should be able to provide the staffing necessary for responding to a beyond design 

basis external event affecting all units on a site. The number and composition of the response 

staff should be sufficient to implement mitigation strategies and repair actions intended to 

maintain or restore the functions of core cooling, containment, and spent fuel pool cooling for all 

affected units. The assessment criteria presented in this technical report will assist with 

identification of this required staffing and related enhancements.

In addition to adequate staffing, a licensee should also maintain the capability to perform critical 

communications during and following an event that results in an extended loss of AC power. 

This document provides criteria for assessing the availability of communications systems and 

equipment necessary for implementation of emergency planning standard requirements. 

 1 Refer to ADAMS ML12053A340

2 Refer to ADAMS ML11272A111 3 For background information, refer to NRC staff report entitled, Recommendations for Enhancing Reactor Safety in 

the 21st Century, dated July 12, 2011; ADAMS ML111861807
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Communications capabilities that support implementation of mitigation strategies and repair 

actions intended to maintain or restore the functions of core cooling, containment, and spent fuel 

pool cooling will also be assessed.

The criteria and related actions presented in this document mirror the industry’s multi-phase

approach for performing the requested assessments and providing the requested information. 

The industry’s phased approach was developed with recognition of 1) the higher priority placed 

upon the completion of licensee actions necessary to comply with the EP Rule promulgated in 

Federal Register Volume 76, Number 226; dated November 23, 2011; Pages 72560-72600; and 

2) the dependency of certain assessment elements upon future definition of new response

requirements associated with Fukushima NTTF Recommendation 4.2, as subsequently modified 

by the staff and issued as NRC Order EA-12-049. The phased approach and related high-level 

licensee actions are described more fully in Section 1.
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TABLE OF CONTENTS

EXECUTIVE SUMMARY ........................................................................................................i

1 INTRODUCTION............................................................................................................1

1.1 RESPONSE STAFFING ASSESSMENT................................................................................1

1.2 COMMUNICATIONS DURING AN EXTENDED LOSS OF AC POWER ASSESSMENT..........1

1.3 APPROACH TO INFORMATION REQUEST RESPONSES....................................................2

1.4 TRACKING OF ASSESSMENT RESULTS ...........................................................................5

2 ASSESSMENT ASSUMPTIONS ....................................................................................9

2.1 PURPOSE .........................................................................................................................9

2.2 ASSUMPTIONS COMMON TO BOTH ASSESSMENTS ........................................................9

2.3 ASSUMPTIONS FOR STAFFING ASSESSMENT ................................................................10

2.4 ASSUMPTIONS FOR COMMUNICATIONS ASSESSMENT .................................................10

3 RESPONSE STAFFING STUDY...................................................................................13

3.1 OVERVIEW OF A BEYOND DESIGN BASIS EXTERNAL EVENT RESPONSE....................13

3.2 ASSESSMENT OF ON-SHIFT STAFFING FOR A BEYOND DESIGN BASIS EXTERNAL 

EVENT AFFECTING MULTIPLE UNITS..........................................................................14

3.3 EXISTING AUGMENTED STAFFING FOR RESPONDING TO A MULTI-UNIT EVENT ......15

3.4 EXPANDED RESPONSE CAPABILITY FOR RESPONDING TO A MULTI-UNIT EVENT ....16

3.5 POSITION-SPECIFIC ASSESSMENT GUIDANCE .............................................................18

3.6 STAFFING FOR EXPANDED RESPONSE FUNCTIONS......................................................18

3.7 WORK AREAS FOR PERSONNEL PERFORMING EXPANDED RESPONSE FUNCTIONS ...20

3.8 ACTIVATING AN EXPANDED RESPONSE CAPABILITY..................................................20

3.9 MOBILIZATION OF EXPANDED RESPONSE CAPABILITY STAFFING ............................20

3.10 CONSIDERATIONS FOR PROGRAM DOCUMENTS..........................................................21

4 COMMUNICATIONS DURING AN EXTENDED LOSS OF AC POWER.........................26

4.1 REQUIRED EMERGENCY COMMUNICATIONS CAPABILITIES ......................................26

4.2 PLANT PAGING (ANNOUNCEMENT) SYSTEM ...............................................................29

4.3 COMMUNICATIONS EQUIPMENT AT ORO FACILITIES................................................30

4.4 NOTIFICATION OF THE EMERGENCY RESPONSE ORGANIZATION (ERO)..................30

4.5 EQUIPMENT LOCATION REQUIREMENTS.....................................................................30

4.6 PERFORMANCE CHARACTERISTICS .............................................................................31
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4.7 OTHER ASSESSMENT CONSIDERATIONS ......................................................................31

4.8 QUALITY AND MAINTENANCE-RELATED REQUIREMENTS .........................................32

4.9 NATIONAL COMMUNICATIONS SYSTEM (NCS) SERVICES..........................................32

4.10 COMMUNICATIONS PROVIDER EMERGENCY SERVICES..............................................32

4.11 PERSONNEL TRAINING .................................................................................................33

5 REFERENCES.............................................................................................................34

5.1 US Nuclear Regulatory Commission (NRC) letter, Request for Information Pursuant 

to Title 10 of the Code of Federal Regulations 50.54(f) Regarding Recommendations 

2.1, 2.3, and 9.3, of the Near-Term Task Force Review of Insights from the 

Fukushima Dai-Ichi Accident, dated March 12, 2012 ..................................................34

5.2 SECY-11-0137, Prioritization of Recommended Actions to be taken in Response to 

Fukushima Lessons Learned , dated October 3, 2011 ..................................................34

5.3 10 CFR § 50.47 Emergency plans – Section (b)...........................................................34

5.4 10 CFR § 50, Appendix B – Quality Assurance Criteria for Nuclear Power Plants and 

Fuel Reprocessing Plants..............................................................................................34

5.5 10 CFR § 50, Appendix E – Emergency Planning and Preparedness for Production and 

Utilization Facilities......................................................................................................34

5.6 NUREG 0696, Functional Criteria for Emergency Response Facilities.......................34

5.7 Federal Register Volume 76, Number 226; dated November 23, 2011; Pages 72560-

72600 ........................................................................................................................34

5.8 NEI 10-05, Assessment of On-Shift Emergency Response Organization Staffing and 

Capabilities....................................................................................................................34

5.9 NSIR/DPR-ISG-01, Interim Staff Guidance – Emergency Planning for Nuclear Power 

Plants ........................................................................................................................34

5.10 NUREG-0654, Criteria for Preparation and Evaluation of Radiological Emergency 

Response Plans and Preparedness in Support of Nuclear Power Plants.......................34

5.11 INPO 10-007, Equipment Important to Emergency Response .....................................34
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GUIDELINE FOR ASSESSING BEYOND DESIGN BASIS ACCIDENT 

RESPONSE STAFFING AND COMMUNICATIONS CAPABILITIES

1 INTRODUCTION

1.1 RESPONSE STAFFING ASSESSMENT

Each licensee currently maintains an on-shift and augmented Emergency Response 

Organization (ERO) in accordance with existing regulations and guidance. An ERO is 

capable of responding to any accident within the scope of the plant design basis. The 

criteria presented in this technical report are intended to assist a licensee with the 

identification of additional organizational capabilities that will facilitate simultaneous 

performance of accident mitigation and repair actions at all on-site units following a 

beyond design basis external event.

It is recognized that licensees employ many different response organization structures to 

meet emergency planning standards and requirements. Consequently, there is a wide 

variation in the number, type, and location of emergency response positions, as well as 

the assignment of requisite authorities and responsibilities. This variation precluded 

development of a standard response staffing study template.

In lieu of a standard template, this technical report provides recommended criteria for use 

in performing an assessment to identify the staff that should be available to respond to a 

beyond design basis external event affecting multiple units at a site. These criteria can be 

readily applied to a variety of assessment methodologies. This approach will allow a 

licensee the flexibility to perform a response staffing assessment that accommodates their 

specific needs while, at the same time, ensuring consistency with industry-developed 

standards, and NRC regulations and guidance.

