[Federal Register Volume 72, Number 52 (Monday, March 19, 2007)]
[Rules and Regulations]
[Pages 12705-12727]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 07-1317]


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NUCLEAR REGULATORY COMMISSION

10 CFR Part 73

RIN 3150-AH60


Design Basis Threat

AGENCY: Nuclear Regulatory Commission.

ACTION: Final rule.

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SUMMARY: The Nuclear Regulatory Commission (NRC) is amending its 
regulations that govern the requirements pertaining to the design basis 
threats (DBTs). This final rule makes generically applicable security 
requirements similar to those previously imposed by the Commission's 
April 29, 2003 DBT Orders, based upon experience and insights gained by 
the Commission during implementation, and redefines the level of 
security requirements necessary to ensure that the public health and 
safety and common defense and security are adequately protected. 
Pursuant to Section 170E of the Atomic Energy Act (AEA), the final rule 
revises the DBT requirements for radiological sabotage, generally 
applicable to power reactors and Category I fuel cycle facilities, and 
for theft or diversion of NRC-licensed Strategic Special Nuclear 
Material (SSNM), applicable to Category I fuel cycle facilities. 
Additionally, a petition for rulemaking (PRM-73-12), filed by the 
Committee to Bridge the Gap, was considered as part of this rulemaking. 
The NRC partially granted PRM-73-12 in the proposed rule, but deferred 
action on other aspects of the petition to the final rule. The NRC's 
final disposition of PRM-73-12 is contained in this document.

DATES: Effective Date: April 18, 2007.

FOR FURTHER INFORMATION CONTACT: Manash K. Bagchi, Office of Nuclear 
Reactor Regulation, U.S. Nuclear Regulatory Commission, Washington, DC 
20555-0001, telephone 301-415-2905, e-mail <a href="/cdn-cgi/l/email-protection#531e181161131d01107d141c05"><span class="__cf_email__" data-cfemail="bcf1f7fe8efcf2eeff92fbf3ea">[email protected]</span></a>.

SUPPLEMENTARY INFORMATION:

Table of Contents

I. Background
II. Analysis of Public Comments and Consideration of the 12 Factors 
of the Energy Policy Act of 2005
III. Summary of Specific Changes Made to the Proposed Rule as a 
Result of Public Comments
IV. Section by Section Analysis
V. Guidance
VI. Resolution of Petition (PRM-73-12)
VII. Criminal Penalties
VIII. Compatibility of Agreement State Regulations
IX. Availability of Documents
X. Plain Language
XI. Voluntary Consensus Standards
XII. Finding of No Significant Environmental Impact: Environmental 
Assessment: Availability
XIII. Paperwork Reduction Act Statement
XIV. Regulatory Analysis
XV. Regulatory Flexibility Act Certification
XVI. Backfit Analysis
XVII. Congressional Review Act

I. Background

    The DBT requirements in 10 CFR 73.1 describe general adversary 
characteristics that designated licensees must defend against with high 
assurance. These NRC requirements include protection against 
radiological sabotage (generally applied to power reactors and Category 
I fuel cycle facilities) and theft or diversion of NRC-licensed SSNM 
(generally applied to Category I fuel cycle facilities). On November 7, 
2005 (70 FR 67380), the Commission published a proposed rule for public 
comment seeking to amend its regulation that governs the requirements 
pertaining to the DBTs. The DBTs are used by licensees to form the 
basis for site-specific defensive strategies implemented through 
physical security plans, safeguards contingency plans, and security 
personnel training and qualifications plans. Amendment of the DBT rule 
was influenced by a number of factors described below.
    Following the terrorist attacks on September 11, 2001, the NRC 
conducted a thorough review of security practices to ensure that 
nuclear power plants and other licensed facilities continued to have 
effective security measures in place to address the changing threat 
environment. The NRC recognized that some elements of the DBTs required 
enhancement. After soliciting and receiving comments from Federal, 
State, and local agencies, and industry stakeholders, and reviewing an 
analysis of intelligence information regarding the trends and 
capabilities of potential adversaries, the NRC imposed supplemental DBT 
requirements by order on April 29, 2003. The Commission deliberated on 
the responsibilities of the local, State, and Federal stakeholders to 
protect the nation and the responsibility of the licensees to protect 
individual nuclear facilities before issuing the April 29, 2003 DBT 
Orders.
    The April 29, 2003 DBT Orders required nuclear power reactors and 
Category I fuel cycle facility licensees to revise their physical 
security plans, security personnel training and qualification plans, 
and safeguards contingency plans to defend against the

[[Page 12706]]

supplemental DBT requirements. The orders required licensees to make 
security enhancements such as: Augmented security forces and 
capabilities; increased patrols; additional security posts and physical 
barriers; vehicle checks at greater standoff distances; enhanced 
coordination with law enforcement and military authorities; augmented 
security and emergency response training, equipment, and communication; 
and more restrictive site access controls for personnel, including 
expanded, expedited, and more thorough initial and follow-on screening 
of power reactor and Category I fuel cycle facility employees. After 
gaining experience with implementation of these orders, the Commission 
concluded that the general attributes of the orders should be 
generically imposed by regulation on certain classes of licensees.
    In addition, PRM-73-12 was filed by the Committee to Bridge the Gap 
on July 23, 2004, and was published for comment (69 FR 64690; November 
8, 2004). PRM-73-12 requests that the NRC amend its regulations to 
revise the DBT regulations (in terms of the numbers, teams, 
capabilities, planning, willingness to die, and other characteristics 
of adversaries) to a level that encompasses, with a sufficient margin 
of safety, the terrorist capabilities evidenced by the attacks of 
September 11, 2001. The petition also requests that security plans, 
systems, inspections, and force-on-force (FOF) exercises be revised in 
accordance with the amended DBTs, and that a requirement be added to 
part 73 to construct shields against air attack (the shields are 
referred to as ``beamhenges'') which the petition asserts would enable 
nuclear power plants to withstand an air attack from a jumbo jet. The 
NRC partially granted PRM-73-12 in the proposed rule, but deferred 
action on other aspects of the petition to the final rulemaking. The 
NRC's final disposition of PRM-73-12 is discussed in Section VI of this 
document.
    Finally, the Energy Policy Act (EPAct) of 2005 was signed into law 
on August 8, 2005. Section 651(a) of the EPAct amended the AEA by 
adding Section 170E, that required the Commission to initiate a 
rulemaking to revise the DBTs. In addition, Section 170E also directed 
the Commission to consider but not be limited to, the 12 factors 
specified in the statute in the course of that rulemaking. As stated in 
the proposed rule, these factors are:
    (1) The events of September 11, 2001;
    (2) An assessment of physical, cyber, biochemical, and other 
terrorist threats;
    (3) The potential for attack on facilities by multiple coordinated 
teams of a large number of individuals;
    (4) The potential for assistance in an attack from several persons 
employed at the facility;
    (5) The potential for suicide attacks;
    (6) The potential for water-based and air-based threats;
    (7) The potential use of explosive devices of considerable size and 
other modern weaponry;
    (8) The potential for attacks by persons with a sophisticated 
knowledge of facility operations;
    (9) The potential for fires, especially fires of long duration;
    (10) The potential for attacks on spent fuel shipments by multiple 
coordinated teams of a large number of individuals;
    (11) The adequacy of planning to protect the public health and 
safety at and around nuclear facilities, as appropriate, in the event 
of a terrorist attack against a nuclear facility, and
    (12) The potential for theft or diversion of nuclear material from 
such facilities;
    The Commission took into account a number of issues and sources in 
conducting this rulemaking, which included its experience in the 
implementation of the DBT Orders, the issues raised in PRM-73-12, EPAct 
requirements, and the public comments on the proposed rule. The 
Commission has considered and deliberated on the 12 factors identified 
in the EPAct. The results of its consideration are set forth in Section 
II of this document. Additionally, the Commission specifically invited 
public comments on how these factors should be addressed in the rule. 
Many of the comments received substantively focused on the 12 factors. 
Those comments and the Commission's responses are also discussed in 
Section II.
    It is important to note that the Commission was careful to set 
forth rule text in the final rule that does not compromise licensee 
security, but also acknowledges the necessity to keep the public 
informed of the types of attacks against which nuclear power plants and 
Category I fuel cycle facilities are required to defend. To this end, 
the final rule maintains a level of detail in the rule language that is 
generally comparable to the previous regulation, while updating the 
general DBT attributes in a manner consistent with the insights gained 
from the application of supplemental security requirements imposed by 
the April 29, 2003 DBT Orders, the EPAct, and consideration of public 
comments.
    The final rule contains the DBT with which licensees must legally 
comply. More specific details (e.g., specific weapons, ammunition, 
etc.) are consolidated in adversary characteristics documents (ACDs) 
which contain classified or Safeguards Information (SGI). The technical 
bases for the ACDs are derived largely from intelligence information. 
They also contain classified or SGI that cannot be publicly disclosed. 
These documents must be withheld from public disclosure and made 
available only on a need-to-know basis to those who are cleared for 
access.
    Because the regulatory guides (RGs) and the ACDs are guidance 
documents that provide details to the licensees regarding 
implementation and compliance with the DBTs, these documents may be 
updated from time to time as a result of the NRC's periodic threat 
reviews. The NRC has been conducting threat reviews since 1979. These 
threat reviews are performed in conjunction with the intelligence and 
law enforcement communities to identify changes in the threat 
environment which may, in turn, require adjustments of NRC security 
requirements. Future revisions to the ACDs would not require changes to 
the DBT regulations in 10 CFR 73.1, provided the changes remain within 
the scope of the rule text.

II. Analysis of Public Comments and Consideration of the 12 Factors of 
the EPAct

    The proposed rule provided a 75-day public comment period that 
ended on January 23, 2006. The comment period was extended by another 
30 days in response to a request from the Nuclear Energy Institute 
(NEI), an industry group, to allow additional time for review of the 
proposed rule because the comment period overlapped the year-end 
holidays. The extended comment period ended on February 22, 2006. A 
total of 919 comments were received from about 903 individuals, one 
county, 13 citizen groups, one utility involved in nuclear activities, 
and two nuclear industry groups. The comments covered a range of 
issues, some of which were beyond the scope of this rulemaking because 
they were specific to protective measures but did not relate to the 
adversary characteristics. The comments have been organized under three 
groups: Group I, Consideration of the 12 Factors in the EPAct; Group 
II, In-Scope-comments, that includes comments raising issues and 
concerns directly related to the contents of the DBT rule; and Group 
III, Out-of-Scope comments, that includes comments raising issues and 
questions that are not directly related to the DBT rule, although they

[[Page 12707]]

are generally relevant to the security of nuclear facilities. Responses 
are provided in the following format:

Group I: Consideration of the 12 Factors in the Energy Policy Act

    The Commission's consideration, public comments, and responses to 
the public comments are provided for the 12 factors described in 
Section A.

Group II: In Scope Comments

    Comments in Groups II and III are organized under the following 
general categories. The Commission's responses to these comment 
categories are provided in Section B:
    1. Definition of the Design Basis Threats
    2. Applicability of the Enemy of the State Rule
    3. Compliance with Administrative Procedure Act (APA) Notice and 
Comment Requirements
    4. Ambiguous Rule Text
    5. Differentiation in Treatment of General and Specific Licenses 
for ISFSI
    6. Applicability of the Radiological Sabotage DBT to New Nuclear 
Power Plants
    7. Consideration of the Uniqueness of Each Plant in Application of 
the DBTs
    8. Continued Exemption of Research and Test Reactors from the DBT 
Requirements
    9. Changes in Security Requirements to be Addressed Under Backfit 
Rule
    10. Compliance with the Paperwork Reduction Act
    11. Adequacy of the Regulatory Analysis
    12. Compliance with the National Environmental Policy Act (NEPA)
    13. Issuance of Annual Report Card on Individual Licensees

Group III: Out of Scope Comments

    14. Federalization of Security
    15. Force-on-Force Tests of Security
    16. Screening of Workers in Nuclear Power Plants
    17. Self-Sufficient Defense Capabilities
    18. Security of Dry Cask Storage
    19. Security of Spent Fuel Pools
    20. Inherent Design Problems that make Reactors Vulnerable
    A Comments Matrix has been provided in Appendix A, that references 
each topic with comments. The NRC's response to each topic is listed 
below:

Section A

Group I. Consideration of the 12 Factors in the Energy Policy Act
    As discussed above, Section 170E of the AEA, as amended by Section 
651(a) of the EPAct, directed the Commission to consider but not be 
limited to, the 12 factors specified in the statute in the course of 
the DBT rulemaking. Many of the comments received by the Commission 
focused on one or more of these factors. Prior to discussing the 
substance of the 12 factors, the Commission notes that several 
commenters charged that the Commission violated Section 170E by not 
considering some of the 12 factors, and by deferring final 
consideration of some of the provisions to the final rule. Those 
commenters suggested that this not only violated the mandate of Section 
170E, but also the Administrative Procedure Act (APA) by not providing 
adequate notice of the substance of the rule, and thus, the rule should 
be withdrawn and re-proposed.
    To be clear, Section 170E stated that the Commission ``shall 
consider,'' but not be limited to, the 12 factors when conducting the 
DBT rulemaking. However, the EPAct did not require that the Commission 
explicitly include any of the 12 factors in the proposed or final rule 
text. The Commission carefully considered intelligence information, 
vulnerability assessments, other Commission-sponsored studies, and each 
of the 12 factors in formulating the final rule. Accordingly, a number 
of provisions or rule changes were adopted that specifically 
incorporate certain language used in the 12 factors. For instance, the 
final rule contains specific provisions related to multiple, 
coordinated groups \1\ of attackers (Factor 3), suicide attacks (Factor 
5), insider assistance (Factors 4 and 8), and waterborne attacks 
(Factor 6). Additionally, based on the 12 factors, public comment, and 
other intelligence and law enforcement information, the Commission has 
decided to explicitly include a cyber threat as an attribute of the 
DBTs (Factor 2).
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    \1\ For purposes of this rule, there is no substantive 
difference between the terms ``group'' and ``team'' in reference to 
the operational capabilities of the DBT adversary force. The meaning 
of the term ``group'' is the same as the meaning of the term 
``team'' used in the proposed rule. The term ``team'' was preserved 
in this final rule only when summarizing comments on the proposed 
rule or the 12 Factors of the EPAct.
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    After careful consideration, the Commission also chose not to adopt 
elements related to some EPAct factors as part of the rule text. 
However, that decision should not be misconstrued as lack of 
consideration of the factors themselves. Nor should the Commission's 
statement in the proposed rule soliciting comments on ``whether or how 
the 12 factors should be addressed in the DBT rule'' be interpreted to 
mean that the Commission deferred consideration of the factors until 
after it received comments. Rather, the Commission proposed 
requirements that would require licensees to defend against threats the 
Commission considered appropriate at that time, subject to change in 
the final rule after further consideration of public comments.
    Several commenters specifically charged that the Commission 
deferred its consideration of air-based threats to the final rule, thus 
undermining stakeholders' abilities to know the Commission's position 
on that factor. At the time that the proposed rule was published, the 
Commission maintained its view that protection against airborne attack 
could best be provided by the strengthening of airport and airline 
security measures. Accordingly, the Commission did not propose to 
include a provision in the proposed rule that would require licensees 
to provide defense against an airborne attack but the Commission 
specifically sought comment on the issue in the proposed DBT rule and 
has remained open to changing its position. In addition to being raised 
in PRM-73-12, the Commission has received numerous comments on the 
airborne threat. It has carefully considered those comments and has 
responded to them below. The assertion about the lack of APA notice 
with regard to the EPAct's 12 factors is without merit. The proposed 
rule discussion contained, under a section designated ``Proposed 
Regulations,'' (70 FR 67381) a detailed listing and clarifying 
discussion of the 12 factors and a specific request for public comment 
on ``whether or how the 12 factors should be addressed in the DBT 
rule.'' (70 FR 67382).
Factor 1. The Events of September 11, 2001
    The Commission's Consideration: The events of September 11, 2001, 
have been central to the Commission's efforts in reevaluating the DBTs. 
As a result of these attacks, the NRC promptly reevaluated the DBTs and 
imposed additional requirements on licensees through orders, including 
the April 29, 2003 Orders on the DBTs. A number of revisions to the 
DBTs have resulted from consideration of the events of September 11, 
2001. Those revisions include increased adversaries' willingness to 
kill or be killed, and the capability to operate in several different 
modes of attack, including multiple adversary groups, and multiple 
adversary entry points.
    Public Comment: Several commenters specifically challenged the 
proposed rule's consideration of the events of September 11, 2001, 
expressing concern

