10 CFR Part 50, Domestic Licensing of Production and Utilization Facilities

U.S. NUCLEAR REGULATORY COMMISSION
OFFICE OF NUCLEAR REGULATORY RESEARCH

November 2015
Division 1

DRAFT REGULATORY GUIDE
Technical Leads
Eric Bowman
Charles Murray

DRAFT REGULATORY GUIDE DG-1319
(Proposed New Regulatory Guide 1.228)

INTEGRATED RESPONSE CAPABILITIES
FOR BEYOND-DESIGN-BASIS EVENTS
A. INTRODUCTION
Purpose
This regulatory guide (RG) identifies methods and procedures the staff of the U.S. Nuclear
Regulatory Commission (NRC) considers acceptable for nuclear power reactor applicants and licensees to
demonstrate compliance with NRC regulations covering integrated planning and preparedness for
beyond-design-basis events as required by U.S. Code of Federal Regulations, Title 10, “Energy,” Part 50,
“Domestic Licensing of Production and Utilization Facilities,” (10 CFR 50) (Ref. 1), Section 50.155,
“Mitigation of Beyond-Design-Basis Events,” (10 CFR 50.155) and Appendix E, “Emergency Planning
and Preparedness for Production and Utilization Facilities,” Section VII, “Communications and Staffing
Requirements for the Mitigation of Beyond Design Basis Events.”
This RG endorses, with clarifications, the methods and procedures promulgated by the Nuclear
Energy Institute (NEI) in the following documents as methods the NRC staff considers acceptable for
meeting portions of the regulations in 10 CFR 50.155 and 10 CFR Part 50, Appendix E, Section VII:
•

NEI 12-01, “Guidelines for Assessing Beyond-Design-Basis Accident Response Staffing and
Communication Capabilities,” Revision 0, dated May 2012 (Ref. 2). This NEI document was
previously endorsed by the NRC in a letter from Mr. David Skeen to Ms. Susan Perkins-Grew
dated May 15, 2012 (Ref. 3).

•

NEI 13-06, “Enhancements to Emergency Response Capabilities for Beyond-Design-Basis
Events and Severe Accidents,” Revision 0, dated September 2014 (Ref. 4), and

This regulatory guide is being issued in draft form to involve the public in the early stages of the development of a staff guidance
position in this area. It has not received final NRC review or approval and does not represent an official NRC final position.
Public comments are being solicited on this draft guide (including any implementation schedule) and its associated regulatory
analysis or value/impact statement. Comments should be accompanied by appropriate supporting data. Written comments may be
submitted to the Rules, Announcements, and Directives Branch, Office of Administration, U.S. Nuclear Regulatory Commission,
Washington, DC 20555-0001; submitted through the NRC’s interactive rulemaking Web page at http://www.nrc.gov; or faxed to
(301) 492-3446. Copies of comments received may be examined at the NRC’s Public Document Room, 11555 Rockville Pike,
Rockville, MD. Comments would be most helpful if received within 90 days after publication of the request for comment in the
Federal Register.
Electronic copies of this draft regulatory guide are available through the NRC’s interactive rulemaking Web page (see above); the
NRC’s public Web site under Draft Regulatory Guides in the Regulatory Guides document collection of the NRC Library at
http://www.nrc.gov/reading-rm/doc-collections/; and the NRC’s Agencywide Documents Access and Management System
(ADAMS) at http://www.nrc.gov/reading-rm/adams.html, under Accession No. ML14265A070. The regulatory analysis may be
found in ADAMS under Accession No. ML15049A212.

•

NEI 14-01, “Emergency Response Procedures and Guidelines for Beyond-Design-Basis Events
and Severe Accidents.” Revision 0, dated September 2014 (Ref. 5)

Applicable Orders and Regulations
•

U.S. Code of Federal Regulations, Title 10, “Energy,” Chapter I, “Nuclear Regulatory
Commission,” Part 50, “Domestic Licensing of Production and Utilization Facilities” (10 CFR
Part 50). Part 50, referenced subsections, and appendix provide the requirements that support this
guidance.

