POLICY ISSUE 

INFORMATION

November 7, 2007 SECY-07-0198

FOR: The Commissioners 

FROM: Luis A. Reyes 

 Executive Director for Operations 

SUBJECT: PERFORMANCE AND COORDINATION OF THE REGULATORY 

FRAMEWORK FOR THE GLOBAL NUCLEAR ENERGY 

PARTNERSHIP 

PURPOSE: 

This paper provides supplemental information, as directed in Staff Requirements Memorandum 

(SRM) SECY-07-0081, on how the regulatory framework and gap analysis for Global Nuclear 

Energy Partnership (GNEP) facilities will be performed and coordinated among various U.S. 

Nuclear Regulatory Commission (NRC) offices. 

SUMMARY: 

The staff provided the Commission with options for licensing facilities, associated with the 

GNEP, in a Commission Paper (SECY-07-0081) in May 2007. The Commission approved 

proceeding with developing the regulatory framework for licensing facilities associated with the 

GNEP, as stated in SRM-SECY-07-0081. The Commission directed the staff to: 

• Perform a gap analysis for all NRC regulations, to identify changes in regulatory 

requirements that would be necessary for licensing a reprocessing facility and an 

advanced recycling reactor; and 

• Prepare a technical-basis document to support rulemaking for 10 CFR Part 70, with 

revisions to 10 CFR Part 50, as appropriate. 

This work involves identification of the regulatory requirements for the licensing of advanced fuel 

cycle facilities and advanced reactors, with consideration of relevant areas, such as waste 

CONTACT: Yawar Faraz, NMSS/FCSS 

 (301) 492-3207 
The Commissioners 2

management, safeguards, and environmental protection. Multiple NRC offices have 

responsibility for the various technical areas. Therefore, coordination is required to accomplish 

this work. The Commission directed the staff to provide supplemental information that 

discusses how the regulatory framework and gap analysis will be performed and coordinated 

among various NRC offices. The process for doing this is provided in this paper. The staff 

intends to use this process to conduct the gap analysis which could support subsequent 

development of the technical-basis document for revisions to Part 70 and Part 50, as 

appropriate. 

BACKGROUND: 

A major element of the GNEP is the development and eventual commercial deployment of 

advanced nuclear fuel recycling technologies. The U.S. Department of Energy (DOE) has 

proposed three types of interrelated project-specific GNEP facilities, to close the fuel cycle: 

(1) a nuclear fuel recycling center or Consolidated Fuel Treatment Center (CFTC); (2) an 

advanced recycling reactor or Advanced Burner Reactor (ABR); and (3) an advanced fuel cycle 

research facility, also referred to as the Advanced Fuel Cycle Facility (AFCF). DOE is 

partnering with industry to demonstrate the CFTC and the ABR, on a commercial scale, in 

facilities that meet NRC requirements. The AFCF would be a DOE-controlled and -operated 

facility that is not subject to NRC licensing. 

DISCUSSION:

Scope of Work 

As stated in SRM-SECY-007-0081, the Commission directed the staff to provide supplemental 

information that discusses how the regulatory framework and gap analysis, for GNEP facilities, 

will be performed. 

Potentially complex issues to be addressed, particularly for the option of co-located facilities, 

include: (a) safeguards; (b) waste management; (c) transportation; (d) environmental 

protection; (e) risk management; and (f) other safety issues. Several NRC organizations will 

handle these issues with the Office of Nuclear Material Safety and Safeguards (NMSS) leading 

fuel facility efforts and the Office of New Reactors (NRO) leading reactor efforts. 