[[Page 12708]]

that the DBT rule does not require licensees to defend against a number 
of attackers comparable to the number of terrorists (19) who 
participated in the attacks on September 11, 2001.
    Response to Public Comment: The Commission disagrees with the 
comment. The Commission's consideration of the number of attackers 
comprising the DBT is discussed in more detail below under Factor 3. 
However, with respect to the assertion that the number of attackers 
should be comparable to the number of September 11, 2001, attackers 
(19), the Commission notes that the official U.S. Government terrorism 
report for 2001, ``Patterns of Global Terrorism,'' states that the 
September 11, 2001, attacks consisted of ``four separate but 
coordinated aircraft hijackings,'' not a single attack involving 19 
assailants. However, in its annual terrorism report for 2001, the 
Federal Bureau of Investigation (FBI) considered the attacks as one act 
of international terrorism by ``four coordinated teams of terrorists.'' 
Consideration of seemingly inconsistent views was just one part of a 
significant statistical analysis conducted by the NRC as part of the 
post-September 11, 2001, DBT process to determine the DBT adversary 
force size. In summary:
    <bullet> NRC position: Disagrees with the comment.
    <bullet> Action: No action required.
Factor 2. An Assessment of Physical, Cyber, Biochemical, and Other 
Terrorist Threats
    The Commission's Consideration: Although the DBT rule does not 
elaborate on the specifics of vehicle bomb size, numbers of 
adversaries, or exact types of weapons for operational security 
purposes, the Commission believes they are appropriate. The DBTs are 
the result of the NRC's continuous evaluation of current threats. That 
evaluation is not limited to a particular kind of threat, but naturally 
includes consideration of physical threats, cyber threats, and 
biochemical threats. The DBT rule reflects the Commission's 
determination of the composite set of adversary features against which 
private security forces should reasonably have to defend.
    The DBT rule has been amended in several significant respects to 
reflect the current physical, cyber, biochemical, and other terrorist 
threats. For example, the radiological sabotage DBT has been enhanced 
to reflect the requirement that the licensees have a capability to 
defend against attackers with the ability to operate in several modes 
of attack, including as multiple groups, attacking from multiple entry 
points. Additionally, in Sec.  73.1(a)(1)(i)(C), the phrase ``up to and 
including'' was changed to simply ``including'' to provide flexibility 
in defining the range of weapons available to the composite adversary 
force.
    One significant change to the rule relates to physical threats from 
the use of vehicles, either as modes of transportation or as vehicle 
bombs. Section 73.1(a)(1)(i)(E), for example, effectively expands the 
scope of vehicles available for the transportation of adversaries by 
deleting the reference to ``four-wheel drive'' and by adding water-
based vehicles.
    In addition, Sec.  73.1(a)(1)(iii) (the land vehicle bomb 
provision) is similarly revised to delete the ``four-wheel drive'' 
limitation, and to add a capability that the vehicle bomb ``may be 
coordinated with an external assault,'' maximizing its destructive 
potential. Further, an entirely new capability has been added to the 
DBT involving a waterborne vehicle bomb, which also is encompassed in 
the coordinated attack concept.
    The Commission has also carefully considered biochemical threats 
both before and after the events of September 11, 2001. The previous 
rule already contained requirements that provided the capability of 
using ``incapacitating agents,'' and that attribute has been retained 
in the final rule. In addition, armed responders are required to be 
equipped with gas masks to effectively implement the protective 
strategy and mitigate the effects of the incapacitating agents.
    Public Comment: Although many of the public comments could 
generally be characterized as addressing Factor 2, only a few comments 
specifically fell under this factor. One commenter stated that the NRC 
needs to engage independent experts to develop a comprehensive computer 
vulnerability and cyber attack threat assessment, that must evaluate 
the vulnerability of the full range of nuclear power plant computer 
systems and the potential consequences of these vulnerabilities. The 
commenter further suggested that the revised DBTs must incorporate 
these findings and include a protocol for quickly detecting such an 
attack and recovering key computer functions in the event of an attack.
    Two other commenters stated that the regulations do not reflect 
protections against explosive devices of considerable size, other 
modern weaponry, and cyber, biochemical, and other terrorist threats. 
Another commenter did not believe the proposed DBTs protected against 
all conceivable attacks, such as launching a large explosive device 
from a boat, clogging the water intakes, dropping a conventional bomb 
into spent fuel pools, insider sabotage, etc.
    Response to Public Comment: Regarding the threat of cyber attack 
comment, the NRC agrees with the statement submitted by the commenter 
and explicitly included a cyber attack as an element of the DBTs in the 
final rule. The basis for this addition, and implications of the rule 
change are discussed further in Section III of this document. In 
addition, the proposed 10 CFR 73.55(m), ``Digital Computer and 
Communication Networks,'' that is included in the proposed rule, 
``Power Reactor Security Requirements,'' (71 FR 62664; October 26, 
2006), contains proposed measures to mitigate a cyber attack.
    With respect to the other comments regarding protection against 
explosives of considerable size and modern weaponry, as stated earlier, 
the details of the adversary capabilities can not be specified 
publicly, but the Commission believes they are appropriate. 
Furthermore, the land vehicle bomb assault may be coordinated with an 
external assault, maximizing its destructive potential.
    The NRC does not intend the DBTs to represent ``worst case'' 
scenarios or all conceivable attacks. It is impossible to address all 
possible attack scenarios, because there is no theoretical limit to 
what attack scenarios can be conceived. Therefore, the NRC staff 
considers the tactics that have been observed in use, discussed, or 
trained for by potential adversaries. These tactics and DBT provisions 
are subjected to an interagency review process where Federal law 
enforcement and intelligence community agencies comment and provide 
feedback. If changes develop in adversary tactics that could 
significantly impact nuclear facility security, the staff would request 
that the Commission consider these tactics for inclusion in the DBT 
provisions. In summary:
    <bullet> NRC position: Agrees with one element of comment--include 
cyber threat as an attribute; disagrees with the other two elements.
    <bullet> Action: Final rule includes cyber attack as an explicit 
element of the DBTs. No other action required.
Factor 3. The Potential for Attack on Facilities by Multiple 
Coordinated Teams of a Large Number of Individuals
    The Commission's Consideration: The number of attackers and the 
tactics used by those attackers is now and has always been a core 
consideration of the DBT. Although the NRC obviously

[[Page 12709]]

cannot comment on the size (specific number of attackers) of the DBT 
adversary force for operational security reasons, it can address the 
process how these numbers are derived. As noted in the Commission's 
consideration of Factor 1, the size of the DBT adversary force and the 
number of assault teams were derived through a careful and deliberative 
process involving not only the NRC staff, but Federal law enforcement, 
and intelligence community, and homeland security agencies using a 
variety of classified and unclassified sources. A statistical analysis 
was done on terrorist group size by looking at hundreds of terrorist 
attacks over several years, and comparing them with previous group size 
analyses for changes in long-term trends. Large ``outlier'' terrorist 
events, although few in number, were included in this analysis. This 
statistical analysis was factored into a parallel analysis of known 
terrorist attacks against protected facilities (also few in number) and 
terrorist training, tactics, and doctrinal manuals concerning armed 
assaults against facilities.
    In addition, the NRC found that the vague qualifiers (``several 
persons'' and ``small group'') in the previous adversary descriptions 
in 10 CFR 73.1 did little to add to the clarity of the rule because the 
phrases are highly subjective. Thus, the final rule now contains the 
more specific language ``by an adversary force capable of operating in 
each of the following modes: a single group attacking through one entry 
point, multiple groups attacking through multiple entry points, a 
combination of one or more groups and one or more individuals attacking 
through multiple entry points, or individuals attacking through 
separate entry points.'' By revising the language in the rule and 
eliminating the reference to ``several persons'' and ``small group,'' 
the NRC actually increased the potential flexibility of the design 
basis adversary. The use of multiple adversary groups is not 
necessarily tactically advantageous to the attacking force in all 
possible scenarios. In some instances, the adversary force, as 
simulated in Force-on-Force (FOF) exercises can, based on its analysis 
of the licensee's protective strategy, concentrate its force in a 
single group if necessary to best attack a facility. In other 
instances, a licensee's protective strategy may be more vulnerable to 
multiple groups of attackers attempting entry from different locations. 
In any event, the final DBT rule now provides enough flexibility to 
account for all of these scenarios, while the guidance provides 
sufficient specificity.
    Public Comment: Several commenters contend that for nuclear power 
plants, the regulations should provide protection against coordinated 
attacks by multiple large groups of up to two dozen sophisticated and 
knowledgeable adversaries.
    Response to Public Comment: As stated above, the Commission has 
revised the rule to reflect these considerations and to provide maximum 
flexibility in developing threat scenarios which licensees must defend 
against. In summary:
    <bullet> NRC position: Agrees partially with the comment.
    <bullet> Action: No additional action required, beyond adoption of 
more specific language in the final rule.
Factor 4. The Potential for Assistance in an Attack From Several 
Persons Employed at the Facility
    The Commission's Consideration: The Commission has always 
considered the threat of insider assistance to be a very real and 
significant threat. Thus, the DBTs have long contained a provision 
requiring licensees to protect against insider assistance. Also, other 
NRC regulations contain substantial requirements for access 
authorization programs (10 CFR 73.56, ``Personnel Access Authorization 
Requirements for Nuclear Power Plants,'' and 10 CFR 73.57, 
``Requirements for Criminal History Checks of Individuals Granted 
Unescorted Access to a Nuclear Power Facility or Access to Safeguards 
Information by Power Reactor Licensees''). However, the final rule has 
amended this requirement to expand the threat of insider assistance. 
For instance, 10 CFR 73.1(a)(1)(A) and (2)(i)(A) add language 
indicating that the adversaries have ``sufficient knowledge to identify 
specific equipment or locations necessary for a successful attack.'' 
Therefore, this provision suggests that this knowledge could be 
obtained from an insider who has such knowledge.
    The insider assistance provision itself has also been revised. The 
final rule deletes the term ``individual'' to provide flexibility in 
defining the number of persons who may be involved in providing inside 
assistance.
    Public Comment: One commenter stated that the insider attribute 
must include an active participant in an attack and should include the 
possibility of first responders and or National Guardsmen providing 
insider assistance.
    Response to Public Comment: The NRC agrees with part one of this 
comment. The capability of ``active'' insider assistance is clearly 
stated in both 10 CFR 73.1(a)(1)(i)(B) for radiological sabotage and 10 
CFR 73.1(a)(2)(i)(B) for theft or diversion of strategic special 
nuclear material. Further, the ``active'' assistance capability has 
long been a component of the DBTs. The use of the conjunction ``or'' 
provides for increased tactical flexibility on the part of the 
adversary, based on the specific situation. It does not preclude an 
active insider in favor of a passive one.
    The NRC disagrees with the second part of this comment. National 
Guard, local law enforcement and other non-licensee security personnel 
already stationed at the owner-controlled boundary or entry portals of 
some licensee facilities are not part of the licensee workforce and not 
subject to NRC regulatory authority; hence, they are considered beyond 
the scope of the DBTs. Typically, these organizations have their own 
internal screening procedures to determine reliability and 
trustworthiness. The NRC recognizes that those processes exist and 
provide an appropriate level of assurance against an insider threat to 
that organization. Furthermore, first responders, law enforcement, and 
National Guard personnel are not given unescorted access to the 
Protected Area (PA).
    First responders, law enforcement, and other external security 
personnel responding to an emergency or security event at a site would 
do so according to established emergency response protocols. If a 
particular responding organization had been penetrated by an adversary 
insider, then that adversary would be considered an external adversary 
for purposes of the DBTs. The requirement that licensees protect 
against ``A determined violent external assault, attack by stealth, or 
deceptive actions, including diversionary actions,'' as described in 
Sec. Sec.  73.1(a)(1)(i), and 73.1(a)(2)(i), anticipates such an 
adversary. In summary:
    <bullet> NRC Position: Agrees with the first element of the 
comment, disagrees with the second element of the comment.
    <bullet> Action: No action required.
Factor 5. The Potential for Suicide Attacks
    The Commission's Consideration: The final rule contains language 
reflecting the potential for suicide attacks. This level of commitment 
has been assumed since the first DBTs were established by the NRC. 
Language has been added to Sec. Sec.  73.1(1)(i)(A) and 73.1(2)(i)(A) 
indicating that potential adversaries have the attribute of a 
willingness to ``kill or be killed.''

[[Page 12710]]

    Public Comment: No public comment received.
    Response to Public Comment: No response required.
Factor 6. The Potential for Water-Based and Air-Based Threats
    a. The Commission's Consideration: Certainly one of the most 
substantial considerations of the Commission, NRC licensees, the 
Federal government, and the public is the threat of airborne attacks 
against critical infrastructures. As stated below, the vast majority of 
comments received by the Commission on the proposed DBT rule regarded 
the airborne threat. The Commission has been evaluating the issue of 
air-based threats long before it was required by the EPAct, and its 
position on the necessity to add this attribute to the DBTs prior to 
this rulemaking has been well documented. The Commission's evaluation 
of the airborne threat has been an ongoing process, and it has spent a 
significant amount of time and resources as part of this rulemaking in 
considering whether to make some type of airborne threat part of the 
DBTs. Ultimately, the Commission has determined that active protection 
against the airborne threat requires military weapons and ordnance that 
rightfully are the responsibilities of the Department of Defense (DOD), 
such as ground-based air defense missiles, and thus, the airborne 
threat is one that is beyond what a private security force can 
reasonably be expected to defend against. This does not mean that the 
Commission is discounting the airborne threat; merely that the 
responsibility for actively protecting against the threat lies with 
other organizations of the Federal government, as it does for any U.S. 
commercial infrastructures.
    Beyond active protection, the Commission believes that some 
considerations involving airborne attack relate to the development of 
specific protective strategies and physical protection measures that 
are not within the scope of the DBTs. The deployment of ground-based 
air defense weapons would be a decision for the Departments of Defense, 
Homeland Security, Transportation and Justice, not the NRC. In 
addition, the NRC believes that application of ground-based air defense 
weapons would present significant command and control challenges, 
particularly relating to the time required to identify and confirm the 
presence of a hostile aircraft and for a commercial entity to get 
permission to engage. The potential for collateral damage to the 
surrounding community also would have to be considered. Deployment of 
protective measures such as no-fly zones, combat air patrols, and 
ground-based air defenses are undertaken by many other Federal 
organizations working on preventing and protecting critical 
infrastructure from terrorist attacks, including the U.S. Northern 
Command (USNORTHCOM) and North American Aerospace Defense Command 
(NORAD), the Transportation Security Administration (TSA), and the 
Federal Aviation Administration (FAA). The FAA has issued a Notice to 
Airmen (NOTAM) strongly advising pilots to avoid the airspace above, or 
in proximity to, such sites as power plants (nuclear, hydro-electric, 
or coal), dams, refineries, industrial complexes, military facilities 
and other similar facilities. Pilots are warned not to loiter in the 
vicinity of these types of facilities. The significant increase in 
aviation security since September 11, 2001, goes a long way toward 
protecting the United States, including nuclear facilities, from an 
aerial attack. Some of these improvements include:
    <bullet> Criminal history checks on flight crew;
    <bullet> Reinforced cockpit doors;
    <bullet> Checking of passenger lists against ``no-fly'' lists;
    <bullet> Increased control of cargo;
    <bullet> Random inspections;
    <bullet> Increased Federal Air Marshal presence;
    <bullet> Improved screening of passengers and baggage;
    <bullet> Federal Flight Deck Officer Program;
    <bullet> Controls on foreign passenger carriers;
    <bullet> Requirements on charter aircraft;
    <bullet> Enhanced vigilance of flight training; and
    <bullet> Improved coordination and communication between civilian 
and military authorities.
    In February 2002, the Commission, in addition to the actions of 
other Federal entities, directed nuclear power plant licensees to 
develop specific plans and strategies to respond to a wide range of 
threats, including the impact of an aircraft attack. NRC staff 
conducted mock exercises to practice imminent air attack responses with 
each licensee. The NRC has continued to work with licensees on these 
issues and has inspected licensee actions to identify and implement 
mitigation strategies to limit the effects of such an event. The NRC 
has conducted detailed, site-specific engineering studies of a limited 
number of plants to gain insights on potential vulnerabilities of 
nuclear power plants to deliberate attacks involving large commercial 
aircraft. The results of these studies have confirmed the effectiveness 
of the February 2002 NRC-ordered mitigative measures, and have 
identified the need for some additional enhancements. For the 
facilities analyzed, the studies confirm the low likelihood of both 
damaging the reactor core and releasing radioactivity that could affect 
public health and safety. Even in the unlikely event of a radiological 
release due to a terrorist use of a large aircraft against a nuclear 
power plant, the studies indicate that there would be time to implement 
the required on-site mitigating actions. These results have also 
validated the potential radioactive source term for off-site emergency 
planning basis. Nevertheless, on June 20, 2006, the NRC issued orders 
to appropriate power reactor licensees requiring the implementation of 
additional key radiological protection and mitigation strategies to 
reduce potential consequences from the loss of large areas of the plant 
due to large fires or explosions. This information is discussed in, 
``In the Matter of Operating Power Reactor Licensees Identified in 
Attachment 1; Orders Modifying Licensees (Effective Immediately),'' (71 
FR 36554; June 27, 2006). Additional studies are being considered to 
further assess mitigative capabilities. The NRC will continue to 
coordinate with the Department of Homeland Security (DHS) on this 
initiative. (See Factor 9 for further discussion of a related topic, 
``The potential for fires, especially fires of long duration.'')
    Finally, in early March 2006, the NRC hosted an Interagency 
Aircraft Attack Tabletop Exercise at NRC Headquarters. Representatives 
from the DHS, the DOD/USNORTHCOM, and the FBI attended. The purpose of 
the exercise was to explore Federal responsibilities and interfaces, 
consistent with the National Infrastructure Protection Plan and 
National Response Plan, for terrorist incidents at nuclear power 
plants, with a focus on an aircraft attack on the facility. The 
tabletop exercise reconfirmed the respective responsibilities of the 
participating organizations (NRC, DHS, DOD, and FBI) in the event of a 
nuclear plant aircraft attack and clarified protocols for response-
related interagency communication and coordination.
    The final DBT contains two new provisions that account for the 
capability of a water-based attack, as discussed under Factor 2. These 
capabilities were included based on conclusions drawn from the NRC's 
continuing review of intelligence information and liaison with Federal 
law enforcement, intelligence community, and homeland security