•

10 CFR 50.155(b), “Integrated Response Capability,” requires licensees to develop, implement,
and maintain an integrated response capability that includes mitigation strategies for beyonddesign-basis external events and extensive damage mitigation guidelines. Section 50.155(b) also
requires nuclear power reactor licensees to integrate these strategies and guidelines with existing
Emergency Operating Procedures (EOPs), provide sufficient staffing and a supporting
organizational structure with defined roles, responsibilities, and authorities to support
implementation of the integrated response capability.

•

10 CFR 50.155(d), “Training requirements,” requires licensees to provide training and
qualification of personnel that perform activities in accordance with the strategies and guidelines
required by 10 CFR 50.155(b).

•

10 CFR 50.155(e), “Drills and Exercises,” requires licensees to perform drills or exercises to
demonstrate the capability to use the strategies and guidelines required by10 CFR 50.155(b).

•

10 CFR Part 50, Appendix E, “Emergency Planning and Preparedness for Production and
Utilization Facilities,” Section IV, “Content of Emergency Plans,” requires licensees to have the
means to determine the magnitude of, and continually assess the impact of, the release of
radioactive materials from all reactor core and spent fuel pool sources on-site.

•

10 CFR Part 50, Appendix E, Section VII, “Communications and Staffing Requirements for the
Mitigation of Beyond Design Basis Events,” Subsection 1 requires applicants or licensees to
perform a detailed analysis demonstrating sufficient staff is available to respond to a beyonddesign-basis external event affecting all units on a site.

•

10 CFR Part 50, Appendix E, Section VII, Subsection 2 requires applicants or licensees to make
and describe adequate provisions for at least one on-site and one off-site communications system
capable of remaining functional during an extended loss of alternating current (ac) power to
include effects of the loss of local communications infrastructure.

Purpose of Regulatory Guides
The NRC issues RGs to describe to the public methods that the staff considers acceptable for use
in implementing specific parts of the agency’s regulations, to explain techniques that the staff uses in
evaluating specific problems or postulated accidents, and to provide guidance to applicants. Regulatory
guides are not substitutes for regulations and compliance with them is not required. Methods and
solutions that differ from those set forth in RGs will be deemed acceptable if they provide a basis for the
findings required for the issuance or continuance of a permit or license by the Commission.

DG-1319, Page 2

Paperwork Reduction Act
This RG contains information collection requirements covered by 10 CFR Part 50 that the Office
of Management and Budget (OMB) approved under OMB control number 3150-0011. The NRC may
neither conduct nor sponsor, and a person is not required to respond to, an information collection request
or requirement unless the requesting document displays a currently valid OMB control number.