 
The Commissioners 3

Commission Direction 

In SRM-SECY-07-0081, the Commission stated the following regarding GNEP-related 

administrative matters: 

• Although the Commission will not seek supplemental appropriations for GNEP for fiscal 

year (FY) 2008, it has no objection to very modest funds being reprogrammed, in FY 

2008, in accordance with the normal budget process; 

• NRC FY 2008 funds for the GNEP, Agency-wide, should be 1 to 2 full-time equivalents 

(FTEs); 

• FY 2008 work should cover a first-order gap analysis; 

• NMSS will have the lead on the materials issues; 

 

• NRO, in concert with the Office of Nuclear Reactor Research (RES), will have the lead 

on the reactor licensing review and oversight with other offices’ assistance, as 

appropriate; and 

• The Office of Nuclear Security and Incident Response (NSIR) will have the lead on 

security concerns. 

In regards to the ABR, the Commission stated: 

• Use Clinch River as a starting point for the first-order gap analysis; 

• Tabulate what rules clearly apply; 

• Tabulate what rules clearly do not apply; 

• Determine whether a gap exists and its relative size or complexity; 

• Do not conduct a phenomena-identification and ranking-table analysis; and 

• Do not identify any proposed regulatory resolutions because DOE has not yet defined 

the advanced technology nor scope of its GNEP program. 

The staff will follow these Commission directions when developing the regulatory framework for 

licensing GNEP facilities. 
The Commissioners 4

NRC Organizational Responsibilities 

In a memorandum dated September 21, 2007, the Executive Director for Operations designated 

NMSS as the NRC lead office to coordinate GNEP activities. NMSS is forming a technical 

working group and a steering committee to coordinate the efforts of NMSS, NRO, RES, NSIR, 

Office of Federal and State Materials and Environmental Management Programs (FSME), and 

the Office of the General Counsel (OGC). 

In order to perform the first-order gap analysis, a total of 2 FTEs will need to be reprogrammed 

in FY 2008. The Division of Fuel Cycle Safety and Safeguards (FCSS), in NMSS, will be 

allotted a maximum of 0.5 FTE (675 hours). The remaining 1.5 FTEs will be divided among the 

other NRC offices and NMSS divisions as follows: (a) NRO, 0.5 FTE (maximum of 675 hours); 

(b) RES, 0.5 FTE (maximum of 675 hours); (c) NSIR, 0.1 FTE (maximum of 135 hours); (d) 

OGC, 0.1 FTE (maximum of 135 hours); (e) FSME, 0.1 FTE (maximum of 135 hours); and (f) 

Division of Spent Fuel Storage and Transportation (SFST), in NMSS, 0.2 FTE (maximum of 270 

hours). If needed, assistance from the Office of Nuclear Reactor Regulation (NRR) will be 

funded using FTE reallocated by NRO. 

As indicated in the table below, NMSS will lead the technical working group’s efforts associated 

with fuel separations and fabrication, and spent fuel and product storage facilities. NRO, with 

support from RES, will lead the group’s efforts associated with advanced recycling and 

grid-appropriate reactors. NMSS, with support from FSME, will lead the group’s efforts 

associated with waste treatment and storage facilities. NSIR will support the group’s efforts on 

any security concerns. 

Activity Leads and Supporting Offices for Each GNEP Facility 

Facility Type Lead Office Supporting Office

Fuel Separations Facility 

Fuel Fabrication Facility 

Waste Treatment Facility 

Interim Waste Storage Facility 

Interim Spent Fuel Storage Facility 

Interim Product Storage Facility 

Advanced Recycling and Grid-Appropriate 

Reactors 

NMSS 

NMSS 

NMSS/FSME 

NMSS/FSME 

NMSS 

NMSS 

NRO

NRO, NRR, RES, FSME, NSIR, OGC 

NRO, NRR, RES, FSME, NSIR, OGC 

NRO, NRR, RES, NSIR OGC 

NRO, NRR, RES, NSIR, OGC 

NRO, NRR, RES, FSME, NSIR, OGC 

NRO, NRR, RES, FSME, NSIR, OGC 

RES, NRR, NMSS, FSME, NSIR OGC

The technical working group will coordinate areas such as safety, safeguards, environmental 

protection, waste management, decommissioning, accident analyses, security, and emergency 
The Commissioners 5

management that are related to licensing a GNEP facility. The technical working group 

members from the appropriate offices will be assigned to the areas of review for which gap 

analyses will be conducted, to identify changes in regulatory requirements necessary for both a 

reprocessing facility and an advanced recycling reactor. After the gap analyses, the technical 

working group will, as necessary, coordinate the technical-bases document, to support licensing 

a spent-fuel reprocessing facility and an advanced recycling reactor. 