[[Page 12711]]

agencies. Sections 73.1(a)(1)(i)(E) and 73.1(a)(2)(i)(E) add the 
capability to use water-based vehicles for transporting personnel and 
equipment to the proximity of vital areas. Sections 73.1(a)(1)(iv) and 
73.1(a)(2)(iv) add a new provision for a waterborne vehicle bomb 
assault. The NRC has concluded that defense against these new DBT 
provisions will provide a high-assurance of protection against the 
waterborne threat.
    Public Comment: Approximately 820 comments indicated that the 
``beamhenges'' concept or similar barrier method of protection should 
be considered for protection against airborne attacks. As generically 
described by the commenters, a ``beamhenge'' shield is constructed out 
of an interlocking series of steel I-beams and cables that would be 
built at sufficient stand-off distances from safety-related buildings 
at nuclear power plants to protect against an aircraft attack. Comments 
also indicated that a ``no-fly'' zone should be imposed around nuclear 
power plants and that ground based-air defense systems should be 
deployed to protect each site.
    Further, multiple commenters expressed concerns regarding the 
vulnerabilities of nuclear power plants and other licensed facilities 
to terrorist waterborne attacks. Commenters suggested that the revised 
DBTs should require nuclear power plants and other licensed facilities 
situated on navigable waterways to be equipped with visible, engineered 
physical barriers.
    Response to Public Comment: The Commission has spent considerable 
time and resources considering the threat of airborne and waterborne 
attacks on nuclear facilities. Based on these considerations, the NRC 
has chosen a two-track approach to respond to these threats in order to 
assure adequate protection. First, the NRC has determined that active 
protection against the airborne threat rests with other organizations 
of the Federal government, such as NORTHCOM and NORAD, TSA, and FAA. 
The NRC will continue to test these relationships through exercises. 
Second, licensees have been directed to implement certain mitigative 
measures to limit the effects of an aircraft strike. To the extent that 
commenters have suggested the imposition of specific physical security 
measures such as the ``beamhenges'' concept, the NRC has considered on 
the issue, but has rejected the concept because it believes that the 
mitigation measures in place are sufficient to ensure adequate 
protection of the public health and safety.
    With respect to the waterborne attack threat, the DBT rule has been 
revised to reflect two new water-based capabilities. However, 
requirements of physical barriers for the protection of the nuclear 
power plants and other licensed facilities under waterborne attack are 
not in the scope of DBT rule. Requirements for physical barriers are 
addressed in a separate rulemaking to amend 10 CFR 73.55. The security 
requirements in the proposed rulemaking that would amend 10 CFR 73.55 
(71 FR 62664; October 26, 2006) address protective strategies and 
security measures for nuclear power plants and other licensed 
facilities under waterborne attacks, and require licensees to defend 
against the DBTs. In summary:
    <bullet> NRC Position: Agrees with the waterborne comment. 
Disagrees with ``no-fly'' zones and ``beamhenges'' concept comments.
    <bullet> Action: No action required.
Factor 7. The Potential Use of Explosive Devices of Considerable Size 
and Other Modern Weaponry
    The Commission's Consideration: As part of its consideration of 
Factor 2, the Commission assessed the potential use of explosive 
devices of considerable size and other modern weaponry. The Commission 
notes that the DBTs have been revised to specifically reflect these two 
considerations. First, Sec. Sec.  73.1(a)(1)(i)(C) and 73.1(a)(2)(i)(C) 
were amended to revise the phrase ``up to and including'' to simply 
``including'' to increase the flexibility in defining the available 
range of weapons. Second, the vehicle bomb threat has been expanded to 
include waterborne vehicles. This factor has been further articulated 
in Factor 2.
    Public Comment: Refer to Factor 2.
    Response to Comment: Refer to Factor 2.
    In summary:
    <bullet> NRC Position: Agrees with the comment.
    <bullet> Action: No action required.
Factor 8. The Potential for Attacks by Persons With a Sophisticated 
Knowledge of Facility Operations
    The Commission's Consideration: As noted above under the discussion 
of Factor 4, Sec. Sec.  73.1(a)(1)(i)(A) and 73.1(a)(2)(i)(A) added 
language indicating that the adversaries have ``sufficient knowledge to 
identify specific equipment or locations necessary for a successful 
attack.''
    Public Comment: No public comment received.
    Response to Comment: No response required.
Factor 9. The Potential for Fires, Especially Fires of Long Duration
    The Commission's Consideration: The DBTs describe specific 
adversary characteristics against which licensees must be prepared to 
defend. Fires, in contrast, are not adversary characteristics, but 
result from a particular adversary attack. Nevertheless, the NRC 
considered fires resulting from several possible initiating events, 
both accidental and malicious in nature. The NRC conducted 
vulnerability assessments for some operating nuclear power plants in 
the 1970s and 1980s to establish the technical basis for security 
requirements. The NRC also routinely evaluated the potential impacts of 
terrorist attacks on power reactors as part of the FOF exercise program 
on a plant-by-plant basis. After the terrorist attacks on September 11, 
2001, the NRC promptly assessed the potential for and consequences of 
terrorists targeting a nuclear power plant, including its spent fuel 
storage facilities, for an aircraft attack, the physical effects of 
such a strike, and how compounding factors (e.g., fires, meteorology, 
etc.) would affect the impact of potential radioactive releases. As 
part of a comprehensive assessment, the NRC conducted detailed site-
specific engineering studies of a limited number of nuclear power 
plants to assess potential vulnerabilities of deliberate attacks 
involving a large commercial aircraft. Additional Commission 
considerations are provided under the discussion of Factor 6. A summary 
of the assessment study is available in a publicly available document.
    Public Comment: One commenter stated that the proposed rule did not 
consider the potential for fires, especially fires of long duration and 
thus asserts that the proposed rule does not comply with the 
Congressional directive because it fails to mention the fire threat.
    Response to Public Comment: The NRC disagrees with the statement 
submitted by the commenter. As stated above, the NRC considered fire to 
be a result of several possible threats. Adversary forces, bombs, and 
explosives can all result in fires, and potentials for fires have been 
considered during the DBT rulemaking process. The following is provided 
as background information related to this comment.
    As part of a larger NRC effort to enhance the safety and security 
of the Nation's nuclear power plants, an initiative was undertaken as 
part of a February 2002 NRC Order. The order required licensees to look 
at what might

[[Page 12712]]

happen if a nuclear power plant lost large areas due to explosions or 
fires. The licensees then were required to identify and later implement 
strategies that would maintain or restore cooling for the reactor core, 
containment building, and spent fuel pool. The requirements listed in 
Section B.5.b of this order directed licensees to identify ``mitigative 
strategies'' (meaning the measures licensees could take to reduce the 
potential consequences of a large fire or explosion) that could be 
implemented with resources already existing or ``readily available.'' 
The NRC held inspections in 2002 and 2003 to identify if licensees had 
implemented the required mitigative strategies.
    These inspections, as well as additional studies, showed 
significant differences in the strategies implemented by the plants. As 
a result, the NRC developed additional mitigative strategy guidance. 
The guidance was based on ``lessons learned'' from NRC engineering 
studies and included a list of ``best practices'' for mitigating losses 
of large areas of the plant. Each plant was requested to consider 
implementation of applicable additional strategies by August 31, 2005. 
The NRC inspected each plant in 2005 to review their implementation of 
any additional mitigative measures. The NRC is continuing to ensure 
licensees appropriately implement these measures.
    Finally, aircraft attack, another threat likely to result in fires 
was also considered and studies analyzing the consequences of 
successful commercial airline attacks were performed. In conducting 
these studies, the NRC drew on national experts from several DOE 
laboratories using state-of-the-art structural and fire analyses. The 
NRC also enhanced its ability to realistically predict accident 
progression and radiological release consequences. For the facilities 
analyzed, the studies found that the likelihood of both damaging the 
reactor core and releasing radioactivity that could affect public 
health and safety is low. Even in the unlikely event of a radiological 
release due to terrorist use of a large aircraft, there would be time 
to implement mitigating actions and off-site emergency plans such that 
the NRC's emergency planning basis remains valid (71 FR 36554; June 27, 
2006). Additional site-specific studies of operating nuclear power 
plants are underway or being planned to determine the need, if any, for 
additional mitigating capability on a site-specific basis. In summary, 
the NRC considered the potential for fires during the DBT rulemaking 
process, as required by the EPAct.
    <bullet> NRC position: Disagrees with the comment.
    <bullet> Action: No action required.
Factor 10. The Potential for Attacks on Spent Fuel Shipments by 
Multiple Coordinated Teams of a Large Number of Individuals
    The Commission's Consideration: As stated in response to Factor 3, 
the Commission considered the potential for attacks on nuclear 
facilities by multiple coordinated groups of a large number of 
individuals. The number of attackers and the tactics used by those 
attackers is now and has always been a core consideration of the DBTs. 
In addition, the Commission has considered the potential for attacks on 
spent fuel shipments and issued an order, requiring specific protective 
measures. The Commission is planning to propose a rule on spent fuel 
shipments in the near future.
    Public Comment: No public comment received.
    Response to Public Comment: No response required.
Factor 11. The Adequacy of Planning To Protect the Public Health and 
Safety at and Around Nuclear Facilities, as Appropriate, in the Event 
of a Terrorist Attack Against a Nuclear Facility
    The Commission's Consideration: The DBT rule does not include 
requirements imposing specific emergency planning considerations. 
Nevertheless, the Commission considered the implications of security-
related incidents on emergency planning. As part of those efforts, 
following the terrorist attacks of September 11, 2001, the NRC 
evaluated the emergency preparedness (EP) planning basis and determined 
that the planning basis for nuclear power reactors remains valid. 
Further, the NRC issued orders requiring compensatory measures for 
nuclear security and safety, and observed licensee performance during 
security-based EP drills and exercises and security FOF exercise 
evaluations. Also, the NRC reviewed current public radiological 
protective action guidance, and discussed security-based EP issues with 
various stakeholders, including licensees and Federal, State and local 
government officials. Based on the information obtained from the 
reviews and evaluations, the NRC determined that EP of nuclear power 
plants could be enhanced. The Commission approved the communication of 
enhancements to EP and response actions for security-based events to 
power reactor licensees. NRC Bulletin 2005-02, ``Emergency Preparedness 
and Response Actions for Security-Based Events,'' dated July 18, 2005, 
communicated enhancements in the following areas:
    <bullet> Security-based emergency classification levels and 
emergency action levels;
    <bullet> A 15 minute prompt notification to the NRC for security-
based events;
    <bullet> On-site protective actions to maximize personnel safety 
during security-based events;
    <bullet> Enhanced emergency response organization augmentation; and
    <bullet> Development of a security-based emergency drill and 
exercise program.
    As of February 18, 2006, all power reactor licensees have 
implemented the enhancements to their EP programs with the exception of 
the drill and exercise program. A majority of nuclear power plant 
licensees indicated that adoption of the security-based EP drill and 
exercise program is contingent on NRC and the Department of Homeland 
Security (DHS) endorsement. The NRC continues to work with DHS and the 
Nuclear Energy Institute to develop and implement a security-based 
drill and exercise program at power reactor licensees. This program is 
being conducted in a phased approach. Tabletop drills at four power 
reactor sites and a facility drill were conducted successfully, and 
areas for improvement were identified and incorporated by the industry 
into draft guidelines. Over the next three years, the industry plans to 
conduct security-based EP drills at each power reactor licensee with an 
end state of the integration of security-based EP scenarios into the 
biennial EP exercise program.
    In addition to those security-related emergency planning efforts, 
the NRC and DHS worked together to develop and improve EP for a 
terrorist attack through federal initiatives such as comprehensive 
review programs and integrated response planning efforts. The NRC and 
DHS have enhanced the coordination of integrated EP programs through 
evaluations of licensee and State/local/tribal response capabilities, 
and reviews of critical infrastructure preparedness and response plans 
for commercial nuclear power plants. Our combined efforts have resulted 
in specific enhancements to security-related EP measures, and continued 
improvement in capabilities for licensees and off-site response 
organizations to respond to a wide spectrum of events.
    Public Comment: No public comment received.
    Response to Public Comment: No response required.

[[Page 12713]]

Factor 12. The Potential for Theft or Diversion of Nuclear Material 
From Such Facilities
    The Commission's Consideration: The DBT rule includes two separate 
components, the DBT of radiological sabotage, and the DBT of theft or 
diversion of formula quantities of special nuclear materials. Although 
the legal requirements of the radiological sabotage DBT and the theft 
or diversion DBT, as embodied in the rule text of Sec. Sec.  73.1(a)(1) 
and in 73.1(a)(2), respectively, are the same, the ACDs and RGs differ 
in describing how power reactor and Category I fuel cycle facility 
licensees should implement and comply with the separate rules. These 
differences are classified and are not elaborated on here.
    As stated in 10 CFR 73.55(a), power reactor licensees are only 
required to protect against the threat of radiological sabotage. Spent 
fuel is not an attractive theft or diversion target due to its large 
physical size and high thermal heat and radioactivity (most power 
reactor spent fuel is considered ``self-protecting''). As stated in the 
response to Group III Comments No. 18 (Security of Dry Cask Storage) 
and 19 (Security of Spent Fuel Pools), the NRC has required that 
licensees take additional security and mitigating measures against a 
radioactive release of spent fuel.
    The NRC has authorized the Duke Energy Corporation, owner and 
operator of the Catawba plant, to irradiate four fuel assemblies of 
Mixed-Oxide (MOX) fuel at the Catawba plant on a test basis as part of 
its license amendment issued on March 3, 2005. MOX fuel technically 
meets the criteria of a formula quantity of Strategic Special Nuclear 
Material, in this case plutonium, and would be subject to the DBT 
provisions of Sec.  73.1(a)(2) for theft or diversion. However, the NRC 
staff found that MOX fuel is not attractive to potential adversaries 
from a theft and diversion standpoint at the reactor site due to its 
low plutonium concentration, composition, and form (size and weight). 
The MOX fuel consists of plutonium oxide particles dispersed in a 
ceramic matrix of depleted uranium oxide with a plutonium concentration 
of less than six weight percent. The MOX fuel assemblies are the same 
form as conventional fuel assemblies designed for a commercial light-
water power reactor and are over 12 feet long and weigh approximately 
1,500 pounds. A large quantity of MOX fuel and an elaborate extraction 
process would be required to yield enough material for use in an 
improvised nuclear device or weapon. On the ``attractiveness'' bases, 
the NRC staff found that the complete application of 10 CFR 
73.45(d)(1)(iv), 73.46 (C)(1), 73.46(h)(3), 73.46(b)(3)-(b)(12), 
73.46(d)(9), and 73.46(e)(3) for MOX fuel was not necessary. The staff 
therefore approved the exemptions requested to these regulations, 
finding that they were authorized by law, and will not endanger life or 
property or the common defense and security, and that are otherwise in 
the public interest. The Commission later approved this determination 
in an adjudicatory order issued on June 20, 2005. Duke Energy 
Corporation (Catawba Nuclear Station, Units 1 and 2), CLI-05-014, 61 
NRC 359,363 (2005).
    Furthermore, transportation of the MOX fuel assemblies to Catawba 
will be done by the Department of Energy's (DOE's) Office of Secure 
Transportation, that has legal responsibility for the MOX fuel 
assemblies until custody is transferred to the licensee. Afterwards, 
the spent MOX fuel is cooled and stored like other spent fuel on site 
and is subject to the radiological sabotage DBT while stored in the 
spent fuel pool inside the Protected Area of the plant.
    Public Comment: No public comment received.
    Response to Public Comment: No response required.