B. DISCUSSION
Reason for Issuance
One of the primary lessons learned from the events at Fukushima Dai-ichi was the significance of
the challenge presented by a loss of safety-related systems following the occurrence of a beyond-designbasis external event. In the case of Fukushima Dai-ichi, the extended loss of ac power condition caused
by the tsunami led to loss of core cooling and a significant challenge to containment. The design basis for
U.S. nuclear power plants includes bounding analyses with margin for external events expected at each
site. Extreme external events (e.g., seismic events, external flooding) beyond those accounted for in the
design basis are highly unlikely but could present challenges to nuclear power plants.
The regulations in 10 CFR Part 50, Appendix E require each nuclear power plant licensee to have
enhanced on-site emergency response capabilities to address the impact of beyond-design-basis external
events affecting multiple units and source terms on a site, where applicable.
This RG addresses these challenges by endorsing, with clarifications, the processes in 3 NEI
documents, NEI 12-01, 13-06, and 14-01. The NRC staff believes that the strategies and methods in these
3 NEI documents will enhance a licensee’s ability to implement their on-site emergency response
capability to respond to such events.
Background
Following the March 11, 2011 events at the Fukushima Dai-ichi nuclear power plant, the NRC
established a senior-level agency task force referred to as the Near-Term Task Force (NTTF). The NTTF
conducted a systematic and methodical review of the NRC regulations and processes to determine if the
agency should make additional improvements to these programs in light of the events at Fukushima Daiichi. As a result of this review, the NTTF developed a comprehensive set of recommendations,
documented in SECY-11-0093, “Near-Term Report and Recommendations for Agency Actions
Following the Events in Japan,” dated July 12, 2011 (Ref. 6). As directed in staff requirements
memorandum (SRM) for SECY-11-0093, (Ref. 7) the NRC staff reviewed the NTTF recommendations
within the context of the NRC’s existing regulatory framework and considered the various regulatory
vehicles available to the NRC to implement the recommendations. The NRC staff also considered the
input obtained from interactions with stakeholders. Documentation of the staff’s efforts is contained in
SECY-11-0124, “Recommended Actions to be Taken without Delay from the Near-Term Task Force
Report,” dated September 9, 2011 (Ref. 8) and SECY-11-0137, “Prioritization of Recommended Actions
to be Taken in Response to Fukushima Lessons Learned,” dated October 3, 2011 (Ref. 9).
After receiving the Commission’s direction in SRM-SECY-11-0124 (Ref. 10) and SRM-SECY11-0137 (Ref. 11), the NRC staff issued a request for information (RFI) (Ref. 12) asking each licensee to
assess its current communications system and equipment under conditions of on-site and off-site damage
and prolonged loss of all ac power and perform a staffing study to determine the number and
qualifications of staff required to fill all necessary positions in response to a multi-unit event on a single

DG-1319, Page 3

site. The NRC staff also conducted a series of public meetings (a list of public meeting summaries is
included as Ref. 13) to discuss the implementation guidance for enhanced emergency response
capabilities for beyond-design-basis events.
The issuing of new regulations in 10 CFR 50.155 will, in part, strengthen and integrate onsite
emergency response processes, procedures, training and exercises. The NRC is also amending the
regulations in 10 CFR Part 50, Appendix E to require enhanced on-site emergency response capabilities.
This RG provides implementation guidance for a portion of the regulations in 10 CFR 50.155 and Part 50,
Appendix E by adopting, with clarifications, NEI 12-01, 13-06, and 14-01 as acceptable methods for
licensees to demonstrate compliance with these regulatory requirements.
External Documents Endorsed in This Guide
This RG endorses, in part, the use of one or more codes, standards, or guidance documents
developed by external organizations. These codes, standards, and third party guidance documents may
contain references to other codes, standards, or third party guidance documents (“secondary references”).
If a secondary reference has itself been incorporated by reference into NRC regulations as a requirement,
then licensees and applicants must comply with that standard as set forth in the regulation. If the
secondary reference has been endorsed in an RG as an acceptable approach for meeting an NRC
requirement, then the standard constitutes a method acceptable to the NRC staff for meeting that
regulatory requirement as described in the specific RG. If the secondary reference has neither been
incorporated into NRC regulations nor endorsed in an RG, the secondary reference is neither a legallybinding requirement nor a “generic” NRC approved acceptable approach for meeting an NRC
requirement. However, licensees and applicants may consider and use the information in the secondary
reference, if appropriately justified, consistent with current regulatory practice, and consistent with
applicable NRC requirements.
Harmonization with International Standards
The International Atomic Energy Agency (IAEA) has established a series of technical reports,
safety guides and standards constituting a high level of safety for protecting people and the environment.
IAEA guides present international good practices and identify best practices to help users striving to
achieve high levels of safety. This RG and the NEI technical document endorsed by it contain guidance
about beyond-design-basis external event mitigation similar to guidance under revision by the IAEA.