Finally, it should be noted that 10 CFR 50.47(b)(2) requires that each licensee maintain 

adequate staffing to provide an initial facility accident response in key functional areas at 

all times. In accordance with 10 CFR § 50, Appendix E, a licensee’s emergency plan 

must contain a description of the response organization responsible for coping with 

radiological emergencies; and the licensee shall perform a detailed analysis 

demonstrating that on-shift personnel assigned emergency plan implementation functions 

are not assigned responsibilities that would prevent the timely performance of their 

assigned functions as specified in the emergency plan. Licensees must ensure that these 

requirements continue to be met as new or modified event mitigation strategies are 

implemented. 

1.2 COMMUNICATIONS DURING AN EXTENDED LOSS OF AC POWER ASSESSMENT

Licensees also employ diverse methods to meet emergency communications 

requirements and, as a result, there are significant differences in communications 

systems, configurations and capabilities from site to site. As with the response staffing 

assessment, these differences precluded development of a standard communications 

assessment template.
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In lieu of a standard template, this technical report provides recommended criteria for use 

in identifying enhancements that will ensure the availability of critical communications 

capabilities during an extended loss of AC power, including evaluation of power sources 

for communications equipment. These criteria can be readily applied to a variety of 

assessment methodologies. This approach will allow a licensee the flexibility to perform 

a communications capability assessment that accommodates their specific needs while, at 

the same time, ensuring consistency with industry-developed standards, and NRC 

regulations and guidance.

1.3 APPROACH TO INFORMATION REQUEST RESPONSES

As presented in Table 1.1, Summary of Licensee Actions for Responding to NRC 

Information Requests Related to EP, a phased approach will be used to respond to the 

information requests contained in the Letter. The table provides recommended 

completion and submittal dates for each information request; the identified request 

numbers correspond to the request numbering used in Enclosure 5 of the Letter for each 

assessment area – Communications and Staffing. Some information requests are 

applicable to all sites while others apply to multi-unit sites only; the applicability of each 

request to a site type is also provided. 

The basis for the approach presented in Table 1.1 is discussed below. 

1.3.1 Staffing

A 2-phase approach will be used to respond to the information requests associated with 

Staffing. The table below summarizes this approach.

Plant Type

Phase 1 Staffing Assessment

(for functions except those related 

to NTTF Recommendation 4.2)

Phase 2 Staffing Assessment

(for functions related to NTTF 

Recommendation 4.2)

Single-unit plants Perform staffing assessment and 

implement actions as required by 

recent EP Rule using ISG and NEI 

10-05

Perform staffing assessment as 

requested by 50.54(f) letter using 

NEI 12-01; provide results per 

alternative course of action 

described in 60-day letter

Multi-unit plants • Perform staffing assessment and 

implement actions as required by 

recent EP Rule using ISG and 

NEI 10-05

• Perform staffing assessment as 

requested by 50.54(f) letter 

using NEI 12-01 and material 

from NEI 10-05; provide results 

per alternative course of action 

described in 60-day letter

Perform staffing assessment as 

requested by 50.54(f) letter using 

NEI 12-01; provide results per 

alternative course of action 

described in 60-day letter

The basis for this approach is discussed below. 
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1.3.1.1 Phase 1 Staffing Assessment

For multi-unit plants, the Phase 1 staffing assessment performed in response to the Letter 

will be performed by March 29, 2013, and provided by April 30, 2013. This assessment 

will consider all requested functions except those related to Fukushima Near-Term Task 

Force (NTTF) Recommendation 4.2. An assessment considering these functions will be 

performed in Phase 2.

The timing of the Phase 1 staffing assessment reflects the higher priority placed by the 

staff, and approved by the Commission is SRM-SECY-12-0025, upon the completion of 

licensee actions necessary to comply with the Final EP Rule issued on November 23, 

2011 (Fed. Reg. 72,560). In particular, Section IV.A.9 of 10 CFR 50, Appendix E, 

requires that licensees complete a detailed analysis demonstrating that on-shift personnel 

assigned emergency plan implementation functions are not assigned responsibilities that 

would prevent the timely performance of their assigned functions as specified in the 

emergency plan. As stated in the EP Rule, this analysis must be completed by December 

24, 2012. 

Following completion of EP Rule staffing analysis, the staffing assessment associated 

with the Letter may be performed. Based on staffing analysis experience to date, it is 

anticipated that a staffing analysis for a multi-unit event will require approximately 3 

months to complete and validate. One additional month is allotted for processing of an 

assessment submittal package.

As requested, an implementation schedule for any modifications that are determined to be 

appropriate should be included with the Phase 1 staffing assessment.

Single-unit plants do not need to provide a Phase 1 staffing assessment in response to the 

Letter as performance of this activity is governed by the recent EP Rule and existing 

license requirements.

1.3.1.2 Phase 2 Staffing Assessment

Each licensee should determine a date for completing the Phase 2 staffing assessment; the 

assessment will be provided no later than 4 months prior to beginning of second refueling 

outage (as used within the context of NRC Order EA-12-049). This assessment will 

consider the requested functions related to Fukushima Near-Term Task Force (NTTF) 

Recommendation 4.2. 

The industry will be responding to multiple regulatory actions resulting from the 

recommendations contained in the Fukushima NTTF Report, as modified in related 

Commission Papers (SECY’s) and Staff Requirements Memoranda (SRM). One of these 

actions, in particular, has the potential to impact emergency response staffing levels. 

This action is NRC Order Modifying Licenses with Regard to Requirements for 

Mitigation Strategies for Beyond-Design-Basis External Events EA-12-049 [the Order]

which addresses Fukushima NTTF Recommendation 4.2. A summary of the Order is 

provided below. 
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This Order requires a three-phase approach for mitigating beyond-design-basis 

external events. The initial phase requires the use of installed equipment and 

resources to maintain or restore the functions of core cooling, containment and 

spent fuel pool cooling. The transition phase requires providing sufficient, 

portable, on-site equipment and consumables to maintain or restore these 

functions until they can be accomplished with resources brought from off site. 

The final phase requires obtaining sufficient offsite resources to sustain those 

functions indefinitely.

Additional details on an acceptable approach for complying with this Order will 

be contained in final Interim Staff Guidance (ISG) scheduled to be issued by the 

NRC in August 2012.

In accordance with the Order, each licensee must develop new strategies for mitigating 

the effects of beyond-design-basis external events. To ensure accurate results, the 

staffing assessment for response functions related to NTTF Recommendation 4.2 must be 

based on the actions delineated in the procedures and guidelines developed in response to 

the Order. Once the site-specific actions associated with the new response strategies are 

defined (e.g., down to the procedure or guideline step level), the staffing needed to 

perform these actions can be assessed with the necessary level of accuracy.

Based on a review of the planned actions necessary to comply with the Order, an 

assessment of the staffing for the functions related to NTTF Recommendation 4.2 can be 

provided by 4 months prior to beginning of the second refueling outage (as used within 

the context of NRC Order EA-12-049). Licensees of single-unit sites should adhere to 

this submittal milestone. Licensees of multi-unit sites have two options for providing the 

Phase 2 staffing assessment.

 Provide one phase 2 staffing assessment applicable to all on-site units. This 

assessment should be provided 4 months prior to the first occurrence of a 

second refueling outage at the site (i.e., the first “second refueling outage”). 

This option may be used by sites that will employ essentially identical 

mitigation strategies for all on-site units.

 Provide two or more phase 2 staffing assessments as applicable to the different 

on-site units. Each assessment should be provided 4 months prior to the 

occurrence of the second refueling outage of the unit to which the assessment is 

applicable. This option may be used by sites that will employ different 

mitigation strategies for on-site units.

As requested, an implementation schedule for any modifications that are determined to be 

appropriate should be included with the Phase 2 staffing assessment.

The Phase 2 staffing assessment is one component of an overall licensee work plan 

necessary to implement the requirements of the Order. As stated in the Order, all holders 

of operating licenses issued under Part 50 shall complete full implementation no later 

than two (2) refueling cycles after submittal of the overall integrated plan, as required in 

Condition C.1.a, or December 31,2016, whichever comes first. Full compliance shall 

include procedures, guidance, training, and acquisition, staging, or installing of 

equipment needed for the strategies.
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1.3.2 Communications

There are two separate responses to the information requests related to communications. 