Section B

Group II. In Scope Comments
1. Defining the ``Design Basis Threat''
    Public Comment: Multiple commentators expressed concern that the 
NRC has not publicly defined or explained the ``design basis threat.'' 
Specifically, commenters were unclear what the Commission means by the 
statement that the DBTs are based on a ``determination as to the 
attacks against which a private security force can reasonably be 
expected to defend.'' These commenters suggested that the Commissions's 
failure to articulate the DBT concept creates an ambiguity in 
establishing the division of responsibility between NRC licensees and 
the DOD, or DHS. Several commenters suggested that if the NRC does not 
require plants to defend against air attack because it is unreasonable 
for a private security force to be able to do so, then it has no choice 
but to federalize security by requesting that DHS or the military 
assume full responsibility for the protection of nuclear power 
facilities.
    Other commenters suggested that the NRC's rationale for limiting 
the characteristics of the DBTs to the attacks against which a private 
security force could reasonably be expected to defend appears to be 
based on cost considerations, which is not permitted for measures that 
are necessary for the protection of public safety.
    Other commenters representing the nuclear industry, while agreeing 
that the DBT scope must be clear, asserted that the DBT can not be 
greater than the largest threats against which private sector 
facilities can reasonably be requested to defend themselves, and 
threats beyond the DBT are reasonably the responsibility of the 
national defense system.
    Response to Public Comment: The Commission has determined that the 
DBTs, as articulated in the rule, are based on adversary 
characteristics against which a private security force can reasonably 
be expected to defend. This formulation provides the Commission with 
the flexibility necessary to make reasoned, well-informed decisions 
regarding the DBTs. In contrast, detailed, prescriptive criteria would 
be unduly restrictive, and would unnecessarily limit the Commission's 
judgment. This judgment is guided by the Commission's considerable 
expertise in nuclear security matters, developed over the course of 30 
years of experience regulating the physical protection of nuclear 
facilities.
    With regard to the federalization of nuclear plants security 
forces, the Commission does not have the authority to federalize 
nuclear security forces and cannot demand deployment of military forces 
to protect nuclear facilities. Nor has Congress chosen to require these 
measures. As it has stated publicly many times, the Commission is 
confident that neither measure is necessary or even prudent. A primary 
reason for this is that the introduction of a federalized nuclear 
security force or military unit to provide day-to-day security would 
create command and control issues for plant management because it would 
essentially establish two classes of employees at commercial nuclear 
facilities, both of whom would be responsible for reactor safety in the 
event of a terrorist attack. This could result in a reduction in the 
licensee's ability to ensure reactor safety. In contrast, the continued 
use of private nuclear security officers responsible to the licensee 
maintains a unitary command structure focused on a unitary objective. 
The tightly-regulated private nuclear security forces in use today are 
well trained on the unique security considerations specific to nuclear 
power facilities and through rigorous FOF training have proven 
themselves to be effective and reliable. These conclusions were also 
documented when the Commission originally studied the issue

[[Page 12714]]

in 1976 in a report to Congress titled the ``Security Agency Study.''
    The DBT rule is also guided by the Commission's knowledge that, in 
addition to being among the most robust industrial facilities in the 
world, nuclear power plants are arguably the most physically secured 
industrial facilities. No other civilian industry security force is 
subject to as much regulatory oversight as the nuclear industry. 
However, the Commission acknowledges that the use of private security 
forces to defend nuclear power facilities faces limitations. For 
instance, there are legal limitations on the types of weapons and 
tactics available to private security forces. Generally, nuclear 
security officers have access only to weapons that are available to 
civilians. Although authority recently granted the Commission under the 
EPAct of 2005 will allow the Commission to authorize the use of more 
sophisticated weaponry, the most powerful weapons and defensive systems 
will remain reserved for use only by the military and law enforcement. 
Thus, it would be unreasonable to establish a DBT that could only be 
defended against with weapons unavailable to private security forces. 
In addition, the Commission previously decided not to require licensees 
to defend against attacks by ``Enemies of the State'' as defined by 10 
CFR 50.13.
    However, these limitations on weapons and defensive systems 
available to private security forces do not undermine the Commission's 
confidence in those forces to provide adequate protection. The defense 
of our nation's critical infrastructure is a shared responsibility 
between the NRC, the DOD, the DHS, Federal and State law enforcement, 
and other Federal agencies. A reasonable approach in determining the 
threat requires making certain assumptions about these shared 
responsibilities. Although licensees are not required to develop 
protective strategies to defend against beyond-DBT events, it should 
not be concluded that licensees can provide no defense against those 
threats.
    The Commission's regulations at 10 CFR 73.55(a) require power 
reactor licensees' security programs to provide ``high assurance that 
activities involving special nuclear material are not inimical to the 
common defense and security and do not constitute an unreasonable risk 
to the public health and safety.'' Within this requirement is the 
expectation that, if confronted by an adversary beyond its maximum 
legal capabilities, on-site security would continue to respond with a 
graded reduction in effectiveness. The Commission is confident that a 
licensee's security force would respond to any threat no matter the 
size or capabilities that may present itself. The Commission expects 
that licensees and State and Federal authorities will use whatever 
resources are necessary in response to both DBT and beyond-DBT events.
    Several commenters felt that the DBT rule should define clearly 
demarcated boundaries where the responsibilities of the licensee end 
and those of the Government begin for defending nuclear facilities. In 
the Commission's view, establishing set boundaries demarcating a 
division of responsibilities is neither possible nor desirable. The 
better approach is for the Commission to continue its efforts to 
encourage licensees and Government organizations to integrate and 
complement their respective security and incident-response duties so 
that facilities subject to the DBTs have the benefit of all available 
incident-response resources during the widest possible range of 
security events. Currently, these integrated response planning efforts 
include prearranged plans with local law enforcement and emergency 
planning coordination. Licensees also must comply with event reporting 
requirements to the NRC so that a Federal response is readily 
available, if necessary.
    However, the DBTs are not defined by cost considerations, as 
suggested by several commenters. The rule text set forth at Sec.  73.1 
represents the largest adversary against which the Commission believes 
private security forces can reasonably be expected to defend. Thus, 
when the DBT rule is used by licensees to design their site specific 
protective strategies, the Commission is thereby provided with 
reasonable assurance that the public health and safety and common 
defense and security are adequately protected. The Commission agrees 
with the commenters that it may not legally consider economic factors 
in determining the level of adequate protection of public health and 
safety and common defense and security (Union of Concerned Scientists 
v. NRC, 824 F.2d 108, 117118 (D.C. Cir. 1987)), and it did not do so in 
deciding what level of protection it considers to be adequate in this 
rulemaking. Rather, as the Commission has clearly set forth above, the 
requirements in the DBT rule are determined by the Commission's 
consideration of the staff's threat assessments based on coordination 
with law enforcement, intelligence, and homeland security agencies, the 
Commission's considerable experience in these matters, and the legal 
limitations on security forces available to licensees. In contrast, the 
Commission's determination of specific aspects of implementation of and 
compliance with the DBT rule, as described in the ACDs and regulatory 
guidance, may involve consideration, along with other factors, of the 
relative costs of various methods of implementing particular 
requirements of the DBTs. In summary:
    <bullet> NRC position: Disagrees with the comments.
    <bullet> Action: No action required.
2. Applicability of the Enemy of the State Rule
    Public Comment: Several commenters also suggested that the proposed 
rule does not clearly distinguish between a threat posed by an ``enemy 
of the state'' excluded by 10 CFR 50.13, and threats covered by the 
DBTs. They asserted that the phrase ``enemy of the state'' is ambiguous 
and can no longer be relied on to preclude the development of defensive 
measures at nuclear power plants. Those commenters again expressed 
concern that the division of responsibilities between the licensees and 
the national defense system are ambiguous.
    Other commenters argued that the Commission has failed to explain 
why the DBTs exclude an ``Al-Qaeda like terrorist organization'' as an 
``enemy of the state'' notwithstanding the Commission's statements in 
the vehicle bomb rulemaking, that described the characteristics of an 
``enemy of the state,'' that seemingly would have included organization 
like an Al-Qaeda.
    Commenters representing industry stated that licensees are not and 
should not be required to defend against threats posed by enemies of 
the United States. They argued that the DBTs represent the largest 
threat against which a private security force can reasonably be 
expected to defend, and that any escalation of this adversary would be 
inconsistent with 10 CFR 50.13. These threats are properly the 
responsibility of the national defense establishment and other security 
agencies.
    Response to Public Comment: The enemy of the state rule, 10 CFR 
50.13, was promulgated in 1967 amid concerns that Cuba might launch 
attacks against nuclear power plants in Florida. That rule (32 FR 
13455; September 26, 1967) was primarily intended to make clear that 
privately-owned nuclear facilities were not responsible for defending 
against attacks that typically could only be carried out by foreign 
military organizations. By contrast, the DBT rule does not focus on the 
identity,

[[Page 12715]]

sponsorship, or nationality of the adversaries. Instead, it 
affirmatively defines a range of attacks and capabilities against which 
nuclear power plants and Category I fuel cycle facilities must be 
prepared to defend. An adversary force that falls outside of the range 
of attacks against which nuclear facilities are reasonably expected to 
defend is considered to be ``beyond-DBT,'' regardless of whether it 
would or would not be deemed an ``enemy of the state.'' The Commission 
disagrees that any extension of the DBTs automatically conflicts with 
10 CFR 50.13. The Commission may revise the DBTs in response to changes 
in the threat environment without necessarily implicating 10 CFR 50.13. 
To be clear, ``beyond-DBT'' and ``enemy of the state'' are not 
equivalent concepts. In addition, improved response capabilities may 
become available to private security forces in the future. In that 
case, potential increases to the DBTs may be ``reasonable to expect a 
private force to protect against'' without coming into conflict with 
``enemy of the state.'' In summary:
    <bullet> NRC position: Disagrees with the comments.
    <bullet> Action: No action required.
3. Compliance With Administrative Procedure Act (APA) Notice and 
Comment Requirements
    Public Comment: Multiple commenters stated that sharing the ACDs 
with an exclusive group of parties constitutes a violation of the APA 
because the technical basis for the proposed rule is contained in those 
documents. Those commenters stated that the NRC should disclose the 
general and legal principles discussed in the exchange of the documents 
without releasing Safeguards Information. Another commenter expressed 
concern that the DBT rule is based on ex parte communications received 
from the nuclear industry after sharing the contents of the proposed 
rule only with certain parties. Also, because the general public has no 
idea what general legal or technical principles were discussed in these 
private communications, it could not intelligently comment on the 
proposed rule.
    Other commenters charged that the DBT rulemaking is simply 
codifying secret orders to avoid public scrutiny. Thus, they suggest 
that because the proposed rule did not contain specifics of the DBTs, 
the NRC is free to change the specific requirements without notice to 
the public, effectively conducting a secret rulemaking in violation of 
the APA.
    Industry commenters suggested that the ACDs and RGs should be 
incorporated by reference into the DBT rule to ensure adequate 
stakeholder participation in changes to the specific details of the 
DBTs. Otherwise, these commenters argue that the use of the ACDs and 
RGs has the potential for circumventing the APA and Paperwork Reduction 
Act.
    Response to Public Comment: The Commission is confident that the 
rulemaking process for the DBT rule complies with the APA. As set forth 
in the statements of consideration to the proposed rule (70 FR 67380, 
67382; November 7, 2005), the Commission has carefully balanced the 
public interest in knowing the security considerations for the 
protection of special nuclear material and the need for meaningful 
comment with security interests related to the disclosure of specific 
details of DBT adversaries. The result is a DBT rule that defines in 
reasonable detail a range of attacks against which licensees are 
required to defend. The DBT rule contains all of the requirements with 
which licensees must legally comply. No additional information was 
necessary to understand or to comment on the proposed DBT rule.
    The ACDs and RGs are guidance documents containing SGI and 
classified information, and describe how licensees can comply with the 
regulations. The ACDs and RGs are not regulations, and are not legally 
enforceable. The APA permits agencies to develop guidance documents 
like the ACDs and RGs without following notice-and-comment rulemaking 
requirements (5 U.S.C. 553(b)(3)(A)). Changing the guidance in the ACDs 
or RGs based on changes to the threat environment would not change the 
requirements of the rule.
    The text of the proposed rule provided ample information to enable 
meaningful comment on what the current level of protection for nuclear 
power plants and Category I fuel cycle facilities should entail. 
Members of the public can and have provided the Commission their views 
in this rulemaking on the number of attackers, amounts of explosives, 
and types of weapons that licensees should be required to defend 
against, even without having access to classified information or SGI. 
Therefore, access to the ACDs and the RGs was not necessary to enable 
meaningful public comment on the proposed DBT rule.
    One commenter suggested that it was improper for the Commission to 
share the draft ACDs and RGs with members of the nuclear industry but 
not members of the general public. The NRC shared the draft ACDs and 
RGs with licensees at the request of NEI before expiration of the 
initial comment period because NEI, in its capacity as the 
representative of the nuclear industry, had the appropriate clearance 
and a specific need to know the information in order to assist 
licensees in planning and designing protective strategies capable of 
defending against the DBTs. The NRC also shared those documents with 
the States of New Jersey and Illinois that had established a need to 
know and obtained appropriate clearance. Other NRC stakeholders do not 
necessarily share this need to know, and therefore, have not been 
granted access to the classified and SGI ACDs and RGs.
    The NRC did not provide the draft ACDs and RGs to enable industry 
comments on the rule, nor has the Commission received or considered 
non-public comments on the rule. The Commission reiterates that no SGI 
or classified information was necessary to enable public comment, nor 
were any non-public comments received or considered over the course of 
this rulemaking. All of the comments received and considered in this 
rulemaking have been made publicly available.
    Finally, the Commission disagrees that the ACDs and RGs should be 
incorporated by reference in the text of the final rule. As explained 
above, the ACDs and RGs are guidance documents. The legally-binding 
requirements are contained in the text of the rule. Incorporating these 
documents by reference would not only be inconsistent with that 
approach, but would potentially subject these documents to public 
disclosure based on the requirements of Section 552 of the APA, and the 
Office of the Federal Register regulations. In summary:
    <bullet> NRC position: Disagrees with the comments.
    <bullet> Action: No action required.
4. Ambiguous Rule Text
    Public Comment: Several commenters stated that the continued use of 
the phrase ``one or more teams'' in the rule ignores the inherent 
ambiguity of this type of construction, as identified in the Atomic 
Safety and Licensing Board's 2005 decision in the Catawba licensing 
proceedings. See Duke Energy Corporation (Catawba Nuclear Station, 
Units 1 and 2), LBP-05-10, 61 NRC 241, 297 (2005). The commenters 
argued that this construction i.e. use of the conjunction ``or'') 
permits licensees to select from one of two options (i.e. either one 
team or more teams), and thus permits licensees to develop their 
protective strategy ignoring the

[[Page 12716]]