C. STAFF REGULATORY GUIDANCE
The NRC staff considers the following NEI technical reports acceptable for use subject to the
following:
NEI 12-01

Guidelines for Assessing Beyond Design Basis Accident Response Staffing and
Communications Capabilities, Rev. 0, dated May 2012

The regulations in 10 CFR Part 50, Appendix E, Section VII require a power reactor applicant or
licensee to perform a detailed analysis demonstrating sufficient staff is available to respond to a beyonddesign-basis external event affecting all units on a site. This section of the regulations also requires a
power reactor applicant or licensee to make and describe adequate provisions for at least one on-site and
one off-site communications system capable of remaining functional during an extended loss of ac power
to include effects of the loss of local communications infrastructure.

DG-1319, Page 4

Staff Position: NEI 12-01 provides an acceptable method to assess staffing and communication
capabilities and needs when responding to a beyond-design-basis event.
NEI 13-06

Enhancements to Emergency Response Capabilities for Beyond Design Basis Events
and Severe Accidents, Rev. 0, dated September 2014

The regulations in 10 CFR 50.155(d) require licensees to provide training and qualification of
personnel that perform activities in accordance with the strategies and guidelines required by 10 CFR
50.155(b). The regulations in 10 CFR 50.155(e) require licensees to perform drills or exercises to
demonstrate the capability to use the strategies and guidelines required by 10 CFR 50.155(b). The
regulations in Appendix E of 10 CFR Part 50 require a multiple source term dose assessment capability,
and facilities and equipment to support a multi-unit event response.
Staff Position: NEI 13-06 provides an acceptable method for enhancing the on-site emergency
response capabilities for beyond-design-basis events through training, drills or exercises, multiple source
term dose assessment capability, and facilities and equipment to support a multi-unit event response.
NEI 14-01

Emergency Response Procedures and Guidelines for Beyond Design Basis Events
and Severe Accidents, Rev. 0, dated September 2014

The regulations in 10 CFR 50.155(b), in part, require each applicant and licensee to develop,
implement, and maintain an integrated response capability that includes the beyond-design-basis event
mitigation strategies in 10 CFR 50.155(b)(1) and the extensive damage mitigation guidelines in 10 CFR
50.155(b)(2). The regulations also require, in part, integration of these strategies and guidelines with
existing EOPs under 10 CFR 50.155(b)(3) and a supporting command and control structure under 10 CFR
50.155(b)(5).
NEI 14-01 provides guidance for the integration of strategies and guidelines required by 10 CFR
50.155(b)(1)-(2) with EOPs as required by 10 CFR 50.155(b)(3) and command and control for beyonddesign-basis events (required by 10 CFR 50.155(b)(5)).
Staff Position: NEI 14-01 provides an acceptable method for implementing those elements of an
integrated response capability under the above identified portions of 10 CFR 50.155(b) with the following
clarifications:
•

NEI 14-01, Section 2 provides guidance to licensees intended to result in a set of integrated
strategies and guidelines (with existing EOPs). The guidance identifies considerations in Section
2.4 that provide appropriate elements licensees should consider to achieve compliance with 10
CFR 50.155(b)(3), with regard to integration and includes appropriate coordination with the
voluntarily maintained severe accident management guidelines.

•

NEI 14-01, Section 4 provides guidance to licensees for assessing existing command and control
structures to ensure that the key functions of directing a response to beyond-design-basis events
and severe accidents can be performed. The NRC staff finds the guidance in Section 4 is limited
principally to the role of an ultimate decision making authority. Specifically, Section 4.3
identifies appropriate considerations for assessing the authorities and responsibilities of an
ultimate decision maker as part of the command and control structure required under 10 CFR
50.155(b)(5).

