RECEIVFD 

MEMORANDUM OF UNDERSTANDING 99 DEC 22 P12:37 

between 

U.S. NUCLEAR REGULATORY COMMISSION 

and PU3LIC DOCUt'EHI >1 

U.S. DEPARTMENT OF ENERGY 

on 

COOPERATIVE NUCLEAR SAFETY RESEARCH 

PURPOSE 

The Nuclear Regulatory Commission (NRC) and the Department of Energy (DOE) both conduct 

research associated with nuclear power technology. The NRC conducts research to provide 

independent expertise and information for making timely regulatory judgments, anticipating 

problems of potential safety significance, resolving safety issues, and developing technical 

regulations and standards. The DOE conducts research to develop technologies to address 

operational issues at nuclear power plants relating to improving plant economics, reliability, and 

availability. Although the goals of the NRC and DOE research programs differ in many 

respects, the basic data and technical information obtained through joint research can be useful 

to each agency in appropriate cases. Accordingly, to conserve resources and to avoid 

duplication, it is in the best interest of both parties to cooperate and share information and costs 

related to such research, whenever such cooperation and cost sharing can be done in a 

mutually beneficial fashion. 

The NRC and DOE have entered into Memoranda of Understanding governing cooperation and 

support of significant projects and activities ("Memorandum of Understanding Between the 

Department of Energy and the Nuclear Regulatory Commission," dated January 15, 1997, and 

signed by Hazel R. O'Leary, Secretary of the Department of Energy and Shirley A. Jackson, 

Chairman of the Nuclear Regulatory Commission) and governing Nuclear Regulatory 

Commission funded work performed at the Department of Energy laboratories ("Memorandum 

of Understanding Between the Nuclear Regulatory Commission and the Department of Energy," 

signed by Shirley Ann Jackson, Chairman of the Nuclear Regulatory Commission on 

October 15, 1998, and by Bill Richardson, Secretary of the U.S. Department of Energy on 

November 24, 1998). These documents provide agency level guidance on the interactions 

between the NRC and DOE. 

This Memorandum of Understanding (MOU) between NRC and DOE describes the guiding 

principles under which cooperative research programs between NRC's Office of Nuclear 

Regulatory Research and DOE Office of Nuclear Energy, Science and Technology will be 

planned and conducted. Individual cooperative research projects are described in addenda to 

this document. 

S~o
*0

2 

PRINCIPLES OF COOPERATION 

Article 1 -Responsibility of the Parties 

1.1 Management of Cooperative Research Programs 

S NRC and DOE will mutually coordinate, integrate, prioritize, review and manage 

cooperative research programs. The overall coordination, integration, and 

prioritization of cooperative activities will be achieved through a management 

team consisting of the Director of the Office of Nuclear Regulatory Research, 

NRC, and the Associate Director for Technology, Office of Nuclear Energy, 

Science and Technology, DOE. The management team and their 

representatives will conduct business as needed throughout the year, but will 

formally meet together at least once per year to: 

- review the status and progress of ongoing cooperative research 

programs; 

- review potential new candidate cooperative research programs; 

- agree on priority, terms and conditions of new cooperative research 

initiatives; and 

- provide direction on continued work, termination or other matters, as 

necessary. 

* Once approved by the management team, individual research projects will be 

documented via addenda to this MOU that address each project's; 

- goals and objectives, 

- scope, plan and technical requirements, 

- cost and schedule, and 

- resource commitment for each party 

- designation of a contracting agency 

* Technical oversight of individual research projects will be accomplished by a 

technical review group established for each active area of cooperation, 

consisting of representatives assigned from each party.
I.

3 

* The management team may recommend that the contracting agency terminate a 

cooperative research project at any time due to unsatisfactory contractor 

performance, lack of funds, changes in priority, or other compelling reason. 

* Other parties (including both international and domestic organizations) may be 

invited to participate in any cooperative program, if mutually agreeable, and may 

serve on the corresponding technical review group. 

* The designated contracting agency shall award the work in accordance with its 

own contracting procedures, subject to the direction of the technical review 

group. 

1.2 Selection of Potential Cooperative Research Topics 

* Potential cooperative research programs will be identified and priorities 

established, considering factors such as: 

- mutual interest in research topics, 

- usefulness of end products of research, 

- contribution to risk reduction, 

- cost-effectiveness, and 

- timeliness. 

* Cooperative research programs will be conducted if, 

- mutually acceptable technical requirements (e.g., objectives, scope, 

approach, QA requirements, etc.) can be agreed upon; 

- mutually acceptable contract terms, roles and responsibilities for each 

party (e.g., contracting responsibility, financial contribution, payment 

arrangements, documentation of "results, management, terms, etc.) can 

be agreed upon; and 

- the program can be conducted in accordance with the guidelines 

discussed in (2) below.
4

Article 2 - Guidelines for Cooperative Research 

2.1 Cooperative research programs shall be structured so as to avoid organizational conflict 

of interest. In general, this will be accomplished by having the cooperative program's 

focus on basic data needs, and not on solutions to specific regulatory issues or 

conclusions as to the application of the data to regulation. Developing solutions to 

regulatory issues or applying the data to regulation shall be done independently by the 

parties outside the terms of this Memorandum of Understanding. 

2.2 All non-proprietary data or results produced by the cooperative program shall be shared 

by all participants, and each party shall be free to disseminate them to whomever they 

choose. Proprietary information supplied to support conduct of the research will be 

protected in accordance with applicable rules and regulations. 

2.3 NRC and DOE shall be free to publish the data or results from cooperative research 

programs in reports, journals or conference proceedings as they judge appropriate. 

Publication of data or results from cooperative research programs in reports, journals or 

conference proceedings by contractors shall require approval of the Directors or their 

representatives. 

2.4 On a project basis, the parties will jointly determine if patents generated by the 

cooperative program should be obtained. Any patent rights will be allocated consistent 

with applicable laws and practices and as agreed to by the parties. 

2.5 Either party shall have access to visit the facilities, separately or jointly, and review the 

data associated with the project at their request. 

2.6 Either party can, at their own expense, conduct additional research beyond the scope of 

the cooperative agreement using the contractor facility if they so desire. 

2.7 The cost of the cooperative program to each party shall generally be proportional to the 

value of the results to the party. Cash contributions as well as the value of services 

(e.g., contracting, program management) or other contributed work can be considered in 

the cost sharing arrangements. These can include cooperative projects where each 

party contracts for, manages and conducts research, and shares results. 

2.8 This MOU shall not be used to obligate or commit funds or as the basis for the transfer 

of funds. 

Article 3 - Terms of Agreement 

3.1 This agreement shall be effective upon the date of signature and shall continue for a 

period of five years.
e I*

5 

3.2 Either party may terminate this agreement at any time, by giving a three-month written 

notice. 

3.3 Any party may withdraw from an individual cooperative research program (covered in 

addenda) upon written notice to the other party or parties and payment of reasonable 

terminations costs. The remaining party(s) may continue the program at its own 

expense, if it so chooses, and all data generated subsequent to the withdrawal of a 

party shall not be subject to the provisions of this MOU. 

AGREEMENT

Asflok C. Thadani, Director 

Office of Nuclear Regulatory Research 

U.S. Nuclear Regulatory Commission

M, deline A. Feltus,/s'caeDrto el~ti s soie Director 

Office of Technology 

Office of Nuclear Energy, Science 

and Technology 

U.S. Department Of Energy

/ 

Date