possibility of three teams or more. The commenters therefore suggested 
that the rule be revised to eliminate use of this ambiguous 
construction. One commenter suggested rule text that read ``capable of 
operating in multiple teams, up to the maximum number of teams that can 
be formed from the adversary force, where a team has no fewer than two 
members.''
    Response to Public Comment: Though the Commission does not 
necessarily agree that the phrase ``capable of operating as one or more 
teams'' is ambiguous, in the final rule, it has nevertheless modified 
this language to be clear that licensees are required to defend against 
multiple modes of attack, including both a single group as well as 
multiple groups. Notably, the prior radiological sabotage DBT rule did 
not contain language requiring licensees to defend against multiple 
groups of adversaries, as specified in the theft or diversion DBT. The 
final rule adds a requirement to the radiological sabotage DBT that 
licensees protect against an adversary ``capable of operating in each 
of the following modes: a single group attacking through one entry 
point, multiple groups attacking through multiple entry points, a 
combination of one or more groups and one or more individuals attacking 
through multiple entry points, or individuals attacking through 
separate entry points,'' and the theft or diversion DBT has been 
revised for consistency. The rule therefore requires that licensees 
evaluate a wide range of possible attack scenarios when developing 
their protective strategies. Under the final rule, licensees must be 
able to defend against an attack from multiple entry points by a number 
of groups and/or individuals. Neither a protective strategy that is 
only capable of defending against a single group nor one that is only 
capable of defending against a number of smaller groups would meet the 
requirements of the rule. The revision of this language does not, 
however, change the scope of this provision as originally intended by 
the Commission in the proposed rule. The purpose of the change is 
merely to provide the clearest possible articulation of the rule's 
requirements. In summary:
    <bullet> NRC position: Disagrees with the comments.
    <bullet> Action: No action required.
5. Differentiation in Treatment of General and Specific Licenses for 
ISFSI
    Public Comment: One commenter stated that the NRC did not provide a 
specific rationale in the proposed rule as to why a specific license 
ISFSI with security requirements arising from the security requirements 
in 10 CFR 72.182 should be subject to a different DBT than a general 
license ISFSI with security requirements arising from 10 CFR 72.212, 
especially when nearly identical spent fuel in identical storage casks 
is stored at these two classes of licensees. The commenter requested 
that the NRC describe why these two types of ISFSIs should be treated 
differently from a DBT perspective in the final rule, or indicate that 
these licensees are subject to the same security requirements.
    Response to Public Comment: The commenter is correct in noting that 
specifically-licensed and generally-licensed ISFSIs are treated 
differently in the current regulations. For example, the current 
regulation in 10 CFR 73.1(a) contains an exemption for specifically-
licensed ISFSIs, subject to 10 CFR 72.182. However, the physical 
protection regulations for specifically-licensed ISFSIs, found at 10 
CFR 72.180 and 72.182, do not require protection against the DBT, so it 
is unnecessary to exempt specifically-licensed ISFSIs from the DBT 
regulation. By contrast, generally-licensed ISFSIs are required to 
protect against the DBT for radiological sabotage by 10 CFR 
72.212(b)(5), but by the same regulation, are excepted from certain 
specific requirements contained in the DBT. Ultimately, these 
discrepancies have no effect on the security of the facilities because 
both generally-licensed and specifically-licensed ISFSIs have 
equivalent protective measures in place, including those imposed by the 
October 2002 Order. The intent of this rulemaking was to update the 
DBTs applicable to power reactors and Category I fuel cycle facilities. 
Conforming changes were made to preserve the existing regulatory 
structure for other licensees. However, the NRC is currently 
considering future rulemakings to align the generally-licensed and 
specifically-licensed ISFSI requirements and to evaluate the 
application of the DBT. In summary:
    <bullet> NRC position: Agrees with the comments.
    <bullet> Action: No action required as part of this rulemaking.
6. Applicability of the Radiological Sabotage DBT to New Nuclear Power 
Plants
    Public Comments: Two commenters stated that the DBT for new nuclear 
power plants should be the same as for operating nuclear power plants. 
One commenter specifically stated that the proposed rule did not 
justify the adoption of different DBTs for new nuclear power plants. 
The commenter believes that the NRC has already set the DBTs at the 
level of the largest threat against which a private guard force can 
reasonably be expected to defend. Therefore, there is no reason to have 
a different set of DBTs for new nuclear power plants. The commenter 
expressed a concern that different DBTs for new plants could result in 
two different sets of DBTs for the same nuclear power plant site with a 
currently operating nuclear power plant.
    Response to Public Comment: The NRC agrees with the commenters that 
the radiological sabotage DBT should be uniformly applicable to new and 
currently operating nuclear power plants. In fact, the NRC did not 
propose different radiological sabotage DBTs for new nuclear power 
plants in the proposed rule. As stated by the Commission in the staff 
requirements memorandum on SECY-05-120, ``Security Design Expectations 
for New Reactor Licensing Activities,'' the expectation is that new 
reactors will be designed and constructed to be inherently more secure 
with less reliance on other elements of a traditional security program. 
To assess the security of new reactors, the NRC is developing proposed 
requirements for new reactor licensees to submit security assessments 
as part of their license application package. In summary:
    <bullet> NRC position: Agrees with the comments.
    <bullet> Action: No action required as part of this rulemaking.
7. Consideration of the Uniqueness of Each Facility in Application of 
the DBTs
    Public Comment: One commenter stated that each nuclear facility is 
unique due to its location and surrounding population, and therefore, 
the DBT for each facility must have its own specific requirements. The 
DBT cannot be a one-size fits all program.
    Response to Public Comment: The DBT rule specifies threat 
characteristics, and does not specify or include requirements for any 
specific programs. Site-specific security requirements are embodied in 
site security plans and security measures. The NRC does not agree with 
the statement submitted by the commenter that each facility must have 
its own specific requirements. Site-specific requirements are taken 
into account by licensees during development of their physical security 
plans. The NRC considers the site-specific requirements when it reviews 
and approves the plans, and tests the adequacy of the site-specific 
requirements when it conducts FOF exercises at nuclear power plants.
    It should be noted that the DBTs are comprised of attributes 
selected from

[[Page 12717]]

the overall threat environment. The technical bases for the DBTs are 
based on the NRC's periodic threat assessments performed in conjunction 
with the Federal intelligence and law enforcement communities for 
identification of changes in the threat environment. The assessments 
contain classified and SGI that cannot be publicly disclosed. The NRC 
believes that the DBTs should be uniformly applicable to all comparable 
nuclear facilities and will continue to ensure adequate protection of 
public health and safety and the common defense and security by 
requiring the secure use and management of radioactive materials. In 
summary:
    <bullet> NRC position: Disagrees with the comments.
    <bullet> Action: No action required.
8. Continued Exemption of Research and Test Reactors From the DBT 
Requirements
    Public Comment: Two commenters stated that research reactors 
possessing Category I quantities of highly-enriched uranium (HEU) must 
provide protection against theft at the same level as any other 
Category I facility.
    Response to Public Comment: The NRC disagrees with this comment. 
The NRC has made a policy decision that Research and Test Reactors 
(RTRs) who possess Category I quantities of Special Nuclear Material 
protect this material as specified in the physical protection 
requirements for non-power reactor fuel in 10 CFR 73.60(a) through (e) 
and 73.67. These regulations do not require licensees to protect 
against either the radiological sabotage or the theft or diversion DBT. 
Under 10 CFR 73.60, non-power reactor licensees who possess or use 5 
kilograms or greater of HEU are exempt from the requirements in 10 CFR 
73.60(a) through (e) if the HEU is not readily separable and has a 
total external radiation dose rate in excess of 100 rems per hour at a 
distance of 3 feet from any accessible surface without intervening 
shielding.
    It should also be noted that most RTRs possess limited quantities 
of nuclear material on-site, and that the nature and form of this 
material is not easily dispersed or handled. As a result, the NRC has 
determined that RTRs pose a relatively low risk to public health and 
safety from potential radiation exposure and has tailored the security 
requirements and oversight for these facilities consistent with their 
relatively low risk.
    The NRC requires that RTR licensees have security plans and/or 
procedures that reflect a graded approach which considers the 
attractiveness of the reactor fuel as a target, and the risk of 
radiological release. RTR security programs and systems provide for 
detection and response to unauthorized activities. In general, these 
programs include access control to the facilities, observation of 
activities within the facilities, and alarms or other devices to detect 
unauthorized presence. RTRs also have emergency plans in place to 
respond to emergency situations.
    Those RTRs that are still licensed to use HEU are either already 
scheduled to convert to low-enriched uranium (LEU) or intend to do so. 
The DOE is the lead agency for converting RTRs to LEU fuel. The NRC has 
been working with the DOE to facilitate this effort. In summary:
    <bullet> NRC Position: Disagrees with the comment.
    <bullet> Action: No action required.
9. Changes In NRC Security Requirements To Be Addressed Under the 
Backfit Rule
    Public Comment: One commentator stated that the Backfit Rule 
requires that the NRC perform a backfit analysis for changes in 
regulatory position. The commenter observed that the NRC has determined 
that a backfit analysis is not necessary in connection with the changes 
to the DBTs because the changes result from redefining the level of 
protection that should be regarded as adequate, but that such a 
determination should be supported by a documented evaluation and the 
proposed rulemaking does not provide such an evaluation, and each 
future change to the ACDs and RGs will require a separate backfit 
analysis.
    Response to Public Comment: The Commission disagrees with the 
comment that the proposed rulemaking does not provide a documented 
evaluation of its decision. As stated in the Federal Register (70 FR 
67387; November 7, 2005), the NRC has determined, pursuant to the 
exception in 10 CFR 50.109(a)(4)(iii) and 10 CFR 70.76(a)(4)(iv), that 
a backfit analysis is unnecessary for this rule. Sections 50.109 and 
70.76(a)(4)(iv) state, in pertinent part, that a backfit analysis is 
not required if the Commission finds and declares with appropriate 
documented evaluation for its finding that a ``regulatory action 
involves defining or redefining what level of protection to the public 
health and safety or common defense and security should be regarded as 
adequate.'' When the Commission imposed security enhancements by order 
in April 2003, it did so in response to an escalated domestic threat 
level. Since that time, the Commission has continued to monitor 
intelligence reports regarding plausible threats from terrorists 
currently threatening the U.S. The Commission has also gained 
experience from implementing the order requirements and reviewing 
revised licensee security plans. The Commission has considered all of 
this information and finds that the security requirements similar to 
those previously imposed by the April 29, 2003 Orders, which applied 
only to existing licensees, should be made generically applicable. The 
Commission further finds that the rule redefines the security 
requirements stated in existing NRC regulations, and is necessary to 
ensure that the public health and safety and common defense and 
security are adequately protected in the current, post-September 11, 
2001, environment.
    The Commission concurs with the commenter's position that 
documented evaluation should be performed when there are changes in 
ACDs and RGs necessitated by changes in the threat environment. In 
summary:
    <bullet> NRC position: Disagrees with first element of the comment. 
Concurs with the second element of the comment.
    <bullet> Action: No current action is required. Future changes in 
the ACDs and RGs will require a documented evaluation.
10. Compliance With the Paperwork Reduction Act
    Public Comment: Several commenters stated that the Paperwork 
Reduction Act is circumvented by this approach. The commenters assert 
that the proposed approach using RGs and ACDs to establish the details 
of the DBTs has the potential for circumventing the Paperwork Reduction 
Act, and avoiding proper regulatory analyses and backfit analyses. The 
rule provides broad requirements that lack details and provides the NRC 
with significant flexibility to change the details of the DBTs, which 
drives the design of protective measures and protective strategies 
without appropriate input from the affected regulated licensees.
    The Paperwork Reduction Act Statement in the proposed rule (70 FR 
67380; November 7, 2005) states that: ``This proposed rule does not 
contain new or amended information collection requirements subject to 
the Paperwork Reduction Act of 1995.'' The commenter believes that this 
statement is incorrect and underestimates the impact on licensees due 
to future changes to the RGs and ACDs. The Paperwork Reduction Act 
Statement is flawed and should be revised.
    Response to Public Comment: The DBT rule specifies threat 
characteristics used by licensees to design their

[[Page 12718]]

protective strategies. The rule does not contain prescriptive measures 
to be adopted by individual licensees. The ACDs and RGs include certain 
details and guidance related to such threat characteristics. This 
approach has been adopted because the ACDs and RGs contain SGI or 
classified information that cannot be disclosed in the public domain 
and would be useful to potential adversaries. This approach is not a 
circumvention of the Paperwork Reduction Act, but reflects the inherent 
dichotomy of the DBT rulemaking in trying to reach a balance between 
the needs for meaningful public participation and the requirement to 
protect SGI and classified information, where public disclosure of 
specific attributes or details of security designs or protective 
measures would have the potential of making them ineffective.
    The statement, ``This proposed rule does not contain new or amended 
information collection * * *. Act of 1995,'' is accurate. The final 
rule consolidates the supplemental requirements put in place by the 
orders with the previous DBTs in Sec.  73.1(a), and does not impose 
additional burden for the current licensees even though the rule 
contains a cyber threat as an additional attribute of the threat. This 
is because the licensees subject to the DBTs were directed by the 
Interim Compensatory Measures (ICM) Order (EA-02-026) to consider and 
address cyber safety and security vulnerabilities. In April 2003, the 
Orders (EA-03-086) and (EA-03-087) that supplemented the DBT, also 
contained language concerning the cyber threat. Licensees were 
subsequently provided with a cyber security self-assessment 
methodology, the results of pilot studies, and a guidance document 
issued by the NEI to facilitate development of site cyber security 
programs. The designated licensees have done so accordingly.The burden 
for future licensees will be covered under 10 CFR Part 52 (3150-0151). 
In summary:
    <bullet> NRC Position: Disagrees with the comment.
    <bullet> Action: No action required.
11. Adequacy of the Regulatory Analysis
    Public Comment: A commenter stated that the regulatory analysis is 
based on an incorrect premise and should be revised. A statement in the 
Regulatory Analysis states that ``Impacts upon the licensees from this 
proposed rule would be minimal. Because the adversary characteristics 
would remain consistent with those promulgated by orders, no technical 
changes will be required. Licensees may need to update references in 
their security plan documentation, which could be accomplished without 
NRC review and in conjunction with future plan updates.'' One commenter 
believes that this statement is incorrect and underestimates the impact 
on licensees.
    Response to Public Comment: The Commission disagrees with the 
commenter that the regulatory analysis is based on an incorrect premise 
and should be revised. The regulatory analysis contained in the 
proposed rule stated that, ``The proposed regulatory action would not 
involve imposition of any new requirements, and would not expand the 
DBTs beyond the requirements in place under NRC regulations and 
orders.'' Consequently, the DBT amendments would not require existing 
licensees to make additional changes to their current NRC-approved 
security plans. This premise was correct then and is correct even now 
because a cyber threat is explicitly included as an attribute of the 
final rule. Even though the regulatory action involves the imposition 
of a cyber threat as an explicit requirement, this does not impose 
additional burden for the licensees. This is because the licensees 
subject to the DBTs were directed by the ICM Order (EA-02-026) to 
consider and address cyber safety and security vulnerabilities. 
Licensees were subsequently provided with a cyber security self-
assessment methodology, the results of pilot studies, and a guidance 
document issued by the NEI to facilitate development of site cyber 
security programs. This additional requirement in the final rule does 
not expand the DBTs beyond the requirements currently in place under 
existing NRC regulations and orders. Consequently, DBT amendments will 
not require existing licensees to make additional changes to their 
current NRC-approved security plans. However, the NRC acknowledges that 
any future changes to the threat environment may effect the ACDs and 
RGs, and could possibly effect the licensees' security plans that would 
require either NRC's approval or official communications noting the 
changes to the NRC. This may also impose additional burden on the 
licensees. In those events, the regulatory analysis would be changed 
accordingly. In summary:
    <bullet> NRC Position: Disagrees with the comment.
    <bullet> Action: Regulatory Analysis to be changed when there is 
change in the threat environment in the future.
12. Compliance With the National Environmental Policy Act (NEPA)
    Public Comment: Several commenters stated that the proposed rule 
fails to satisfy NEPA, and the NRC must prepare an Environmental Impact 
Statement (EIS) for the proposed rule because this is a major federal 
action significantly affecting the quality of the human environment. 
These commenters stated that the action is significant because ``the 
NRC's limitations on the scope of adversaries against which `a private 
security force could reasonably be expected to defend' bears directly 
on the degree to which public health and the environment will be 
protected against the impacts of accidents caused by terrorist 
attacks.'' Further, commenters suggested that the NEPA commenting 
process would be a better forum to disclose and discuss the policy 
considerations associated with development of the DBTs.
    Response to Public Comment: The Commission disagrees that this rule 
requires the completion of an EIS, and that the NEPA commenting process 
would provide a better forum for discussion of sensitive security 
issues. The NEPA and the Commission's regulations at 10 CFR 51.20(a)(1) 
only require preparation of an EIS if the proposed action is a major 
Federal action significantly affecting the quality of the human 
environment. The NRC prepared an environmental assessment (EA) for the 
proposed rule (70 FR 67387; November 7, 2005) and found that there 
would be no significant environmental impact associated with 
implementation of the proposed rule if adopted; and therefore, 
concluded that no EIS was necessary. NEPA (40 CFR.1508.8(b)) only 
requires that the Commission consider the ``reasonably foreseeable'' 
environmental effects of its actions in determining whether an EIS is 
necessary. Effects that are remote, speculative, or embody the worst-
case outcome of a particular action do not require an EIS.\2\ In this 
instance, the consequences of a terrorist attack cannot be said to be 
``an effect'' of this rule, and analyzing the effects of a terrorist 
attack

[[Page 12719]]

would be speculative at best. NEPA does not require such an inquiry.
---------------------------------------------------------------------------

    \2\ The Commission recognizes that its position on the necessity 
of a terrorism analysis as part of an environmental review for a 
specific proposed facility has been called into question by a recent 
decision in the 9th Circuit Court of Appeals (San Luis Obispo 
Mothers for Peace v. NRC, 449 F.3d 1016 (9th Cir. 2006)). However, 
the 9th Circuit's determination that the potential environmental 
effects of a terrorist attack as a result of the licensing of an 
Independent Spent Fuel Storage Installation should be considered, 
does not necessarily lead to the conclusion that such effects should 
be considered as part of this rulemaking action.
---------------------------------------------------------------------------