DG-1319, Page 5

D. IMPLEMENTATION.
The purpose of this section is to provide information on how applicants and licensees1 may use
this guide and information regarding the NRC’s plans for using this RG. In addition, it describes how the
NRC staff complies with the Backfit Rule found in 10 CFR 50.109(a)(1) or any applicable finality
provisions in 10 CFR Part 52.
Use by Applicants and Licensees
Applicants and licensees may voluntarily2 use the guidance in this document to demonstrate
compliance with the underlying NRC regulations. Methods or solutions that differ from those described in
this RG may be deemed acceptable if they provide sufficient basis and information for the NRC staff to
verify that the proposed alternative demonstrates compliance with the appropriate NRC regulations.
Current licensees may continue to use guidance the NRC found acceptable for complying with the
identified requirements as long as their current licensing basis remains unchanged.
Licensees may use the information in this RG for actions that do not require NRC review and
approval. Licensees may use the information in this RG or applicable parts to resolve regulatory or
inspection issues.
Use by NRC Staff
The NRC staff does not intend or approve any imposition or backfitting of the guidance in this
RG. The NRC staff does not expect any existing licensee to use or commit to using the guidance in this
RG, unless the licensee makes a change to its licensing basis. The NRC staff does not expect or plan to
request licensees to voluntarily adopt this RG to resolve a generic regulatory issue. The NRC staff does
not expect or plan to initiate NRC regulatory action that would require the use of this RG. Examples of
such unplanned NRC regulatory actions include issuance of an order requiring the use of the RG, generic
communication, or promulgation of a rule requiring the use of this RG without further backfit
consideration.
During regulatory discussions on plant specific operational issues, the staff may discuss with
licensees various actions consistent with staff positions in this RG, as one acceptable means of meeting
the underlying NRC regulatory requirement. Such discussions would not ordinarily be considered
backfitting. However, unless this RG is part of the licensing basis for a facility, the staff may not
represent to the licensee that the licensee’s failure to comply with the positions in this RG constitutes a
violation.
If an existing licensee voluntarily seeks a license amendment or change and (1) the NRC staff’s
consideration of the request involves a regulatory issue directly relevant to this RG and (2) the specific
subject matter of this RG is an essential consideration in the staff’s determination of the acceptability of
the licensee’s request, then the staff may request that the licensee either follow the guidance in this RG or
provide an equivalent alternative process that demonstrates compliance with the underlying NRC
regulatory requirements. This is not considered backfitting as defined in 10 CFR 50.109(a)(1) or a
violation of any applicable finality provisions in 10 CFR Part 52.
1

In this section, “licensees” refers to holders of, and “applicants” refers to applicants for, licenses for nuclear power
plants under 10 CFR Parts 50 and 52.

2

In this section, “voluntary” and “voluntarily” means that the licensee is seeking the action of its own accord, without
the force of a legally binding requirement or an NRC representation of further licensing or enforcement action.

DG-1319, Page 6

If a licensee believes that the NRC is either using this RG or requesting or requiring the licensee
to implement the methods or processes in this RG in a manner inconsistent with the discussion in this
Implementation section, then the licensee may file a backfit appeal with the NRC in accordance with the
guidance in NUREG-1409, “Backfitting Guidelines,” (Ref. 14) and the NRC Management Directive 8.4,
“Management of Facility-Specific Backfitting and Information Collection” (Ref. 15).

DG-1319, Page 7

REFERENCES3
1.

U.S. Code of Federal Regulations (CFR), “Domestic Licensing of Production and Utilization
Facilities,” Part 50, Chapter 1, Title 10, “Energy.”

2.

Nuclear Energy Institute (NEI) technical report NEI 12-01, “Guidelines for Assessing BeyondDesign-Basis Accident Response Staffing and Communication Capabilities,” Revision 0, dated
May 2012, Washington, DC. (ADAMS Accession No. ML12125A412)

3.