A steering committee, consisting of office directors or their designees, is being established to 

provide guidance to the technical working group on cross-cutting issues and potential policy 

issues. The steering committee will be briefed regularly on the technical working group's 

progress in completing scheduled milestones. 

Concurrent with the staff’s regulatory framework development efforts (2 FTEs in FY 2008) will 

be efforts (equivalent to roughly 2-4 FTEs in FY 2008) under the Memorandum of 

Understanding (MOU), dated July 13, 2007 (ML071210155), and the Interagency Agreement 

(IA) on the GNEP, effective date August 22, 2007, between NRC and DOE. The NRC efforts 

under the MOU and IA will concern the identification of potential safety, safeguards, and 

security issues of the proposed GNEP technologies and facilities, including suggestions for 

tailoring equipment, facilities, or operations that would facilitate or expedite the NRC licensing 

process of the GNEP facilities. In accordance with the MOU and the IA, NRC will provide DOE 

with an annual report that will describe activities undertaken, meetings attended, personnel 

interviewed, reports reviewed, testing observed, analyses performed, and recommendations 

provided to DOE. NRC will provide DOE with its first annual report, by April 30, 2008. 

The staff is prohibited from using any DOE funds provided under the GNEP IA for GNEP 

regulatory framework development activities. Nevertheless, in developing the GNEP regulatory 

framework, the staff will leverage its domestic and international experience and knowledge 

gained as a result of NRC’s activities under the MOU and the IA, and NRC’s involvement in 

other projects, such as the Next-Generation Nuclear Plant project, the Mixed-Oxide Fuel 

Fabrication Facility licensing review, and the International Atomic Energy Agency’s efforts to 

develop its safety guide for reprocessing facilities. 

RESOURCES:

The staff will use the Planning, Budgeting and Performance Management process to reallocate

2 FTEs, to perform the gap analysis in FY 2008. The reallocation amounts among the NRC 

offices are as follows: 

NMSS will reallocate a total of 0.7 FTE which will be divided between the following divisions: 

(a) FCSS, 0.5 FTE; and (b) SFST, 0.2 FTE. RES will reallocate 0.5 FTE; NRO will reallocate 

0.5 FTE; NSIR will reallocate 0.1 FTE; OGC will reallocate 0.1 FTE; and FSME will reallocate 

0.1 FTE. If needed, assistance from NRR will be funded using FTE reallocated by NRO. 
The Commissioners 6

COORDINATION:

The OGC has no legal objections concerning this paper. The Office of the Chief Financial 

Officer has reviewed this paper for resource implications and has no objections. 

 /RA/ 

 Luis A. Reyes 

 Executive Director 

 for Operations 
The Commissioners 6 

 

COORDINATION:

The OGC has no legal objections concerning this paper. The Office of the Chief Financial 

Officer has reviewed this paper for resource implications and has no objections. 

 /RA/ 

 Luis A. Reyes 

 Executive Director 

 for Operations 

ML072620530 EDATS: SECY-2007-0230/N200700201 

OFC MB (PM) ECB TechEd MB SPTSD FCSS NRO

NAME YFaraz LWilliamson EKraus MKotzalas JGiitter RPierson RBorchardt

DATE 10/08/07 8/21/07 10/22/07 8/28/07 9/21/07 9/26/07 10/24/07

OFC RES NSIR FSME OCFO OGC NMSS EDO 

NAME BSheron RZimmerman CMiller TCroote APessin MWeber LReyes 

DATE 10/22/07 10/25/07 10/19/07 10/22/07 10/23/07 10/29/07 11/07/07 

OFFICIAL RECORD COPY