    The Commission does not agree that the NEPA process would provide a 
better forum for disclosure and discussion of the DBT rule than this 
rulemaking action. It is not clear how publishing an EIS for public 
comment would result in the disclosure of additional information 
because NEPA does not provide any other mechanism how additional 
information on a proposed rule could be obtained by commenters; the APA 
notice and comment process provides ample opportunity to comment and 
provide pertinent information on the proposed rules. Nor does a request 
by a member of the public to have access to additional information on a 
particular agency action mandate that the agency conduct a full EIS. 
All information necessary for public comment on the proposed rule has 
been made available and therefore, no greater level of detail contained 
in the ACDs and RGs need to be discussed in the NEPA comment process. 
The Commission's public comment process in developing an EIS is not a 
forum for sensitive security issues. In summary:
    <bullet> NRC Position: Disagrees with the comment.
    <bullet> Action: No action required.
13. Issuance of Annual Report Card on Individual Licensees
    Public Comment: One commenter stated that the NRC should publish an 
annual report card assessing specific plant performance to defeat 
attacks in ongoing ``table top'' and mock ``force-on-force'' exercises.
    Response to Public Comment: The NRC partially agrees with the 
statements submitted by the commenter. Section 651 of the EPAct 
required that the Commission submit two annual reports to the Congress, 
one classified and another unclassified, describing the results of the 
Commission's force-on-force exercises and related corrective actions. 
The detailed results of security-related drills and exercises are, and 
will remain, protected as SGI because this information can provide 
insights to potential adversaries in planning of attacks. The 
Commission recently submitted the first set of these reports to 
Congress. The unclassified version of the annual report to the Congress 
is publicly available, and posted on the NRC's website. Through these 
reports, the NRC provides information regarding the overall security 
performance of the commercial nuclear power plants to keep Congress and 
the public informed of the NRC's efforts to help protect our nation's 
electric power infrastructure against terrorist attacks. In addition, 
the NRC recently revised its policy on public availability of security 
inspection results. Under the revised policy, the existence of 
inspection findings for a specific site's FOF exercises will be 
identified in the publicly available cover letter transmitting the 
inspection results to the licensee. In summary:
    <bullet> NRC Position: Partially agrees with the comment.
    <bullet> Action: No action required as part of this rulemaking.
Group III. Out of Scope Comments
    Though the following topics and comments are pertinent to the 
security issues of nuclear facilities, they are not directly relevant 
to the DBT rulemaking. The DBT rule identifies general threat 
characteristics, but does not require specific protective strategies 
and security measures to defend against and thwart attacks. 
Accordingly, the following comments are deemed outside the scope of 
this rule. However, relevant information is provided as background 
material to facilitate a better understanding of the existing security 
measures in place and planned for the future, and to answer the 
underlying questions and issues raised in the following public 
comments.
14. Federalization of Security
    Public Comment: Commenters stated that the proposed rule should 
indicate that the threat of an air attack exceeds the defensive 
capabilities of a plant's security forces, and that the Federal 
government should either take over the security of the plant and/or 
integrate the response from local, State, and Federal government 
resources.
    Response to Public Comment: The Commission disagrees with the 
comment. Federalization of nuclear power plant security is outside of 
the scope of the proposed rule. However, the following background 
information is provided for a clearer understanding of the issues 
involved and the rationale of the Commission's position.
    The issue of a Federal protective security force to provide 
protection at commercial power reactors was initially studied by the 
NRC and documented in a report to Congress, ``Security Agency Study,'' 
(August 1976). The study found that the ``* * * creation of a Federal 
guard force would not result in a higher degree of guard force 
effectiveness than can be achieved by the use of private guards, 
properly trained, qualified, trained and certified by the NRC.'' 
Shortly after September 11, 2001, this issue was again raised. The NRC 
continues to support the concept that a private security guard force 
with special emphasis on performance based training and full 
accountability is the best approach to securing our nation's commercial 
nuclear facilities. The security for nuclear facilities should be 
addressed in the context of the protection of other sensitive 
infrastructure. Society should allocate its security resources 
according to the relative risks, and, as a result, the separation of 
nuclear facilities from all other types of sensitive infrastructure 
will fragment the analysis inappropriately.
    Past legislation proposed that the NRC establish a security force 
for sensitive nuclear facilities. Current security forces at sensitive 
nuclear facilities are well-trained, and have high retention rates. 
This change would bring about a fundamental shift in the responsibility 
and mission of the NRC, diverting the agency from being an independent 
regulator of nuclear safety and security to being a provider of nuclear 
security. This could create command and control issues because it would 
establish two classes of employees at nuclear sites: licensee staff to 
ensure the safe operation of the reactors and Federal staff to ensure 
security. This could lead to conflicts and confusion in emergency 
situations, that could diminish nuclear safety.
    The change would serve to increase the Federal budget needlessly. 
Presumably, given the enhancement in the security threat against which 
the guard force would be required to defend, the NRC would be required 
to hire more guards than currently exists at sensitive nuclear 
facilities (more than 7,000 new Federal workers, which is more than 
twice the number of staff now employed by the NRC.) These new workers 
would have to undergo extensive background checks, be trained and 
qualified, and be armed and equipped. The training of this force alone 
would likely overload any Federal law enforcement agency's training 
capability. Presumably, the NRC would have to assume the responsibility 
for establishment of new security barriers and communications 
capabilities at the nuclear facilities that by itself raises 
complicated issues associated with the interplay of security barriers 
and safety considerations. The NRC estimates that the additional cost 
to the Federal government to implement these changes may well be over 
$1 billion a year.
    Supplementing the guard force with Federal forces inside the plant 
areas raises similar concerns. National Guard forces and local/State 
law enforcement units have been used successfully at a number of 
facilities to provide additional security external to the plants

[[Page 12720]]

when deemed necessary, circumventing difficult command and control 
issues. Such an external capability can more easily be ``surged'' when 
needed. In sum, the Commission does not believe such a change is 
needed. In the Commission's view, the qualified, trained, and tightly 
regulated private guard forces at nuclear plants should not be replaced 
by a new Federal security force. In summary:
    <bullet> NRC position: Disagrees with the comment.
    <bullet> Action: No action required.
15. Force-on-Force (FOF) Testing of Security
    Public Comment: Several commenters stated that security and FOF 
exercises must be upgraded in order to demonstrate a high degree of 
confidence that site security forces are able to repel an assault like 
the September 11, 2001, attack. In addition, under Section 651(a)(1)(b) 
of the EPAct, the NRC shall mitigate any potential conflict of interest 
that could influence the results of a FOF exercise. In some instances, 
the same contractor had supplied both the security guards as well as 
the mock terrorists.
    Response to Public Comment: The Commission disagrees with the 
comment. The requirements related to FOF testing are outside the scope 
of this rule. However, the following is provided as background 
information pertinent to this comment.
    The NRC FOF exercise program is designed to provide a realistic 
evaluation of the proficiency of licensee security forces against a 
threat consistent with the supplemented DBTs reflected in the orders 
issued by the Commission on April 29, 2003. After the attacks of 
September 11, 2001, the agency has expanded and refined its FOF program 
to make the exercises more realistic. These changes have significantly 
increased the level of complexity for each exercise in terms of 
planning, preparation, and logistical support.
    The NRC agrees that a credible, well-trained, and consistent mock 
adversary force is vital to the NRC's FOF program. Therefore, the NRC 
has worked with the nuclear industry to develop a composite adversary 
force (CAF) that is trained to the standards issued by the Commission. 
The new CAF has been used for all FOF exercises conducted after October 
2004 and represents a significant improvement in ability, consistency, 
and effectiveness over the previous adversary forces. The NRC continues 
to evaluate the CAF at each exercise using rigorous NRC performance 
standards.
    The CAF is currently managed by a company (Wackenhut) that provides 
much of the security for U.S. nuclear power plants and is, therefore, 
well-versed in the security operations of nuclear power plants. The NRC 
recognizes that there may be a perception of a conflict of interest. 
The NRC established a clear separation of functions between the CAF and 
plant security force to ensure an independent, reliable, and credible 
mock adversary force. In addition, the CAF composition includes 
security officers that are not employed by Wackenhut and no member of 
the CAF may participate in an exercise at his or her home site.
    It is important to emphasize that the NRC, not the CAF, designs, 
runs, and evaluates the results of the FOF exercises. Because the CAF 
does not establish the exercise objectives, boundaries, or timelines, 
and the CAF's performance is subject to continual observation and 
evaluation by the NRC and its contractors, the agency controls the 
exercise. If the industry is unable to maintain an adequate and 
objective CAF that meets the standards mandated by the NRC, the NRC 
will take the necessary actions to ensure the effectiveness of the 
force-on-force evaluation program. The NRC is documenting requirements 
for the performance of FOF testing as well as implementing EPAct 
requirements for the mitigation of conflict of interest in a separate 
rulemaking. In summary:
    <bullet> NRC Position: Disagrees with the comment.
    <bullet> Action: No action required.
16. Screening of Workers in Nuclear Power Plants
    Public Comment: One commenter stated that the NRC must be able to 
regulate or at least oversee the initial and follow-up screening of 
temporary and permanent workers who will have access to the reactor 
vessel, the spent fuel pool, and the related valves, generators, pumps, 
electrical systems, and miles of piping that are required for the 
plant's operation and are vulnerable as terrorist targets.
    Response to Public Comment: The Commission agrees with the comment 
to the extent that the NRC does regulate the screening of both 
permanent and temporary workers with unescorted access to the protected 
area. The DBT rule does not regulate or oversee specific programs. 
Instead, it defines the general threat against which licensees must be 
able to defend against with high assurance. Accordingly, NRC regulation 
or oversight of screening of workers at nuclear power plants is outside 
the scope of this rule.
    However, it should be noted that the NRC requires licensees to have 
an access authorization program that meets NRC requirements. 10 CFR 
73.56, ``Personnel access authorization requirements for nuclear power 
plants,'' requires all 10 CFR 50 and 52 licensees to include the 
required access authorization program as part of their site Physical 
Security Plan. Specifically, 10 CFR 73.56 states that the licensee is 
responsible for granting, denying, or revoking unescorted access 
authorization to any contractor, vendor, or other affected organization 
employee. Those requirements are intended to ensure that personnel 
granted unescorted access to vital areas of a nuclear power plant are 
trustworthy and reliable, and do not constitute an unreasonable risk to 
the health and safety of the public, including a potential to commit 
radiological sabotage. In summary:
    <bullet> NRC Position: Agrees with the comment.
    <bullet> Action: No action required.
17. Self-Sufficient Defense Capabilities
    Public Comment: Two commenters stated that in some regions, notably 
in large metropolitan areas, communication and transportation modes 
make it impossible to provide outside help in time to aid in facility 
defense following a terrorist attack.
    Response to Public Comment: The Commission disagrees with the 
comment. The capabilities of off-site responders are beyond the scope 
of this rule. However, the following provides an overview of the 
existing programs and policies in place for addressing issues raised in 
this comment.
    After the September 11, 2001 attacks, the NRC has worked with 
licensees, the DHS, and State and local governments to improve the 
capabilities of first responders as part of the National Infrastructure 
Protection Plan. Part of this program includes conducting Comprehensive 
Reviews of commercial nuclear site security. The Comprehensive Review, 
led by the DHS, is a Government and private sector analysis of critical 
infrastructure facilities to determine the facilities' exposure to 
potential terrorist attack, the consequences of such an attack, and the 
integrated prevention and response capabilities of the owner/operator, 
local law enforcement, and emergency response organizations.
    The results are used to enhance the security posture of the 
facilities and community first responders by using short-term 
improvements in equipment, training, and processes; and informing 
longer-term risk-based investments and

[[Page 12721]]

science and technology decisions. In less than a year, Comprehensive 
Reviews have resulted in identifying readily adaptable, low-cost 
protective measures for increased readiness and preparedness in the 
event of a terrorist attack or natural disaster. The nuclear sector was 
the first of the sectors to participate in these reviews. A number of 
Federal agencies participated in various assessments involving these 
facilities. Although recognizing that nuclear plants are the best-
protected assets of our critical infrastructure, those Federal agencies 
and the nuclear industry also recognized the value of a unified, 
collaborative effort to enhance the protection of these vital assets. 
In summary:
    <bullet> NRC Position: Disagrees with the comment.
    <bullet> Action: No action required.
18. Security of Dry Cask Storage
    Public Comment: Multiple commenters expressed concerns regarding 
vulnerabilities of dry cask storage at nuclear power plants under 
terrorist attacks. The commenters suggested that dry cask storage 
should be protected by:
    (i) Separation with a minimum spacing of 50 yards between each 
cask,
    (ii) Hardening with beamhenge, and/or
    (iii) Burial in earthen mounds.
    One commenter stated that the NRC must require berming of dry 
storage casks as part of the DBT.
    Response to Public Comment: The Commission disagrees with the 
commenters' statements. In addition, requirements related to the 
security of dry cask storage are beyond the scope of this rulemaking. 
However, design basis and vulnerabilities assessment of dry cask 
storage facilities are provided below as background information for 
better understanding of existing requirements.
    Dry cask storage facilities (e.g., independent spent fuel storage 
installations (ISFSIs)) at nuclear power plants are designed to protect 
against external events such as tornados, hurricanes, fires, floods, 
and earthquakes. The standards in 10 CFR Part 72 Subpart E, ``Siting 
Evaluation Factors,'' and Subpart F, ``General Design Criteria,'' 
ensure that the dry cask storage designs are very rugged and robust. 
The casks must maintain structural, thermal, shielding, criticality, 
and confinement integrity during a variety of postulated external 
events including cask drops, tip-over, and wind driven missile impacts.
    After the terrorist attacks of September 11, 2001, the Commission 
initiated a program in 2002 to assess the capability of nuclear 
facilities to withstand terrorist attacks. As part of the program, the 
Commission analyzed the performance of ISFSIs under aircraft attacks 
and has evaluated the results of detailed security assessments 
involving large commercial aircraft attacks, which were performed on 
four representative spent fuel casks. The large aircraft impact studies 
included structural analyses of the aircraft impact into a single cask 
and the resulting cask-to-cask interactions. Those evaluations indicate 
that it is highly unlikely that a significant release of radioactivity 
would occur from an aircraft impact on a dry spent fuel storage cask.
    The Commission is finalizing the security assessments for a number 
of representative spent fuel storage casks for additional types of 
attacks and weaponry (including ground attacks), and will continue to 
evaluate the results of the ongoing assessments. Based upon these 
results and any other new information, the Commission will evaluate 
whether any change to its spent fuel storage policy is warranted. The 
Commission issued a security order for ISFSIs in October 2002, and 
required the licensees to implement additional enhancement measures for 
dry cask storage. These enhancements to security included increased 
vehicle standoff distances, additional security posts, and improved 
coordination with law enforcement and intelligence communities, as well 
as strengthened safety-related mitigation procedures and strategies. In 
summary:
    <bullet> NRC Position: Disagrees with the comment.
    <bullet> Action: No action required.
19. Security of Spent Fuel Pools
    Public Comment: Four commenters expressed concerns regarding 
vulnerabilities of spent fuel storage pools at nuclear power reactors 
under terrorist attacks. The comments referenced the summary of the 
study performed by the National Academy of Science (NAS) which 
indicated that a terrorist attack on spent fuel pools is a credible 
threat and may lead to a release of a large amount of radioactive 
materials to the environment if it were successful. One comment 
specifically stated that not only is the NRC's response to the findings 
of the NAS study slow, but also, that the NRC has no intention of 
addressing these risk issues. It further stated that the apparent 
absence of a concerted spent fuel security program in the revised DBT 
is further evidence of the NRC's failure to recognize and address the 
problem.
    Response to Public Comment: Security program requirements are the 
subject of another rulemaking, namely 10 CFR 73.55. Accordingly, the 
need for a concerted spent fuel security program in the revised DBT is 
beyond the scope of this rule. In addition, the Commission disagrees 
with the statements submitted by the commenters. The following is 
provided as background information pertinent to these comments.
    The NRC has taken numerous actions to enhance the security of spent 
nuclear fuel, and will take appropriate additional action as necessary 
as a result of on-going evaluations. Before September 11, 2001, spent 
fuel was well protected by physical barriers, armed guards, intrusion 
detection systems, area surveillance systems, access controls, and 
access authorization requirements for employees working inside the 
plants. After September 11, 2001, the NRC has enhanced its 
requirements, and licensees have increased their resources to improve 
security at nuclear power plants. For example, the NRC's February 25, 
2002 Order to power reactor licensees dealt with spent fuel pool 
cooling capabilities in the event of a terrorist attack. As a result of 
the supplemented DBT, the security of spent fuel pools has been 
enhanced at operating power reactors.
    The NRC also initiated a program in 2002 to assess the capability 
of nuclear facilities to withstand a terrorist attack. The early focus 
of that program was on power reactors, including spent fuel pools. As 
the results of that program became available, the NRC provided power 
reactor licensees additional guidance in February 2005 on the 
implementation of the February 2002 Order regarding spent fuel 
mitigation measures. The power reactor licensees responded to these 
additional specific recommendations in May 2005. Mitigating measures 
that are being or have been established include those specifically 
recommended in the NAS study regarding fuel distribution and enhanced 
cooling capabilities.
    The NRC is working with industry to conduct additional plant-
specific damage assessments for a range of potential attack scenarios. 
The NRC continues to evaluate spent fuel pool security in FOF 
exercises, which the NRC conducts at least once every three years at 
each power reactor site. In summary:
    <bullet> NRC Position: Disagrees with the comment.
    <bullet> Action: No action required.
    20. Inherent Design Problems That Make Power Reactors Vulnerable
    Public Comment: One commenter stated that the present DBTs ignore

[[Page 12722]]

vulnerabilities inherent in the design of nuclear facilities. The 
commenter stated that the NRC has granted exemptions from certain 
safety regulations (e.g., Appendix R fire protection standards) to many 
licensees that present obvious and unacceptable vulnerabilities. The 
commenter stated that the vulnerability of fire-safety related pump 
rooms at a nuclear power plant under an attack scenario was 
disregarded. The commenter further related the documentation of 
concerns of vulnerabilities regarding inherent design problems through 
numerous petitions and allegations to the NRC.
    Response to Public Comment: The Commission disagrees with the 
commenter's statement that the present DBTs ignore vulnerabilities 
inherent in the design of nuclear facilities. The Commission has high 
assurance that the designs of currently operating reactors are safe, 
and provide adequate security protection. Moreover, the notion of 
``inherent design vulnerabilities'' of nuclear facilities is beyond the 
scope of this rule, since the DBTs do not specify specific protective 
measures, such as design features. However, plant specific 
vulnerabilities are considered during the process of target set 
development and are utilized during force-on-force testing to assure 
the licensee is capable of defending the plant. In addition, the NRC is 
undertaking several separate rulemakings related to this issue. For 
instance, the Commission has proposed a rule that would amend its 
regulations related to security requirements for power reactors (71 FR 
62664; October 26, 2006). Also, the Commission is considering issuing a 
proposed rule that would require applicants to assess specific design 
features that would be incorporated into the final design to support 
overall security effectiveness of nuclear power plants.
    With respect to the commenter's statement on the exemptions from 
certain safety regulations (e.g., Appendix R fire protection 
standards), the NRC staff believes that the comment is out of scope of 
this rulemaking. However, a response to the issue raised in this 
question is in order. To that end, the following information is 
provided as background information.
    Plants licensed to operate before January 1, 1979, must comply with 
fire protection requirements as specified in 10 CFR 50.48(b) that 
backfit paragraphs III.G, J and O of Appendix R. Plants licensed to 
operate after January 1, 1979, must comply with the approved fire 
protection program incorporated into their operating license. When the 
Commission promulgated 10 CFR Part 50, Appendix R, the Commission 
recognized that there would be plant specific conditions and 
configurations where strict compliance with the prescriptive features 
specified in Appendix R would not significantly enhance the level of 
fire safety already provided by the licensee. Therefore, in certain 
cases, where the licensee could demonstrate an equivalent level of fire 
safety that satisfied the underlying purpose of the rule, the licensee 
could apply for a specific exemption from Appendix R. Thus, the 
exemption process allowed through 10 CFR 50.12 provides a means of 
allowing licensees to meet Appendix R through alternate means.
    The NRC has granted and continues to grant exemptions when a 
licensee meets the criteria of 10 CFR 50.12 and demonstrates that the 
alternate means provide an adequate level of fire safety. The NRC 
believes that individual fire protection exemptions have had a small 
impact on plant risk.
    Regarding the commenter's statement concerning the petitions and 
allegations documented and submitted to the NRC, the NRC is currently 
preparing responses to those that have been received.
    <bullet> NRC Position: Disagrees with the comment that the present 
DBTs ignore vulnerabilities inherent in the design of nuclear 
facilities.
    <bullet> Action: No action is required with respect to this DBT 
rulemaking. However, the NRC will provide proper responses to the 
petitions and allegations that have been received.