The alternative timing of the responses to requests #1 and #3 reflects the higher priority 

placed by the staff, and approved by the Commission is SRM-SECY-12-0025, upon the 

completion of licensee actions necessary to comply with the Final EP Rule issued on 

November 23, 2011 (Fed. Reg. 72,560). The proposed alternative timing is warranted as 

many of the licensee staff resources necessary for performing the communications 

assessment are the same resources involved in implementing new EP Rule requirements,

responding to Institute of Nuclear Power Operations (INPO) initiatives related to 

enhancing communications capabilities (e.g., IER 11-4), and maintaining existing EP 

communications equipment.

In addition, the estimated completion date assigned to information request #3 will 

promote alignment between the out-year budgeting/funding of future enhancements, and 

the development of an accurate and complete enhancement implementation schedule. 

1.4 TRACKING OF ASSESSMENT RESULTS

It is expected that the results of each completed assessment will be verified and validated 

to ensure adequacy and accuracy. Once these actions are completed, a licensee should 

determine what method(s) will be employed to track implementation of corrective actions 

and enhancements identified by an assessment. Each corrective action and enhancement 

should have an estimated completion date; some may be sufficiently complex to require 

development of project or change management plans, and associated schedules.

In accordance with the requirements of 10 CFR 50, Appendix B, a Condition Adverse to 

Quality identified during an assessment must be entered into a corrective action program.
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Table 1.1

Summary of Licensee Actions for Responding to NRC Information Requests Related to EP

Action 

# Action EP Rule Phase 1 Phase 2

1 Assess staffing for responding to events defined in 

EP Rule Interim Staff Guidance (ISG) (see Note 2); 

assessment performed in accordance with NEI 10-05. 

[Applicable to all sites.]

 Due December 24, 

2012

 Provide per EP 

Rule ISG (see 

Note 1)

2 Provide an alternative course of action for responding 

to the Letter. Consider use of standard response 

template from NEI. 

[Applicable to all sites.]

Provide within 60 

days of letter date. 

3 Communications - provide information on interim 

actions; respond to Information Request #2. 

[Applicable to all sites.]

Provide within 90 

days of letter date. 

4 Staffing - provide information on augmented staff 

notifications, methods of site access and interim 

actions; respond to Information Requests #3, #4 and 

#5. 

[Applicable to all sites.]

Provide within 90 

days of letter date. 

Note 1 - NSIR/DPR-ISG-01, Interim Staff Guidance, Emergency Planning for Nuclear Power Plants
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Action 

# Action EP Rule Phase 1 Phase 2

5 Communications – perform and provide an 

assessment to identify enhancements that may be 

needed to ensure communications are maintained 

during a large-scale external event meeting the 

conditions described in the standard assumptions. 

Refer to Section 4 of this document for assessment 

guidance. Develop an implementation schedule. 

Respond to Requests #1 and #3. 

[Applicable to all sites.] 

 Complete by 

September 28, 

2012

 Provide by 

October 31, 2012

6 Staffing (phase 1) – perform and provide an 

assessment of the on-site and augmented staff needed 

to respond to a large-scale external event meeting the 

conditions described in the standard assumptions, 

NOT including staffing needed to implement actions 

that address NRC Order Modifying Licenses with 

Regard to Requirements for Mitigation Strategies for 

Beyond-Design-Basis External Events (EA-12-049). 

Refer to Section 3 of this document for guidance. 

Develop an implementation schedule for staffing 

changes, and identify changes to the emergency plan. 

Respond to Requests #1, #2 and #6. 

[Applicable to multi-unit sites. See Note 2.]

 Complete by 

March 29, 2013

 Provide by April 

30, 2013

Note 2 - Single-unit plants do not need to provide a phase 1 staffing assessment in response to the 50.54(f) letter as performance of this 

activity is governed by the recent EP Rule and existing license requirements.
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Action 

# Action EP Rule Phase 1 Phase 2

7 Staffing (phase 2) – perform and provide an 

assessment of the staffing necessary to implement 

actions that address NRC Order Modifying Licenses 

with Regard to Requirements for Mitigation 

Strategies for Beyond-Design-Basis External Events

(EA-12-049). Perform assessment in conjunction 

with the development of procedures or guidelines that 

address the Order. Refer to Section 3 of this 

document for guidance.

Develop an implementation schedule for staffing 

changes, and identify changes to the emergency plan. 

Respond to Requests #1, #2 and #6. 

[Applicable to all sites.]

Provide no later than 

four (4) months prior 

to the beginning of 

the second refueling 

outage [as used 

within the context of 

NRC Order EA-12-

049]
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2 ASSESSMENT ASSUMPTIONS

2.1 PURPOSE

Assessments pursuant to Enclosure 5 of the Letter should be performed using the 

assumptions contained in this section. The use of these assumptions will help ensure that 

the requested information, including the identification of future enhancements, is

developed consistent with industry standards, and NRC regulations and guidance. 

2.2 ASSUMPTIONS COMMON TO BOTH ASSESSMENTS

1. A large-scale external event occurs that results in:

 all on-site units affected

 extended loss of AC power

 impeded access to the units

2. Initially, all on-site reactors are operating at full power and are successfully shut 

down.

3. A Hostile Action directed at the affected site does not occur during the period that 

the site is responding to the event.

4. The event impedes site access as follows:

A. Post event time: 6 hours – No site access. This duration reflects the time 

necessary to clear roadway obstructions, use different travel routes, mobilize 

alternate transportation capabilities (e.g., private resource providers or public 

sector support), etc. 

B. Post event time: 6 to 24 hours – Limited site access. Individuals may access 

the site by walking, personal vehicle or via alternate transportation capabilities

(e.g., private resource providers or public sector support). 

C. Post event time: 24+ hours – Improved site access. Site access is restored to a 

near-normal status and/or augmented transportation resources are available to 

deliver equipment, supplies and large numbers of personnel.

Each licensee should identify transportation and site access-enhancing methods in 

accordance with Section 3.9 of this document, and include this information in the 

response to Staffing Information Request #4. The Information Request #4 

response should also include an overview discussion of how the identified 

methods will be implemented following a beyond design basis external event.

A staffing assessment may utilize a “no site access” end time of less than 6 hours

and greater than or equal to 4 hours, if supported by a documented basis. This

basis should include a discussion of the site-specific transportation-related

resources and capabilities, and related supporting arrangements, which provide 

assurance that augmented staff would be available on the site starting at the time 
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used in the assessment. These resources and capabilities could be provided by

Company-internal, private or public sources (including vehicles and aircraft, such 

as helicopters from military and National Guard organizations). All arrangements 

with the anticipated service providers should be documented (e.g., Letter of 

Agreement, contract, etc.).

A staffing assessment may not utilize a “no site access” end time of less than 4 

hours. 

2.3 ASSUMPTIONS FOR STAFFING ASSESSMENT

1. On-shift personnel are limited to the minimum complement allowed by the site 

emergency plan (i.e., the minimum required number for each required position). 

This would typically be the on-shift complement present during a backshift, 

weekend or holiday.

2. The phase 1 staffing assessment (for licensee Action #6 of Table 1.1) should 

consider the applicable actions from the Station Blackout (SBO) coping strategies 

in place at the time of the assessment. Such actions may include the shedding of 

non-essential battery loads, use of portable generators or batteries, opening room 

and cabinet doors, water/coolant conservation or makeup using portable 

equipment, etc. These actions do not include those associated with cross-tying 

AC power sources or electrical distribution busses between units since, as stated 

in assumption number 2.2.1, all on-site units are experiencing an extended loss of 

AC power.

Following the accident at Fukushima Daiichi, the Institute of Nuclear Power 

Operations (INPO) issued three Event Reports (referred to IERs)4 requiring the 

assessment and implementation of a range of actions intended to improve the 

capabilities for responding to a beyond design basis event and an extended loss of 

AC power, including events that impact the cooling of spent fuel. The staffing 

assessments performed in response to the NRC letter should include consideration 

of those IER improvement actions already implemented at the time of the 

assessment (e.g., incorporated into plant procedures). 

Sites with existing strategies for responding to an extended loss of AC power 

affecting all on-site units should consider those actions in their phase 1 staffing 

assessment. 