Skeen, David L., U.S. Nuclear Regulatory Commission, letter to Susan Perkins-Grew, Nuclear
Energy Institute, May 15, 2012, endorsement of NEI 12-01, Revision 0, “Guideline for Assessing
Beyond Design Basis Accident Response Staffing and Communications Capabilities,” May 2012.
(ADAMS Accession No. ML12131A043)

4.

NEI, technical report NEI 13-06, “Enhancements to Emergency Response Capabilities for
Beyond-Design-Basis Events and Severe Accidents,” Revision 0, dated September 2014,
Washington, DC. (ADAMS Accession No. ML14269A230)

5.

NEI, technical report NEI 14-01, “Emergency Response Procedures and Guidelines for BeyondDesign-Basis Events and Severe Accidents,” Revision 0, dated September 2014, Washington,
D.C. (ADAMS Accession No. ML14269A236)

6.

NRC, SECY-11-0093, “Recommendations for Enhancing Reactor Safety in the 21st Century, the
Near-Term Task Force Review of Insights from the Fukushima Dai-ichi Accident,” dated July 12,
2011, Washington, DC. (ADAMS Accession No. ML11186A950)

7.

NRC, SRM-SECY-11-0093, “Staff Requirements – SECY-11-0093 – Near-Term Report and
Recommendations for Agency Actions Following the Events in Japan,” dated August 19, 2011,
Washington, D.C. (ADAMS Accession No. ML112310021)

8.

NRC, SECY-11-0124, “Recommended Actions to be Taken without Delay from the Near-Term
Task Force Report,” dated September 9, 2011, Washington, DC. (ADAMS Accession No.
ML11245A158)

9.

NRC, SECY-11-0137, “Prioritization of Recommended Actions to be Taken in Response to
Fukushima Lessons Learned,” dated October 3, 2011, Washington, DC. (ADAMS Accession No.
ML11272A111)

10.

NRC, SRM-SECY-11-0124, “Staff Requirements - SECY-11-0124 - Recommended Actions to
be Take without Delay from the Near-Term Task Force Report,” dated October 18, 2011,
Washington, DC. (ADAMS Accession No. ML112911571)

3

Publicly available documents from the U.S. Nuclear Regulatory Commission (NRC) are available electronically
through the NRC Library on the NRC’s public Web site at http://www.nrc.gov/reading-rm/doc-collections/. The
documents can also be viewed on-line for free or printed for a fee in the NRC’s Public Document Room (PDR) at
11555 Rockville Pike, Rockville, MD; the mailing address is USNRC PDR, Washington, DC 20555; telephone (301)
415-4737 or (800) 397-4209; fax (301) 415 3548; and e-mail [email protected].

DG-1319, Page 8

11.

NRC, SRM-SECY-11-0137, “Staff Requirements - SECY-11-0137 - Prioritization of
Recommended Actions to be Taken in Response to Fukushima Lessons Learned,” dated
December 15, 2011, Washington, DC. (ADAMS Accession No. ML113490055)

12.

NRC, Request for Information (RFI) pursuant to Title 10 of the Code of Federal Regulations
50.54(f) Regarding Recommendations 2.1, 2.3, and 9.3, of the Near-Term Task Force Review of
Insights From the Fukushima Dai-Ichi Accident, March 12, 2012. (ML12053A340)

13.

NRC, Public Meetings, Review of NRC Order EA-12-051, Washington, DC
--- December 12, 2011, (ADAMS Accession No. ML11343A050)
--- January 19, 2012, (ADAMS Accession No. ML11361A036)
--- February 7, 2012, (ADAMS Accession No. ML12025A046)
--- March 5, 2012, (ADAMS Accession No. ML12082A006)
--- January 3, 2013, (ADAMS Accession No. (ML12354A483)

14.

NRC, NUREG 1409, “Backfitting Guidelines,” July 1990, Washington, DC. (ADAMS Accession
No. ML032230247)

15.

NRC, Management Directive 8.4, “Management of Facility specific Backfitting and Information
Collection,” Washington, DC.

DG-1319, Page 9