III. Summary of Specific Changes Made to the Proposed Rule as a Result 
of Public Comment

    One change is being made to the rule to add a cyber threat as an 
explicit element of the DBT rule for both external and internal 
adversaries.
    The previous DBT requirements in 10 CFR 73.1 did not specifically 
include the threat of a cyber attack. However, a cyber attack 
capability was implied in the proposed 10 CFR 73.1 issued for public 
comment in the Federal Register on November 7, 2005 (70 FR 67380). 
Under Section 651(a)(2) of the EPAct of 2005, Congress also directed 
NRC to consider making an ``assessment of physical, cyber, biochemical, 
and other terrorist threats'' when developing the revised rule, and the 
NRC specifically asked for public comment on whether this and a number 
of other aspects should be included in the DBT. One commenter 
specifically referred to the need for the DBT rule to contain 
requirements pertaining to cyber attack capabilities.
    The NRC has historically required licensees to evaluate cyber 
vulnerabilities. In February 2002, licensees subject to the DBTs were 
directed by ICM Order (EA-02-026) to consider and address cyber safety 
and security vulnerabilities. In April 2003, NRC Orders (EA-03-086 and 
EA-03-087) that supplemented the DBTs contained language concerning the 
threat of a cyber attack. Licensees were subsequently provided with a 
cyber security self-assessment methodology and the results of pilot 
studies, as well as additional guidance issued by the nuclear industry, 
to facilitate development of site cyber security programs.
    The February 2003, U.S. National Strategy to Secure Cyberspace 
suggests that the cyber threat likely will increase both in capability 
and frequency in the future. In light of this threat, the cyber 
security programs already initiated by the industry, the proposed draft 
10 CFR 73.55(m), ``Digital Computer and Communication Networks,'' that 
is included in the proposed rule on power reactor security requirements 
(71 FR 62664; October 26, 2006), and the requirements of the EPAct of 
2005, the Commission has decided to include a cyber attack as an 
element of the DBT.

IV. Section-by-Section Analysis

    The following provides a comparison between the previous rule text 
and the final rule text in 10 CFR 73.1.
    (a) Previous Rule: Purpose. This part prescribes requirements for 
the establishment and maintenance of a physical protection system which 
will have capabilities for the protection of special nuclear material 
at fixed sites and in transit and of plants in which special nuclear 
material is used. The following design basis threats, where referenced 
in ensuing sections of this part, shall be used to design safeguards 
systems to protect against acts of radiological sabotage and to prevent 
the theft of special nuclear material. Licensees subject to the 
provisions of Sec. Sec.  72.182, 72.212, 73.20, 73.50, and 73.60 are 
exempt from 73.1(a)(1)(i)(E) and 73.1(a)(1)(iii).
    (a) Final Rule: Purpose. This part prescribes requirements for the 
establishment and maintenance of a physical protection system which 
will have capabilities for the protection of special nuclear material 
at fixed sites and in transit and of plants in which special nuclear 
material is used. The following design basis threats, where referenced 
in ensuing sections of this part, shall be used to design safeguards 
systems to protect against acts of radiological sabotage and to prevent 
the

[[Page 12723]]

theft or diversion of special nuclear material. Licensees subject to 
the provisions of Sec.  73.20 (except for fuel cycle licensees 
authorized under part 70 of this chapter to receive, acquire, possess, 
transfer, use, or deliver for transportation formula quantities of 
strategic special nuclear material), Sec. Sec.  73.50, and 73.60, are 
exempt from Sec. Sec.  73.1(a)(1)(i)(E), 73.1(a)(1)(iii), 
73.1(a)(1)(iv), 73.1(a)(2)(iii), 73.1(a)(2)(iv). Licensees subject to 
the provisions of Sec.  72.212 are exempt from Sec.  73.1(a)(1)(iv).
    (a) Change: The paragraph is modified to clarify that the DBT is 
designed to protect against diversion in addition to theft of special 
nuclear material. The exemptions are updated based on the order 
requirements and conforming changes to other paragraphs of this part.
    (1)(i) Previous Rule: Radiological sabotage. (i) A determined 
violent external assault, attack by stealth, or deceptive actions, of 
several persons with the following attributes, assistance and 
equipment:
    (1)(i) Final Rule: Radiological sabotage. (i) A determined violent 
external assault, attack by stealth, or deceptive actions, including 
diversionary actions, by an adversary force capable of operating in 
each of the following modes: a single group attacking through one entry 
point, multiple groups attacking through multiple entry points, a 
combination of one or more groups and one or more individuals attacking 
through multiple entry points, or individuals attacking through 
separate entry points, with the following attributes, assistance and 
equipment:
    (1)(i) Change: The paragraph adds new capabilities to the DBT 
including operation in multiple modes of attack. The language in the 
final rule was modified to provide specificity that licensees are 
required to maintain the capability to protect against several modes, 
and that a physical security plan only capable of defending against one 
of the prescribed modes would not satisfy the requirements of the rule.
    (1)(i)(A) Previous Rule: Well-trained (including military training 
and skills) and dedicated individuals,
    (1)(i)(A) Final Rule: Well-trained (including military training and 
skills) and dedicated individuals, willing to kill or be killed, with 
sufficient knowledge to identify specific equipment or locations 
necessary for a successful attack,
    (1)(i)(A) Change: The paragraph adds adversaries who are willing to 
kill or be killed and are knowledgeable about specific target selection 
to the DBT.
    (1)(i)(B) Previous Rule: Inside assistance which may include a 
knowledgeable individual who attempts to participate in a passive role 
(e.g., provide information), an active role (e.g., facilitate entrance 
and exit, disable alarms and communications, participate in violent 
attack), or both,
    (1)(i)(B) Final Rule: Active (e.g., facilitate entrance and exit, 
disable alarms and communications, participate in violent attack) or 
passive (e.g., provide information), or both, knowledgeable inside 
assistance,
    (1)(i)(B) Change: The reference to an individual is removed and the 
paragraph reworded to provide flexibility in defining the scope of the 
inside threat.
    (1)(i)(C) Previous Rule: Suitable weapons, up to and including 
hand-held automatic weapons, equipped with silencers and having 
effective long range accuracy,
    (1)(i)(C) Final Rule: Suitable weapons, including hand-held 
automatic weapons, equipped with silencers and having effective long 
range accuracy,
    (1)(i)(C) Change: The phrase ``up to and including'' is changed to 
``including'' to provide flexibility in defining the range of weapons 
licensees must be able to defend against.
    (1)(i)(D) Previous Rule: Hand-carried equipment, including 
incapacitating agents and explosives for use as tools of entry or for 
otherwise destroying reactor, facility, transporter, or container 
integrity or features of the safeguards system, and
    (1)(i)(D) Final Rule: Hand-carried equipment, including 
incapacitating agents and explosives for use as tools of entry or for 
otherwise destroying reactor, facility, transporter, or container 
integrity or features of the safeguards system, and
    (1)(i)(D) Change: This description is not revised by the final 
rule.
    (1)(i)(E) Previous Rule: A four-wheel drive land vehicle used for 
transporting personnel and their hand-carried equipment to the 
proximity of vital areas, and
    (1)(i)(E) Final Rule: Land and water vehicles, which could be used 
for transporting personnel and their hand-carried equipment to the 
proximity of vital areas, and
    (1)(i)(E) Change: The scope of vehicles licensees must defend 
against is expanded to include water vehicles and a range of land 
vehicles beyond four-wheel drive vehicles.
    (1)(ii) Previous Rule: An internal threat of an insider, including 
an employee (in any position), and
    (1)(ii) Final Rule: An internal threat, and
    (1)(ii) Change: The current rule describes the internal threat as a 
threat posed by an individual. The language is revised to provide 
flexibility in defining the scope of the internal threat.
    (1)(iii) Previous Rule: A four-wheel drive land vehicle bomb.
    (1)(iii) Final Rule: A land vehicle bomb assault, which may be 
coordinated with an external assault, and
    (1)(iii) Change: The paragraph is updated to reflect that licensees 
are required to protect against a wide range of land vehicles. A new 
mode of attack not previously part of the DBT regulations is added 
indicating that adversaries may coordinate a vehicle bomb assault with 
another external assault.
    (1)(iv) Previous Rule: None.
    (1)(iv) Final Rule: A waterborne vehicle bomb assault, which may be 
coordinated with an external assault, and
    (1)(iv) Change: The paragraph adds a new mode of attack not 
previously part of the DBT, that being a waterborne vehicle bomb 
assault. This paragraph also adds a coordinated attack concept.
    (1)(v) Previous Rule: None.
    (1)(v) Final Rule: A cyber attack.
    (1)(v) Change: Adds a cyber attack. The capability to exploit site 
computer and communications system vulnerabilities to modify or destroy 
data and programming code, deny access to systems, and prevent the 
operation of the computer system and the equipment it controls.
    (2)(i) Previous Rule: Theft or diversion of formula quantities of 
strategic special nuclear material. (i) A determined, violent, external 
assault, attack by stealth, or deceptive actions by a small group with 
the following attributes, assistance, and equipment:
    (2)(i) Final Rule: Theft or diversion of formula quantities of 
strategic special nuclear material. (i) A determined violent external 
assault, attack by stealth, or deceptive actions, including 
diversionary actions, by an adversary force capable of operating in 
each of the following modes: a single group attacking through one entry 
point, multiple groups attacking through multiple entry points, a 
combination of one or more groups and one or more individuals attacking 
through multiple entry points, or individuals attacking through 
separate entry points, with the following attributes, assistance and 
equipment:
    (2)(i) Change: The paragraph adds new adversary capabilities to the 
DBT including operation in multiple modes of attack. The language in 
the final rule was modified to provide specificity that

[[Page 12724]]

licensees are required to maintain the capability to protect against 
several modes, and that a physical security plan only capable of 
defending against one of the prescribed modes would not satisfy the 
requirements of the rule.
    (2)(i)(A) Previous Rule: Well-trained (including military training 
and skills) and dedicated individuals;
    (2)(i)(A) Final Rule: Well-trained (including military training and 
skills) and dedicated individuals, willing to kill or be killed, with 
sufficient knowledge to identify specific equipment or locations 
necessary for a successful attack;
    (2)(i)(A) Change: The paragraph adds to the DBT adversaries who are 
willing to kill or be killed and are knowledgeable about specific 
target selection.
    (2)(i)(B) Previous Rule: Inside assistance that may include a 
knowledgeable individual who attempts to participate in a passive role 
(e.g., provide information), an active role (e.g., facilitate entrance 
and exit, disable alarms and communications, participate in violent 
attack), or both;
    (2)(i)(B) Final Rule: Active (e.g., facilitate entrance and exit, 
disable alarms and communications, participate in violent attack) or 
passive (e.g., provide information), or both, knowledgeable inside 
assistance;
    (2)(i)(B) Change: The reference to an individual is removed and the 
paragraph reworded to provide flexibility in defining the scope of the 
inside threat.
    (2)(i)(C) Previous Rule: Suitable weapons, up to and including 
hand-held automatic weapons, equipped with silencers and having 
effective long-range accuracy;
    (2)(i)(C) Final Rule: Suitable weapons, including hand-held 
automatic weapons, equipped with silencers and having effective long-
range accuracy;
    (2)(i)(C) Change: The phrase ``up to and including'' is changed to 
``including'' to provide flexibility in defining the range of weapons 
licensees must be able to defend against.
    (2)(i)(D) Previous Rule: Hand-carried equipment, including 
incapacitating agents and explosives for use as tools of entry or for 
otherwise destroying reactor, facility, transporter, or container 
integrity or features of the safeguards system;
    (2)(i)(D) Final Rule: Hand-carried equipment, including 
incapacitating agents and explosives for use as tools of entry or for 
otherwise destroying reactor, facility, transporter, or container 
integrity or features of the safeguards system; and
    (2)(i)(D) Change: This description is not revised by the final 
rule.
    (2)(i)(E) Previous Rule: Land vehicles used for transporting 
personnel and their hand-carried equipment; and
    (2)(i)(E) Final Rule: Land and water vehicles, which could be used 
for transporting personnel and their hand-carried equipment.
    (2)(i)(E) Change: The scope of vehicles licensees must defend 
against is expanded to include water vehicles and a range of land 
vehicles beyond four-wheel drive vehicles.
    (2)(i)(F) Previous Rule: The ability to operate as two or more 
teams.
    (2)(i)(F) Final Rule: Deleted.
    (2)(i)(F) Change: This requirement is included in (2)(i).
    (2)(ii) Previous Rule:An individual, including an employee (in any 
position), and
    (2)(ii) Final Rule: An internal threat,
    (2)(ii) Change: The current rule describes the internal threat as a 
threat posed by an individual. The language is revised to provide 
flexibility in defining the scope of the internal threat.
    (2)(iii) Previous Rule: A conspiracy between individuals in any 
position who may have:
    (A) Access to and detailed knowledge of nuclear power plants or the 
facilities referred to in Sec.  73.20(a), or
    (B) Items that could facilitate theft of special nuclear material 
(e.g., small tools, substitute material, false documents, etc.), or 
both.
    (2)(iii) Final Rule: A land vehicle bomb assault, which may be 
coordinated with an external assault, and
    (2)(iii) Change: The paragraph is updated to reflect that licensees 
are required to protect against a wide range of land vehicles. A new 
mode of attack not previously part of the DBT is added indicating that 
adversaries may coordinate a vehicle bomb assault with another external 
assault.
    (2)(iv) Previous Rule: None.
    (2)(iv) Final Rule: A waterborne vehicle bomb assault, which may be 
coordinated with an external assault.
    (2)(iv) Change: The paragraph would add a new mode of attack not 
previously part of the DBT, that being a waterborne vehicle bomb 
assault. This coordinated attack concept is another upgrade to the 
current regulation.
    (2)(v) Previous Rule: None.
    (2)(v) Final Rule: A cyber attack.
    (2)(v) Change: Adds a cyber attack. The capability to exploit site 
computer and communications system vulnerabilities to modify or destroy 
data and programming code, deny access to systems, and prevent the 
operation of the computer system and the equipment it controls.
    The Commission concludes that the amendments to Sec.  73.1 will 
continue to ensure adequate protection of public health and safety and 
the common defense and security by requiring the secure use and 
management of radioactive materials. The revised DBTs represent the 
largest threats against which private sector facilities must be able to 
defend with high assurance. The amendments to 10 CFR 73.1 reflect 
requirements currently in place under existing NRC regulations and 
orders.