2.4 ASSUMPTIONS FOR COMMUNICATIONS ASSESSMENT

1. Installed sources of AC power, including alternate AC power sources, are not 

available. These power sources are typically classified as safety-related or 

governed by augmented quality requirements.

 4 See IER L1-11-1, Fukushima Daiichi Nuclear Station Fuel Damage Caused by Earthquake and Tsunami (including 

Supplement 1); IER L1-11-2, Fukushima Daiichi Nuclear Station Spent Fuel Pool Loss of Cooling and Makeup; and 

IER L1-11-4, Near-Term Actions to Address the Effects of an Extended Loss of All AC Power in Response to the 

Fukushima Daiichi Event.
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2. Nonessential loads from DC battery buses are stripped in accordance with plant 

emergency or abnormal operating procedures, or other response guidelines to 

extend battery life. 

3. Installed inverters and battery chargers remain available provided they are 

protected from external events consistent with the current station design. If the 

flood protection walk-downs performed in response to NTTF Recommendation 

2.3 identify a lack of sufficient flood protection margin, the communications 

assessment should be updated to reflect the potentially lost equipment. A 

regulatory submittal of the updated assessment is not required. 

4. On-site diesel fuel oil is available provided that it is stored in a manner protected 

from external events consistent with the current station design. If the flood 

protection walk-downs performed in response to NTTF Recommendation 2.3 

identify a lack of sufficient flood protection margin, the communications 

assessment should be updated to reflect the potentially lost fuel oil. A regulatory 

submittal of the updated assessment is not required.

5. Portable equipment staged for implementation of accident management strategies 

(e.g., SAMG and EDMG) may be used provided it is stored on-site; is reasonably 

protected from seismic, wind, and flooding events5

; is maintained through 

programmatic controls; and has implementing actions specified in existing 

procedures or guidelines. This includes use of portable AC and DC power 

sources.

6. On-site communications infrastructure remains available provided that the 

credited components are reasonably protected from seismic, wind, and flooding 

events; maintained through programmatic controls; have a power source 

consistent with the other assumptions in this section; and employed in accordance 

with implementing actions specified in existing procedures or guidelines.

7. Offsite infrastructure supporting communications systems is inoperable in the 

area surrounding the site (e.g., cellular telephone or microwave towers, telephone 

central office buildings, telephone lines, etc.). A licensee has two options for 

determining the affected area.

 Apply a default distance value, in all directions, of approximately 25 miles 

from the plant site, OR

 Develop a site-specific distance assumption and document the basis.

Communications infrastructure in locations beyond the area defined above is not 

significantly impacted by the event.

8. Communications equipment located at an offsite response facility, and supplied 

from a backup power source, is assumed to be functional. The availability of this 

equipment must be determined in conjunction with Assumption #7, above. For 

 5 Consider protection criteria presented in regulatory and industry guidance applicable to equipment associated with 

NRC Order Modifying Licenses with Regard to Requirements for Mitigation Strategies for Beyond-Design-Basis 

External Events.
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example, a diesel generator-powered satellite telephone system at an Emergency 

Operations Center (EOC) located 4 miles from the plant would be available since 

the system does not rely upon ground-based communications infrastructure within 

the affected area. A land-line telephone in the same EOC would not be available 

due to local infrastructure impacts consistent with Assumption #6.
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3 RESPONSE STAFFING STUDY

3.1 OVERVIEW OF A BEYOND DESIGN BASIS EXTERNAL EVENT RESPONSE

Following the occurrence of a significant off-normal event, on-shift personnel will 

declare an emergency and respond in accordance with the site emergency plan. At an 

Alert or higher emergency classification level, plan implementation will include 

notification of some or all of the augmenting Emergency Response Organization (ERO). 

In accordance with existing regulations and guidance, an augmented ERO is capable of 

responding to any design basis event affecting the site. 

To promote a common understanding of the terminology used in this document, and the 

associated assessment concepts developed therein, a simplified framework for responding 

to a beyond design basis external event causing an extended loss of AC power is 

presented in Figure 3.1. From this Figure, the following observations are drawn.

Conditions 

at All 

Units

A beyond design basis external event has occurred which causes an extended loss 

of AC power affecting all on-site units.

Response 

Phases

For purposes of a staffing assessment, the response to the stipulated conditions 

may be divided into 3 phases. 

• Initial Phase6 - Implementation of strategies that generally rely upon 

installed plant equipment. 

• Transition/Final Phases

7 – Implementation of strategies that involve the use 

of portable equipment and consumables to extend the coping period, and 

maintain or restore the functions of core cooling, containment, and spent 

fuel pool cooling.

• Contingency Phase – In the event that coping actions are not successful, 

implementation of strategies intended to arrest incipient or ongoing fuel 

damage, protect containment and minimize radiological releases.

Operating

Procedures

As appropriate to the 3 Response Phases discussed above, plant operators and 

ERO members would employ mitigation strategies and equipment in accordance 

with the following procedure sets.

• Emergency Operating Procedures (EOPs)8 – Procedures developed in 

accordance with existing regulatory and industry guidance.

• [Procedure Type TBD by Owners Groups] – These are procedures that will 

be developed to implement Transition Phase and Final Phase coping 

strategies using portable equipment and consumables. 

• Severe Accident Management Guidelines (SAMGs) – Guidelines developed 

in accordance with existing regulatory and industry guidance.

 6 INPO documents may refer to this phase as Primary coping.

7 INPO documents may refer to the Transition Phase as Secondary coping. 8 This includes site-specific Abnormal Operating Procedures if applicable.
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Mitigation 

Equipment

The mitigation equipment used for responding to the stipulated unit conditions 

may be divided into 2 categories. 

• Installed Systems, Structures and Components (SSCs). 

• On-site and offsite portable equipment and consumables that augment plant 

SSCs. Equipment of this type would be used in accordance with procedures 

or guidelines developed to implement strategies for Transition Phase or 

Final Phase coping, or Severe Accident Management (SAM)

9

. Examples 

within this category include portable equipment such as pumps, generators, 

batteries, air bottles, hoses, cables, etc. 

Fuel Status The status of irradiated fuel during the stipulated unit conditions may be divided 

into 2 states.

• During successful implementation of Initial Phase, Transition Phase and 

Final Phase coping strategies, irradiated fuel will be adequately cooled such 

that no damage occurs. 

• If coping actions cannot be effectively implemented, then decay heat will

eventually cause damage to irradiated fuel. 

Emergency 

Response 

Staffing

The on-shift staff should be capable of implementing:

• Any and all Initial Phase coping strategies, and 

• Any site-specific Transition Phase coping strategies that cannot be affected 

by the augmented staff within the necessary timeframes.

Consistent with expected reporting times, the augmented staff should be capable 

of implementing Transition Phase coping strategies, and SAM strategies in the 

event that coping actions are unsuccessful in preventing fuel damage. 

Following successful implementation of Transition Phase coping strategies, there is a 

third phase characterized by the ability to cope indefinitely; this is referred to as the Final 

Phase. The Final Phase would involve the use of equipment and consumables transported 

to the site from offsite locations, including ongoing replacement and replenishment as 

needed. Given that a large number of staff resources from offsite locations would be 

available during this phase, that these resources could be transported to the site using the 

same methods employed to move equipment and supplies, and that the on-site staff will 

have completed implementation of Transition Phase coping actions and thus most will be 

available to assist implementation of Final Phase actions, the demands placed upon the 

licensee staff during this phase is not expected to exceed that associated with 

implementation of Transition Phase coping10.

3.2 ASSESSMENT OF ON-SHIFT STAFFING FOR A BEYOND DESIGN BASIS EXTERNAL EVENT 

AFFECTING MULTIPLE UNITS

Section IV.A.9 of 10 CFR 50, Appendix E, states that nuclear power reactor licensees 

shall perform “a detailed analysis demonstrating that on-shift personnel assigned 

emergency plan implementation functions are not assigned responsibilities that would 

 9 May include equipment used to implement EDMG/B.5.b strategies.

10 The exact nature of any Final Phase response procedures has not been defined at the time of the development of 

this document. Depending upon the scope of such procedures, and the prevailing conditions under which they may 

be used, some assessment of the associated staffing may be necessary.
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prevent the timely performance of their assigned functions as specified in the emergency 

plan.” The methodology described in NEI 10-05, Assessment of On-Shift Emergency 

Response Organization Staffing and Capabilities, provides a structured approach for 

meeting this requirement. The use of NEI 10-05 to perform an on-shift staffing analysis 

is endorsed in NSIR/DPR-ISG-01, Interim Staff Guidance Emergency Planning for 

Nuclear Power Plants.