V. Guidance

    The NRC staff is preparing new regulatory guides (RGs) to provide 
detailed guidance on the revised DBT requirements in 10 CFR 73.1. These 
guides are intended to assist current licensees in ensuring that their 
security plans meet requirements in the revised rule, as well as future 
license applicants in the development of their security programs and 
plans. The new guidance incorporates the insights gained from applying 
the earlier guidance that was used to develop, review, and approve the 
site security plans that licensees put in place in response to the 
April 2003 Orders. As such, this regulatory guidance is expected to be 
consistent with revised security measures at current licensees. The 
publication of the RGs is planned to coincide with the publication of 
the final rule.
    1. Regulatory Guide (RG-5.69) , ``Guidance for the Implementation 
of the Radiological Sabotage Design-Basis Threat (Safeguards).'' This 
regulatory guide will provide guidance to the industry on the 
radiological sabotage DBT. RG-5.69 contains SGI and, therefore, is 
being withheld from public disclosure and distributed on a need-to-know 
basis to those who otherwise qualify for access.
    2. Regulatory Guide (RG-5.70), ``Guidance for the Implementation of 
the Theft or Diversion Design-Basis Threat (Classified).'' This 
regulatory guide will provide guidance to the industry on the theft or 
diversion DBT. RG-5.70 contains classified information and, therefore, 
is withheld from public disclosure and distributed only on a need to 
know basis to those who otherwise qualify for access.

VI. Resolution of Petition (PRM-73-12)

    The staff incorporated consideration of a petition for rulemaking 
into this rulemaking filed by the Committee to Bridge the Gap (PRM-73-
12) on July 23, 2004. The petition requests that NRC conduct a 
rulemaking to revise the DBT regulations (including numbers, teams, 
capabilities, planning, willingness to die, and other characteristics 
of

[[Page 12725]]

adversaries) to a level that encompasses, with a sufficient margin of 
safety, the terrorist capabilities demonstrated during the attacks of 
September 11, 2001. The petition also requests that security plans, 
systems, inspections, and FOF exercises be revised in accordance with 
the amended DBTs. Finally, the petition requests that a requirement be 
added to Part 73 to require licensees to construct shields against air 
attack (referred to as ``beamhenges'') so that nuclear power plants 
would be able to withstand an air attack from a jumbo jet similar to 
the September 11, 2001, attacks.
    PRM-73-12 was published for public comment in the Federal Register 
on November 8, 2004 (69 FR 64690). There were 845 comments submitted on 
PRM-73-12, of which 528 were form letters. The staff reviewed both the 
petition and the comments on the petition against the supplemental DBTs 
to determine if the DBTs should be revised as requested by the 
petitioner. Based on this review, the NRC staff determined that a 
number of the proposed revisions in PRM-73-12 had already been set 
forth in the proposed DBT rule language. The NRC partially granted PRM-
73-12 as stated in the public notice of the proposed 10 CFR 73.1 DBT 
rulemaking, (See, 70 FR 67380; November 7, 2005), but deferred action 
on other aspects of the petition, particularly with respect to its 
consideration of the airborne threat, to the final rulemaking.
    During the course of this rulemaking, the Commission considered if 
it would be necessary to add some type of airborne threat as part of 
the DBTs. After careful evaluation and consideration, the Commission 
has chosen a two-track response to the air threat that excludes 
physical security measures such as ``beamhenge.'' First, the Commission 
determined that active protection against the airborne threat requires 
military weapons and ordinance (i.e., ground-based air defense 
missiles), that rightfully belong to the Department of Defense. Thus, 
the airborne threat is one which is beyond what a private security 
force can reasonably be expected to defend against. Second, licensees 
have been directed to implement certain mitigative measures to limit 
the effects of an aircraft strike. Therefore, the Commission has denied 
the request of the petition PRM-73-12 regarding the inclusion of the 
airborne threat in the DBTs, as well as beamhenge as physical security 
measures. More detailed information in support of the Commission's 
position is provided in the comment resolutions for Factor 6, the 
potential for water-based and air-based threats, and Factor 9, the 
potential for fires, especially fires of long duration.

VII. Criminal Penalties

    For the purposes of Section 223 of the Atomic Energy Act, as 
amended, the Commission is issuing the final rule to revise 10 CFR 73.1 
under Sections of 161b, 161i, or 161o of the Atomic Energy Act of 1954 
(AEA). Criminal penalties, as they apply to regulations in Part 73, are 
discussed in 10 CFR 73.81.

VIII. Compatibility of Agreement State Regulations

    Under the ``Policy Statement on Adequacy and Compatibility of 
Agreement States Programs, ``approved by the Commission on June 20, 
1997, and published in the Federal Register (62 FR 46517; September 3, 
1997), this rule is classified as compatibility ``NRC.'' Compatibility 
is not required for Category ``NRC'' regulations. The NRC program 
elements in this category are those that relate directly to areas of 
regulation reserved to the NRC by the AEA or the provisions of Title 10 
of the Code of Federal Regulations, and although an Agreement State may 
not adopt program elements reserved to NRC, it may wish to inform its 
licensees of certain requirements via a mechanism that is consistent 
with the particular State's administrative procedure laws, but does not 
confer regulatory authority on the State.

IX. Availability of Documents

    Some documents discussed in this notice are not available to the 
public. The following table indicates which documents are available to 
the public and how they may be obtained. Public Document Room (PDR). 
The NRC Public Document Room is located at 11555 Rockville Pike, 
Rockville, Maryland 20852. Rulemaking Website (Web). The NRC's 
interactive rulemaking Website is located at: //ruleforum.llnl.gov. 
These documents may be viewed and downloaded electronically via this 
Web site. NRC's Electronic Reading Room (ERR). The NRC's electronic 
reading room is located at http://www.nrc.gov/reading-rm.html.

----------------------------------------------------------------------------------------------------------------
                  Document                           PDR              Web                     ERR
----------------------------------------------------------------------------------------------------------------
Environmental Assessment...................                  X             X   ML070530261
Regulatory Analysis........................                  X             X   ML070530193
Public Comments on PRM-73-12...............                  X             X   ML053040061
Radiological Sabotage Adversary                             no            no    no
 Characteristics document.
Theft or diversion Adversary                                no            no    no
 Characteristics document.
Technical Basis Document...................                 no            no    no
RG 5.69 on Radiological Sabotage...........                 no            no    no
RG -5.70 on Theft or Diversion.............                 no            no    no
Memorandum: Status of Security-Related                       X             X   ML041180532
 Rulemaking.
Commission SRM dated August 23, 2004.......  ..................  ............  ML042360548
Memorandum: Schedule for Part 73                             X             X   ML043060572
 Rulemakings.
Letter to Petitioner.......................                  X             X   ML052920150
Commission SRM dated October 27, 2005......                  X             X   ML053000448
Proposed Rulemaking dated November 7, 2005.                  X             X   ML060090310
Public Comments on Proposed Rule...........                  X             X   ML062130575
Commission SRM dated January 29, 2007......                  X             X   ML070290286
Final Rulemaking...........................                  X             X   ML070520692
----------------------------------------------------------------------------------------------------------------

X. Plain Language

    The Presidential memorandum dated June 1, 1998, entitled ``Plain 
Language in Government Writing,'' published on June 10, 1998 (63 FR 
31883) directed that the Government's documents be in plain, clear, and 
accessible language. The NRC requested comments on the proposed rule 
specifically with respect to the clarity and effectiveness of the 
language used. No specific comments were received on the proposed rule 
related to this issue.

[[Page 12726]]

XI. Voluntary Consensus Standards

    The National Technology Transfer and Advancement Act of 1995, Pub. 
L. 104-113, requires that Federal agencies use technical standards that 
are developed or adopted by voluntary consensus standards bodies unless 
using such a standard is inconsistent with applicable law or is 
otherwise impractical. The NRC is not aware of any voluntary consensus 
standard that could be used instead of the proposed Government-unique 
standards. The NRC will consider using a voluntary consensus standard 
if an appropriate standard is identified.

XII. Finding of No Significant Environmental Impact: Environmental 
Assessment: Availability

    The Commission has determined under the National Environmental 
Policy Act of 1969, as amended, and the Commission's regulations in 
Subpart A of 10 CFR Part 51, that this rule is not a major Federal 
action significantly affecting the quality of the human environment 
and, therefore, an environmental impact statement is not required.
    The determination of this environmental assessment is that there 
will be no significant off-site impact to the public from this action.
    The NRC sent a copy of the environmental assessment and the 
proposed rule to every State Liaison Officer and requested their 
comments on the environmental assessment. No comments were received 
from the State Liaison Officer on the environmental assessment.

XIII. Paperwork Reduction Act Statement

    This final rule does not contain new or amended information 
collection requirements and, therefore is not subject to the Paperwork 
Reduction Act of 1995 (44 U.S.C. 3501 et seq.). Existing information 
collection requirements were approved by the Office of Management and 
Budget, approval number 3150-0002. The burden for all future licensees 
will be covered under 10 CFR Part 52 (3150-0151) as part of the 
combined operator license applications.

Public Protection Notification

    The NRC may not conduct or sponsor, and a person is not required to 
respond to, a request for information or an information collection 
requirement unless the requesting document displays a currently valid 
OMB control number.

XIV. Regulatory Analysis

    The Commission has prepared a regulatory analysis on this 
regulation. The analysis examines the costs and benefits of the 
alternatives considered by the Commission. The Commission requested 
public comment on the draft regulatory analysis. Comments on the draft 
analysis have been addressed in Section II of this document. 
Availability of the regulatory analysis is provided in Section VIII of 
this document.

XV. Regulatory Flexibility Certification

    Under the Regulatory Flexibility Act (5 U.S.C. 605(b)), the 
Commission certifies that this rule does not have a significant 
economic impact on a substantial number of small entities. This final 
rule affects only the licensing and operation of nuclear power plants 
and Category I fuel cycle facilities. The companies that own these 
plants do not fall within the scope of the definition of ``small 
entities'' set forth in the Regulatory Flexibility Act or the size 
standards established by the NRC (10 CFR 2.810).

XVI. Backfit Analysis

    The NRC has determined, pursuant to the exception in 10 CFR 
50.109(a)(4)(iii) and 10 CFR 70.76(a)(4)(iv), that a backfit analysis 
is unnecessary for this final rule. Sections 50.109 and 70.76(a)(4)(iv) 
state, in pertinent part, that a backfit analysis is not required if 
the Commission finds and declares with appropriate documented 
evaluation for its finding that a ``regulatory action involves defining 
or redefining what level of protection to the public health and safety 
or common defense and security should be regarded as adequate.'' The 
final rule increases the security requirements currently prescribed in 
NRC regulations, and is necessary to protect nuclear facilities against 
potential terrorists. When the Commission imposed security enhancements 
by order in April 2003, it did so in response to an escalated domestic 
threat level. Since that time, the Commission has continued to monitor 
intelligence reports regarding plausible threats from terrorists 
currently facing the U.S. The Commission has also gained experience 
from implementing the order requirements and reviewing revised licensee 
security plans. The Commission has considered all of this information 
and finds that security requirements similar to those previously 
imposed by the DBT Orders, which applied only to existing licensees, 
should be made generically applicable. The Commission further finds 
that the final rule would redefine the security requirements stated in 
existing NRC regulations, and is necessary to ensure that the public 
health and safety and common defense and security are adequately 
protected in the current, post-September 11, 2001 environment.

XVII. Congressional Review Act

    Under the Congressional Review Act of 1996, NRC has determined that 
this action is not a ``major rule'' and has verified this determination 
with the Office of Information and Regulatory Affairs of OMB.

List of Subjects in 10 CFR Part 73

    Criminal penalties, Export, Hazardous materials transportation, 
Import, Nuclear materials, Nuclear power plants and reactors, Reporting 
and recordkeeping requirements, and Security measures.


0
For the reasons set out in the preamble and under the authority of the 
Atomic Energy Act of 1954, as amended; the Energy Reorganization Act of 
1974, as amended; and 5 U.S.C. 552 and 553; the NRC is adopting the 
following amendments to 10 CFR part 73.

PART 73--PHYSICAL PROTECTION OF PLANTS AND MATERIALS

0
1. The authority citation for part 73 continues to read as follows:

    Authority: Secs. 53, 161, 68 Stat. 930, 948, as amended, sec. 
147, 94 Stat. 780 (42 U.S.C. 2073, 2167, 2201); sec. 201, as 
amended, 204, 88 Stat. 1242, as amended, 1245, sec. 1701, 106 Stat. 
2951, 2952, 2953 (42 U.S.C. 5841, 5844, 2297f); sec. 1704, 112 Stat. 
2750 (44 U.S.C. 3504 note). Section 73.1 also issued under secs. 
135, 141, Pub. L. 97-425, 96 Stat. 2232, 2241 (42 U.S.C, 10155, 
10161). Section 73.37(f) also issued under sec. 301, Pub. L. 96-295, 
94 Stat. 789 (42 U.S.C. 5841 note). Section 73.57 is issued under 
sec. 606, Pub. L. 99-399, 100 Stat. 876 (42 U.S.C. 2169).


0
2. In Sec.  73.1, paragraph (a) is revised to read as follows:


Sec.  73.1  Purpose and scope.

    (a) Purpose. This part prescribes requirements for the 
establishment and maintenance of a physical protection system which 
will have capabilities for the protection of special nuclear material 
at fixed sites and in transit and of plants in which special nuclear 
material is used. The following design basis threats, where referenced 
in ensuing sections of this part, shall be used to design safeguards 
systems to protect against acts of radiological sabotage and to prevent 
the theft or diversion of special nuclear material. Licensees subject 
to the provisions of Sec.  73.20 (except for fuel cycle licensees 
authorized under Part 70 of this chapter

[[Page 12727]]

to receive, acquire, possess, transfer, use, or deliver for 
transportation formula quantities of strategic special nuclear 
material), Sec. Sec.  73.50, and 73.60 are exempt from Sec. Sec.  
73.1(a)(1)(i)(E), 73.1(a)(1)(iii), 73.1(a)(1)(iv), 73.1(a)(2)(iii), and 
73.1(a)(2)(iv). Licensees subject to the provisions of Sec.  72.212 are 
exempt from Sec.  73.1(a)(1)(iv).
    (1) Radiological sabotage. (i) A determined violent external 
assault, attack by stealth, or deceptive actions, including 
diversionary actions, by an adversary force capable of operating in 
each of the following modes: A single group attacking through one entry 
point, multiple groups attacking through multiple entry points, a 
combination of one or more groups and one or more individuals attacking 
through multiple entry points, or individuals attacking through 
separate entry points, with the following attributes, assistance and 
equipment:
    (A) Well-trained (including military training and skills) and 
dedicated individuals, willing to kill or be killed, with sufficient 
knowledge to identify specific equipment or locations necessary for a 
successful attack;
    (B) Active (e.g., facilitate entrance and exit, disable alarms and 
communications, participate in violent attack) or passive (e.g., 
provide information), or both, knowledgeable inside assistance;
    (C) Suitable weapons, including hand-held automatic weapons, 
equipped with silencers and having effective long range accuracy;
    (D) Hand-carried equipment, including incapacitating agents and 
explosives for use as tools of entry or for otherwise destroying 
reactor, facility, transporter, or container integrity or features of 
the safeguards system; and
    (E) Land and water vehicles, which could be used for transporting 
personnel and their hand-carried equipment to the proximity of vital 
areas; and
    (ii) An internal threat; and
    (iii) A land vehicle bomb assault, which may be coordinated with an 
external assault; and
    (iv) A waterborne vehicle bomb assault, which may be coordinated 
with an external assault; and
    (v) A cyber attack.
    (2) Theft or diversion of formula quantities of strategic special 
nuclear material. (i) A determined violent external assault, attack by 
stealth, or deceptive actions, including diversionary actions, by an 
adversary force capable of operating in each of the following modes: a 
single group attacking through one entry point, multiple groups 
attacking through multiple entry points, a combination of one or more 
groups and one or individuals attacking through multiple entry points, 
or individuals attacking through separate entry points, with the 
following attributes, assistance and equipment:
    (A) Well-trained (including military training and skills) and 
dedicated individuals, willing to kill or be killed, with sufficient 
knowledge to identify specific equipment or locations necessary for a 
successful attack;
    (B) Active (e.g., facilitate entrance and exit, disable alarms and 
communications, participate in violent attack) or passive (e.g., 
provide information), or both, knowledgeable inside assistance;
    (C) Suitable weapons, including hand-held automatic weapons, 
equipped with silencers and having effective long-range accuracy;
    (D) Hand-carried equipment, including incapacitating agents and 
explosives for use as tools of entry or for otherwise destroying 
reactor, facility, transporter, or container integrity or features of 
the safe-guards system;
    (E) Land and water vehicles, which could be used for transporting 
personnel and their hand-carried equipment; and
    (ii) An internal threat; and
    (iii) A land vehicle bomb assault, which may be coordinated with an 
external assault; and
    (iv) A waterborne vehicle bomb assault, which may be coordinated 
with an external assault; and
    (v) A cyber attack.
* * * * *

    Dated at Rockville, Maryland this 13th day of March 2007.
    For the Nuclear Regulatory Commission.
Annette L. Vietti-Cook,
Secretary of the Commission.
[FR Doc. 07-1317 Filed 3-16-07; 8:45 am]
BILLING CODE 7590-01-P


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