While NSIR/DPR-ISG-01 and NEI 10-05 address a Station Blackout (SBO) affecting a 

single-unit site, and one unit on a multi-unit site, they do not consider the scenario of an 

extended loss of AC power affecting all units on a multi-unit site. Licensees of multi-unit 

sites should perform an assessment of this scenario using the assumptions listed in 

Section 2 and the methodology provided in NEI 10-05 (i.e., the phase 1 staffing 

assessment). In particular, the assessment should determine the ability of the on-shift 

staff to implement Initial Phase coping actions and, consistent with the site access 

assumption presented in Section 2.2, any Transition Phase actions that must be performed 

prior to the end of the “no site access” time period.

The phase 1 staffing assessment should consider the applicable actions from the Station 

Blackout (SBO) coping strategies in place at the time of the assessment. Such actions 

may include the shedding of non-essential battery loads, use of portable generators or 

batteries, opening room and cabinet doors, water/coolant conservation or makeup using 

portable equipment, etc. These actions do not include those associated with cross-tying 

AC power sources or electrical distribution busses between units since, as stated in 

assumption number 2.2.1, all on-site units are experiencing an extended loss of AC 

power.

Following the accident at Fukushima Daiichi, the Institute of Nuclear Power Operations 

(INPO) issued three Event Reports (referred to IERs) requiring the assessment and 

implementation of a range of actions intended to improve the capabilities for responding 

to a beyond design basis event and an extended loss of AC power, including events that 

impact the cooling of spent fuel. The staffing assessments performed in response to the 

NRC letter should include consideration of those IER improvement actions already 

implemented at the time of the assessment (e.g., incorporated into plant procedures).

Sites with existing strategies for responding to an extended loss of AC power affecting all 

on-site units should consider those actions in their phase 1 staffing assessment.

The staffing assessment should consider if the ability of the on-shift staff to perform any 

required emergency response functions would be degraded or lost prior to the arrival of 

the augmented ERO (in accordance with assumption 2.2.4). 

The results from this assessment should be included in the licensee response described in 

Action #6 of Table 1.1.

3.3 EXISTING AUGMENTED STAFFING FOR RESPONDING TO A MULTI-UNIT EVENT 

Emergency plans are developed to meet the planning standards presented in 10 CFR 

50.47(b). Some of these planning standards are related to emergency preparedness

activities (i.e., program planning and maintenance) while others refer to emergency 
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response actions (i.e., those performed during and following an event). The augmented 

staffing needed to perform the emergency response functions associated with several of 

these planning standards is not affected by whether or not the initiating event is within 

the plant design basis. In other words, the augmented staffing required to perform these 

functions following a within or beyond design basis external event would not be 

significantly different.

A detailed review of the event timeline and lessons learned from the accident at 

Fukushima Daiichi was performed to identify those response functions that can be 

adequately performed by the augmented ERO staffing which addresses current 

regulations and guidance. This staffing is described in existing site emergency plans and 

implementing procedures. The review determined that existing augmented EROs are 

capable of performing the following response functions following a beyond design basis 

external event. 

 Command and control (i.e., the senior manager) in all emergency response facilities

 On-site radiological assessments and direction of protective measures (e.g., 

respirators, dosimetry, KI, etc.)

 Offsite radiological assessment (i.e., dose projections)

 Formulation of Protective Action Recommendations (PARs)

 Offsite monitoring and environmental sampling

 Environmental sample analysis

 Emergency Notifications System (ENS) and Health Physics Network (HPN) 

communications

 Support functions including logistics, licensing, industry coordination, purchasing 

and inventory/materials

 Emergency public information

3.4 EXPANDED RESPONSE CAPABILITY FOR RESPONDING TO A MULTI-UNIT EVENT

As discussed above, a licensee maintains provisions for mobilizing qualified personnel to 

assist the on-shift staff in responding to more serious events and accidents. These 

personnel, typically referred to as the augmented ERO, are capable of performing a wide 

range of functions necessary for responding to a radiological emergency, up to and 

including a severe accident involving fuel damage. This capability notwithstanding, the 

on-site ERO at a multi-unit site is designed to respond to a design basis accident affecting 

a single unit. 

A typical augmented ERO for a multi-unit site would be challenged to effectively 

respond to a beyond design basis external event that resulted in an extended loss of AC 

power affecting more than one unit. In an event of this magnitude, it would be necessary 

to “expand” the capability of the augmented ERO in order to facilitate timely and 
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effective performance of critical emergency response functions. Based on a detailed 

review of the event timeline and lessons learned from the accident at Fukushima Daiichi, 

it was determined that the focus of this “expanded response capability” should be 

enabling the performance of unit-specific accident assessment and mitigation functions.

To be effective, an expanded response capability should encompass those functions 

necessary for preventing damage to irradiated fuel, or if such damage occurs, minimizing 

radiological releases. The selected functions must directly support the assessment and 

implementation of a range of mitigation strategies intended to maintain or restore the 

functions of core cooling, containment, and spent fuel pool cooling. Tables 3.1 and 3.2

list the emergency response functions identified by the NEI Beyond Design Basis Event 

Response Staffing Study Task Force as meeting these requirements. 

Tables 3.1 and 3.2 also provide recommended staffing considerations for each listed 

function. This staffing will promote timely evaluation of accident conditions and 

mitigation strategies, and facilitate subsequent performance of mitigation actions, for 

each affected unit. Using the recommended staffing approach will also obviate issues 

associated with the assignment of collateral duties11. If necessary, a licensee may 

develop a site-specific alternative approach to the recommended staffing; however, a 

basis for the alternative approach should be provided. 

The staffing required for implementation of SAM strategies will vary from site to site 

depending upon several factors. As noted in Table 3.1, a licensee should review the 

range of strategies applicable to each unit (e.g., depressurizing steam generators or 

injecting into the Reactor Pressure Vessel using a specific water source), and identify the 

two strategies for each unit that require the greatest number of staff to implement within 

time periods compatible with successful performance. The number and composition of 

the individuals identified by this review comprise the minimum staffing for this function.

For purposes of assessing augmented staffing, it is assumed that the on-shift staff 

successfully performs all Initial Phase, and any required Transition Phase, coping actions. 

Consistent with the site access assumption presented in Section 2.2, the assessment 

should determine the ability of the augmenting staff to implement Transition Phase 

coping strategies performed after the end of the “no site access” time period.

The staffing required for implementation of Transition Phase coping strategies will vary 

from site to site depending upon several factors. As noted in Table 3.2, a licensee should 

review the range of strategies applicable to each unit (e.g., depressurizing steam 

generators or injecting into the Reactor Pressure Vessel using a specific water source), 

and identify the two strategies for each unit that require the greatest number of staff to 

implement within time periods compatible with successful performance. The number and 

composition of the individuals identified by this review comprise the minimum staffing 

for this function.

Table 3.1 also specifies the staffing necessary to support the simultaneous deployment of 

emergency repair and corrective action teams to each affected unit. The availability of 

this staffing will promote timelier restoration of installed plant safety systems to service 

 11 Refer to NRC Letter, Enclosure 5, staffing information request #1.
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and facilitate implementation of component modifications necessary to utilize equipment 

brought-in from offsite locations.

3.5 POSITION-SPECIFIC ASSESSMENT GUIDANCE 

3.5.1 On-Site Radiation Protection Technicians

Following a beyond design basis external event, on-site Radiation Protection (RP) 

Technicians should be available in sufficient numbers to support performance of assigned 

emergency plan functions and the expanded response capability. The equation below 

should be used to determine the required number of on-site RP Technicians (RPTs):

RPTT = RPTCOP + RPTRCA + RPTNC

Where:

RPTT = Total required number of on-site RP Technicians

RPTCOP = Number needed to support implementation of any 2 extended 

loss of AC power coping strategies per unit. Determine this 

number by reviewing strategies for each unit.

RPTRCA = Number needed for repair and corrective action

= 2 x the number of units

RPTNC = Number of on-site RP Technicians performing other 

emergency plan functions that would preclude them from 

performing job coverage for extended loss of AC power

coping, repair or corrective action teams.

In the event of fuel damage, prevailing dose rates would likely require that the site’s RP 

Technician complement be augmented with technicians from outside sources. A licensee 

should verify that provisions exist for obtaining additional RP Technicians (e.g., from 

other fleet or alliance sites, INPO emergency resources manual, contracted service 

providers, etc.). 

3.5.2 Administrative Support Personnel

A licensee should determine if current assignments and locations of administrative 

support personnel are adequate for implementation of the expanded response capability, 

and identify necessary changes.

3.6 STAFFING FOR EXPANDED RESPONSE FUNCTIONS 

A licensee should ensure the availability of a sufficient number of personnel to perform

expanded response functions. This may be done in several ways, including:
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 Assign responsibilities to existing ERO positions. Per NRC Letter staffing 

information request #1, the potential impacts from the assignment of new collateral 

duties should be assessed. 

 Establish provisions for calling out additional individuals from the existing 

augmented ERO staff (e.g., calling out 2 engineering teams at a 2-unit site). 

 Select and qualify additional personnel. Sources of additional staffing include site, 

corporate or contracted personnel. Site Security Department resources may also be 

considered.

 Consider the application of remote data access, meeting and other communications 

technologies to support the availability of required staffing.

Personnel identified by the staffing assessment as necessary for performing a planned or 

expected response action (e.g., an action described in a procedure or guideline) should be 

provided with appropriate training. Licensees should consider the applicability of the

training requirements specified in 10 CFR 50, Appendix E, and related guidance.
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3.7 WORK AREAS FOR PERSONNEL PERFORMING EXPANDED RESPONSE FUNCTIONS

A licensee should identify additional work areas necessary for the performance of 

expanded response functions. The use of alternate emergency response facilities should 

be considered.

3.8 ACTIVATING AN EXPANDED RESPONSE CAPABILITY

In accordance with the assumptions stated in Section 2, an expanded response capability

will be needed following a beyond design basis external event that results in an extended 

loss of AC power affecting multiple units on a site. A licensee should develop an 

implementing strategy to integrate the expanded response capability into the existing 

augmented ERO (i.e., put in place the ability to transition to unit-specific performance of 

the functions listed in Tables 3.1 and 3.2). Such a strategy would include decisionmaking criteria for initiating the actions necessary to ensure timely performance of 

expanded response functions. 

Suggested criteria for requiring activation of an expanded response capability would 

include: 

 Loss of ALL offsite and ALL on-site power sources to AC emergency busses at more 

than 1 unit, OR 

 Plant parameters or conditions require implementation of SAM strategies for more 

than 1 unit.

3.9 MOBILIZATION OF EXPANDED RESPONSE CAPABILITY STAFFING

Personnel performing expanded response functions should report to the site as soon as 

possible and within a timeframe sufficient to support implementation of those Transition 

Phase coping strategies which are not assigned to the on-shift staff. This will ensure that 

the functions of core cooling, containment, and spent fuel pool cooling are continuously 

maintained. Staff mobilization strategies should be developed that support this goal.

Licensees should identify appropriate alternate transportation resources and access 

enhancing measures that would be used to facilitate timely staff augmentation during or 

following an event that causes impeded access to the site. Resources of this type will

vary depending upon the location of the site, and may include helicopters, all-terrain 

vehicles, boats or transportation resources provided by military organizations. A listing 

of resource providers should be developed and made available to appropriate ERO 

personnel (e.g., in an emergency response telephone directory). Some arrangements may 

require a written agreement (e.g., Letter of Agreement, Memorandum of Understanding, 

contract, etc.).

The goal is to identify potential methods that would facilitate access to the site by the 

augmented staff following a beyond design basis external event. Information concerning 

alternate transportation resources and access enhancing measures should be included in 

the response to Staffing Requested Information #4. This response should also include an 
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overview discussion of how the identified methods will be implemented following a 

beyond design basis external event.

3.10 CONSIDERATIONS FOR PROGRAM DOCUMENTS

The capability for responding to a beyond design basis external event does not need to be 

described in the emergency plan. 

A licensee may choose to incorporate implementing instructions for expanded response 

functions into emergency plan implementing procedures, and/or extended loss of AC 

power, SAM or other program documents.

Development of, and changes to, procedures or guidelines that implement extended loss 

of AC power and SAM strategies should be assessed to determine if emergency response

staffing levels are impacted. The establishment of appropriate administrative controls 

should be considered.

 

A licensee should determine if any changes are necessary to documents describing the 

emergency response drill and exercise program. In particular, standard objectives and 

extent-of-play may need to be revised to clarify the expected demonstration of functions

that are dependent upon the type of scenario event or accident (i.e., within or beyond 

design basis, and number of affected units). For example, functions associated with an 

expanded response capability would not be demonstrated during a drill or exercise that 

involved a design basis accident affecting only one unit.
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Table 3.1

Expanded Response Functions for Phase 1 Staffing Assessment

Expanded Response 

Function

Typical

Location Key Roles and Staffing Considerations

Unit Response Coordination TSC • Overall cognizance of the activities related to implementation of repair and 

corrective actions, and implementation of Transition Phase coping and Severe 

Accident Management (SAM) strategies for an assigned unit

• One individual per unit; individuals should not be assigned other functions

Operations Coordination TSC • Provides coordination of Operations staff and support for an assigned unit

• One individual per unit; individuals should not be assigned other functions

Maintenance Coordination TSC or OSC • Provides coordination of Maintenance staff and support for an assigned unit

• One individual per unit; individuals should not be assigned other functions

Engineering Coordination TSC or EOF • Provides coordination of Engineering staff and support for an assigned unit

• One individual per unit; individuals should not be assigned other functions

Engineering Assessments TSC or EOF • One team for each unit to perform engineering assessments in support repair and 

corrective actions

• Team composition (i.e., number and represented disciplines) as described in the 

emergency plan

• Team may include personnel responsible for performing other functions for the 

same assigned unit
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Expanded Response 

Function

Typical

Location Key Roles and Staffing Considerations

Evaluation of Severe 

Accident Management (SAM) 

Strategies

TSC or EOF • One team for each unit to evaluate selection of SAM strategies; team performs 

evaluations not done by Control Room personnel

• Team composition (i.e., number and represented disciplines) as described in 

governing site programs, procedures and guidelines

• Team may include personnel responsible for performing other functions for the 

same assigned unit

Unit In-Plant Team 

Coordination 

OSC • Overall cognizance of on-site and in-plant teams performing or supporting repair 

and corrective actions for an assigned unit

• One individual per unit; individuals should not be assigned other functions

Non-Licensed Operators OSC • Two individuals per unit to assist with implementation of repair and corrective 

actions

• Should not include members of the on-shift staff

Mechanical Maintenance 

Repair and Corrective Action

OSC • Two individuals per unit to implement repair and corrective actions 

• Staffing may include an on-shift individual (i.e., 2 individuals for a unit 

composed of 1 on-shift and 1 augmented)

Electrical Maintenance Repair 

and Corrective Action 

OSC • Two individuals per unit to implement repair and corrective actions 

• Staffing may include an on-shift individual (i.e., 2 individuals for a unit 

composed of 1 on-shift and 1 augmented) 

I&C Repair and Corrective 

Action 

OSC • Two individuals per unit to implement repair and corrective actions 

• Staffing may include an on-shift individual (i.e., 2 individuals for a unit 

composed of 1 on-shift and 1 augmented) 

Implementation of SAM 

Strategies

OSC • Number and composition of personnel capable of simultaneous implementation of 

any 2 SAM strategies at each unit 

• Should not include personnel assigned to other functions (e.g., emergency repair 

and corrective actions); however, may include members of the on-shift staff and 

personnel responsible for implementation of Transition Phase coping strategies
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Table 3.2

Expanded Response Functions for Phase 2 Staffing Assessment

Expanded Response 

Function

Typical

Location Key Roles and Considerations

Evaluation of Transition 

Phase Coping Strategies

TSC or EOF • One team for each unit to evaluate selection of Transition Coping strategies; team 

performs evaluations not done by Control Room personnel

• Team composition (i.e., number and represented disciplines) as described in 

governing site programs, procedures and guidelines

• Team may include personnel responsible for performing other functions for the 

same assigned unit

Implementation of Transition 

Phase Coping Strategies

OSC • Number and composition of personnel capable of simultaneous implementation of 

any 2 Transition Phase coping strategies at each unit

• Should not include personnel assigned to other functions (e.g., emergency repair 

and corrective actions); however, may include members of the on-shift staff and 

personnel responsible for implementation of SAM strategies
NEI 12-01 (Revision 0)

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Figure 3.1

Simplified Framework for Responding to an Extended Loss of AC Power Event

25

Figure 3.1

Simplified Framework for Responding to an Extended Loss of AC Power Event

Augmented Staff

(Implement Transition Phase coping strategies or SAMGs, if necessary)

Procedure Type TBD by Owners Groups SAMGs

Installed SSCs Augmented by Other Equipment

(e.g., portable pumps, generators, etc.)

Fuel Status Irradiated Fuel Damage

Mitigation

Equipment

Operating

Procedures

Emergency 

Response 

Staffing

Conditions at

All Units

Initial Phase Transition/Final Phases Contingency Phase

Installed SSCs

(per plant design)

Emergency Operating Procedures

No Irradiated Fuel Damage

Extended Loss of AC Power

Response Phases

On-Shift Staff

(Implement Initial Phase and sitespecific required Transition Phase 

coping strategies)

T2

If Transition Phase strategies are successful, 

the event will eventually move into the 

Final Phase. The Contingency Phase is

entered only if Transition Phase strategies 

are not successful.

T1

End of Initial Phase coping period
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4 COMMUNICATIONS DURING AN EXTENDED LOSS OF AC POWER

4.1 REQUIRED EMERGENCY COMMUNICATIONS CAPABILITIES

Consistent with emergency planning standard requirements, communications systems and 

equipment associated with the following emergency response functions should be 

available during an extended loss of AC power. Availability should be determined after a 

review of existing capabilities and consistent with the assumptions listed in Section 2. In 

particular, it is important that the primary and backup (if applicable) power source for 

each communications system or piece of equipment be identified.

End-point equipment identified for a communications link listed below should be used 

solely for the purpose indicated. For example, a satellite telephone assigned to the 

Control Room should not be credited for performing both Offsite Response Organization 

(ORO) and NRC notifications. 

When performing this assessment, consideration should be given to the desirability of 

providing some communications capabilities in alternate facilities at offsite locations 

instead of their normal locations in on-site facilities.

4.1.1 Notifications to, and communications with, OROs [per 10 CFR 50 Appendix E.IV.D and 

E.9.a]

Emergency Response Facility Minimum Communications Links

Control Room 1 per Control Room for Shift Communicator

Technical Support Center12 (TSC) 1 for Key TSC Communicator

Emergency Operations Facility (EOF) 1 for Key EOF Communicator

4.1.2 Notifications to, and communications with, the Nuclear Regulatory Commission (NRC) 

Headquarters Incident Response Center and the appropriate NRC Regional Office 

Operations Center [per 10 CFR 50 Appendix E.IV.D and E.9.d]

Emergency Response Facility Minimum Communications Links

Control Room 1 per Control Room for ENS Communicator

Technical Support Center (TSC) 1 for ENS Communicator

Location(s) where HPN 

communications are performed

1 for HPN Communicator

4.1.3 Communications between licensee emergency response facilities [per 10 CFR 50 

Appendix E.9.c. Additional links that support performance of critical response functions 

are also specified.] The minimum communications links to support this function are 

listed below by facility. For example, if the normally used telephone system cannot be 

restored to service, these links could rely upon some combination of radio, sound-

 12 If applicable per the site Emergency Plan. 
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powered and satellite-based communications systems.

Emergency Response Facility Minimum Communications Links

Control Room 1 per unit

Technical Support Center (TSC) 1 each for:

• Senior/Lead TSC Manager

• Operations Coordination

• Maintenance Coordination

• Engineering Coordination

• Radiological Support

Additional response coordination links for 

multi-unit sites:

• 1 for each position providing Unit 

Response Coordination. 

Operational Support Center (OSC) 1 each for:

• Senior/Lead OSC Manager

• Radiological Support

Additional response coordination links for 

multi-unit sites:

• 1 for each position providing Unit InPlant Team Coordination.

Emergency Operations Facility (EOF) 1 each for:

• Senior/Lead Manager

• Key Protective Measures

• Operations or Technical Support (as 

needed to support performance of 

dose projections, formulation of PARs 

and plant status updates to ORO 

authorities). 

Joint Information Center (JIC) 1 for Senior Manager

4.1.4 Communications with field/offsite monitoring teams [per 10 CFR 50 Appendix E.9.c]

Emergency Response Facility Minimum Communications Links

Primary location where field/offsite 

monitoring team coordination is 

performed 

Field/offsite monitoring team coordination

Primary location from which field/ 

offsite monitoring teams are deployed

1 for each field/offsite monitoring team
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4.1.5 Communications with other Federal agencies as described in the site emergency plan 

(e.g., the US Coast Guard) [per 10 CFR 50 Appendix E.9.b]

Emergency Response Facility Minimum Communications Links

Primary location where 

communication with Federal agencies 

is performed 

Coordination with Federal agencies

4.1.6 Coordination and direction of on-site and in-plant response teams. This includes teams 

necessary to affect emergency repairs, firefighting, search and rescue, radiological 

monitoring, and implementation of Transition Phase coping and severe accident 

management strategies. To accommodate the timeline associated with NRC Order 

Modifying Licenses with Regard to Requirements for Mitigation Strategies for BeyondDesign-Basis External Events (as discussed in Section 1), this element should be assessed 

in 2 phases.

4.1.6.1 Phase 1 Assessment

Emergency Response Facility Minimum Communications Links

On-shift staff Number necessary for the on-shift staff to 

perform Initial Phase coping actions 

Operational Support Center (OSC) 

and other site-specific locations as 

necessary

1 each for:

• On-site radiological monitoring

2 each for:

• Firefighting (1 for brigade leader and

1 for the brigade)

2 each per unit for:

• In-plant radiological monitoring

• Search and Rescue

• Emergency repairs

Site-specific number needed to implement 

any 2 severe accident mitigation strategies

The results from this assessment should be included in the licensee response described in 

Action #5 of Table 1.1.
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4.1.6.2 Phase 2 Assessment

Emergency Response Facility Minimum Communications Links

Operational Support Center (OSC) 

and other site-specific locations as 

necessary

Site-specific number needed to implement 

any 2 strategies developed in response to 

NRC Order Modifying Licenses with Regard 

to Requirements for Mitigation Strategies for 

Beyond-Design-Basis External Events

4.1.7 Other communications links based on site-specific needs identified during the assessment

4.2 PLANT PAGING (ANNOUNCEMENT) SYSTEM

NOTE

Perform this assessment if the plant paging (announcement) system is described in the 

site emergency plan as a method to communicate initial response instructions to the plant 

staff.

Because the assumed event would result in an initial declaration of a Site Area 

Emergency (at a minimum), all plant personnel would be directed to report to their 

assigned emergency response facilities or an assembly area, or exit the site. Once at an 

emergency response facility or assembly area, further communications to these 

individuals may be passed over the inter-facility communications links and provided via 

facility announcements. After the initial directions to plant personnel have been 

provided, the plant-paging system may be removed from service at any time as a means 

to extend battery life.

4.2.1 The following assessment actions should be performed. 

4.2.1.1 Determine if the plant-paging system (e.g., Gai-Tronics) is powered from a 

battery-backed source and would remain available to provide the initial 

emergency declaration and direction announcement to the plant staff. 

4.2.1.2 If the plant-paging system is powered from a battery-backed source, then no 

further action is required in this area.

4.2.1.3 If portions of the plant-paging system are not powered from a battery-backed 

source, then reasonable alternate methods should exist to provide emergency 

notification to the plant staff in the areas that would not receive an 

announcement. These methods should be capable of notifying essentially 

100% of the plant staff within approximately 30 minutes.

4.2.1.4 If the plant-paging system is not powered from a battery-backed source, then 

perform some combination of the following actions.
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1. Provide a battery-backed power source for all or portions of the plantpaging system.

2. Establish reasonable alternate methods as needed to provide emergency 

notification to the plant staff. These methods should be capable of 

notifying essentially 100% of the plant staff within approximately 30 

minutes.

4.3 COMMUNICATIONS EQUIPMENT AT ORO FACILITIES

Some communications capability should be available at the ORO facilities that normally 

receive licensee notifications of an emergency declaration or a Protective Action 

Recommendation (as described in the site emergency plan). Through discussions with 

ORO and other appropriate personnel, identify the communications equipment that would 

remain operable during an extended loss-of-grid event. This determination should be 

made consistent with the assumptions listed in Section 2.

4.4 NOTIFICATION OF THE EMERGENCY RESPONSE ORGANIZATION (ERO)

To promote timely staff augmentation by the ERO, licensees should verify the following:

 ERO members can be notified of the emergency using a method that would be 

operable under the assumed event conditions (e.g., satellite pagers), AND/OR

 ERO members are trained to automatically respond to their assigned facilities or a

designated staging area when made aware of an area wide loss-of-grid (e.g., by direct 

observation, media reports, word-of-mouth, etc.).

The information developed from this section should be included in the licensee response 

described in Action #4 of Table 1.1.

4.5 EQUIPMENT LOCATION REQUIREMENTS

To be assumed operable, a piece of on-site communications equipment should be in a 

location, and maintained in a manner, that maximizes survivability following a beyond 

design basis external event. In particular, the location or manner should reasonably 

preclude wetting from flooding or impact damage from a seismic event. The equipment 

itself does not need to be seismically qualified.

Equipment should be stored, or otherwise available, in locations that can be readily 

accessed when needed. To the degree practical, consider potential constraints to 

equipment access or movement when selecting a storage location.

When selecting storage locations, consider criteria presented in regulatory and industry 

guidance applicable to equipment associated with NRC Order Modifying Licenses with 

Regard to Requirements for Mitigation Strategies for Beyond-Design-Basis External 

Events (e.g., FLEX equipment). 

The above guidance applies to equipment at the point of use (e.g., a radio) as well as any 

supporting infrastructure components. Such components may include portable power 
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sources, and radio system repeaters and antennas.

4.6 PERFORMANCE CHARACTERISTICS

The assessment should confirm that the systems and equipment identified for usage will 

support communications among and between:

 Licensee emergency response facilities, including Security

 Field/offsite monitoring teams and the location controlling deployment of the teams 

(e.g., the EOF)

 The Shift Communicator, Key TSC and EOF Communicators, and the ORO contact 

points.

 ENS and HPN communicators and the NRC staff.

 On-site and in-plant teams and the location controlling deployment of the teams (e.g., 

the OSC) 

The assessment should also verify that a radio system(s) used by ERO personnel 

possesses the necessary design and operating characteristics to adequately support 

emergency communications.

Expected reliance upon “multi-use” equipment should be minimized. This means that 

communications equipment used to implement emergency response functions should not 

be relied upon to simultaneously support other functions (e.g., Security). In cases where 

multiple-usage is unavoidable, the assessment should consider the capability of the 

equipment to effectively perform under the expected conditions and the need for specific 

multi-use protocols.

4.7 OTHER ASSESSMENT CONSIDERATIONS

A portable backup AC power source for communications systems and components may 

be credited as operable provided that it is consistent with the assumptions and 

requirements discussed above, including location requirements. The assessment should 

consider the amount of power source fuel available on-site (e.g., available fuel will 

support the expected run time). 

For battery-operated equipment, there should be a sufficient number of on-site and 

charged batteries to support operation of required equipment. This number should be 

determined with consideration given to the following items.

 A sufficient number of charged batteries should be available at the start of an event to 

support performance of the required emergency response functions listed in Section 

4.1, Required Emergency Communications Capabilities. 

 Use the vendor’s stated minimum reliable operability period for a fully-charged 

battery. This information may be modified if supported by a documented basis.

 The availability of on-site battery charging capability. Credit may be given to power 

source(s) and battery charging equipment consistent with the assumptions and 
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requirements discussed above, including location requirements.

 Delivery of replacement batteries may be assumed to occur any time after T + 24

hours. The assessment should consider whether the batteries are delivered in a 

charged or uncharged state, and if uncharged, the time required for on-site charging.

Manual actions taken by emergency responders to facilitate the use of a particular means 

of communication may be credited provided that these actions are described in a response 

procedure or guideline. For example, radio communication relay zones may be employed 

if a procedure or guideline provides direction on where personnel need to be located and 

their equipment. The personnel necessary to implement these manuals methods should

be considered when determining required response staffing.

A licensee should coordinate with the Institute of Nuclear Power Operations (INPO) to 

identify communications equipment that may be obtained from industry sources and 

consider methods for making this information readily available to emergency managers.

4.8 QUALITY AND MAINTENANCE-RELATED REQUIREMENTS

Communications equipment, and related power sources and infrastructure, may be 

purchased and installed under the site requirements normally applied to other EP 

equipment. It is desirable that the equipment to be commonly available (e.g. commercial 

equipment) such that parts and replacements can be readily obtained.

Programmatic controls should be applied to all communications-related equipment to 

ensure availability and reliability, including the performance of periodic inventory checks 

and operability testing. 

Supporting contracts with vendors should be periodically verified.

The guidance contained in INPO 10-007, Equipment Important to Emergency Response, 

should be reviewed for applicability.

4.9 NATIONAL COMMUNICATIONS SYSTEM (NCS) SERVICES

To enhance overall communications capabilities, each licensee should verify that they 

have arrangements in place to utilize the services offered by the NCS to the degree 

possible. These services include access to the Government Emergency 

Telecommunications Service (GETS), the Telecommunications Service Priority (TSP) 

program and the Wireless Priority Service (WPS). Information concerning these services 

may be obtained from their web site - http://www.ncs.gov/

4.10 COMMUNICATIONS PROVIDER EMERGENCY SERVICES

To enhance overall communications capabilities, each licensee should verify that they 

have arrangements in place to utilize the emergency services offered by their 

communications service provider(s) to the degree possible. As one example, see services 

offered by Verizon -

http://www.verizonbusiness.com/Products/communications/emergency/
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4.11 PERSONNEL TRAINING

Response personnel should receive periodic training on the location and use of 

communications systems and equipment.
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5 REFERENCES

5.1 US Nuclear Regulatory Commission (NRC) letter, Request for Information Pursuant to 

Title 10 of the Code of Federal Regulations 50.54(f) Regarding Recommendations 2.1, 

2.3, and 9.3, of the Near-Term Task Force Review of Insights from the Fukushima DaiIchi Accident, dated March 12, 2012

5.2 SECY-11-0137, Prioritization of Recommended Actions to be taken in Response to 

Fukushima Lessons Learned, dated October 3, 2011

5.3 10 CFR § 50.47 Emergency plans – Section (b)

5.4 10 CFR § 50, Appendix B – Quality Assurance Criteria for Nuclear Power Plants and 

Fuel Reprocessing Plants

5.5 10 CFR § 50, Appendix E – Emergency Planning and Preparedness for Production and 

Utilization Facilities

5.6 NUREG 0696, Functional Criteria for Emergency Response Facilities

5.7 Federal Register Volume 76, Number 226; dated November 23, 2011; Pages 72560-

72600

5.8 NEI 10-05, Assessment of On-Shift Emergency Response Organization Staffing and 

Capabilities

5.9 NSIR/DPR-ISG-01, Interim Staff Guidance – Emergency Planning for Nuclear Power 

Plants

5.10 NUREG-0654, Criteria for Preparation and Evaluation of Radiological Emergency 

Response Plans and Preparedness in Support of Nuclear Power Plants

5.11 INPO 10-007, Equipment Important to Emergency Response