July 9, 2013 

Dr. John E. Kelly 

Deputy Assistant Secretary for Nuclear 

 Reactor Technologies 

Office of Nuclear Energy 

U.S. Department of Energy 

1000 Independence Avenue SW 

Washington, DC 20585 

SUBJECT: INITIATIVE REGARDING U.S. NUCLEAR REGULATORY COMMISSION 

LICENSING STRATEGY FOR ADVANCED REACTOR TECHNOLOGIES 

Dear Dr. Kelly: 

This letter is to affirm previous discussions between staff of the U.S. Nuclear Regulatory 

Commission (NRC), Office of New Reactors (NRO), and representatives of the U.S. Department 

of Energy (DOE), Office of Nuclear Energy (NE), regarding NRC’s licensing framework for 

advanced reactor technologies and to establish a joint NRC and DOE initiative on this topic. As 

described further below, DOE would provide its expertise on technical issues relating to 

advanced reactor technologies, and the NRC would follow its normal public process should the 

NRC decide to modify any guidance or requirement to better apply to these technologies. 

At the request of the U.S. Congress, the NRC prepared a report to address the overall strategy 

for and approach to preparing for the licensing of advanced reactors over the next 20-plus years 

(Report to Congress: Advanced Reactor Licensing (August 2012), 

http://pbadupws.nrc.gov/docs/ML1215/ML12153A014.pdf). The report, in part, identified the 

strategy for enhanced regulatory predictability and stability for advanced technologies. Although 

the current licensing requirements and processes set forth in Title 10 of the Code of Federal 

Regulations (10 CFR) Part 50 and Part 52 could be used for licensing advanced reactor 

designs, enhancements to the regulatory framework to address potential policy, licensing, and 

technical issues presented by advanced designs would contribute to improvements in the 

effectiveness and efficiency of future licensing. To this end, NRO staff and NE representatives 

have planned a joint initiative. 

The initiative will address consideration of the “General Design Criteria (GDC) for Nuclear 

Power Plants,” Appendix A to 10 CFR Part 50, relative to licensing advanced reactor designs. 

The requirements at 10 CFR §§ 50.34(a)(3), 52.47(a)(3)(i), and 52.79(a)(4) state that an 

application for a construction permit, design certification, or combined license, respectively, 

must include the principal design criteria for the facility. The GDC establish the minimum 

requirements for the principal design criteria, but were specifically directed to light-water reactor 

(LWR) designs. The need for clarification of the applicability of the GDC to reactor types other 

than LWRs has been identified by the nuclear industry and varied stakeholders, acknowledged 
J. Kelly -2- 

by the NRC staff and, additionally, is reflected in the introductory statements contained in 

Appendix A: 

These General Design Criteria establish minimum requirements for the principal design 

criteria for water-cooled nuclear power plants similar in design and location to plants for 

which construction permits have been issued by the Commission. The General Design 

Criteria are also considered to be generally applicable to other types of nuclear power 

units and are intended to provide guidance in establishing the principal design criteria for 

such other units. 

The intended outcome of this initiative is NRC-issued regulatory guidance related to the 

requirements of 10 CFR §§ 50.34, 52.47, and 52.79 pertaining to principal design criteria for 

advanced reactor designs. Guidance may be issued for use by applicants in preparing licensing 

applications or for use by NRC staff for application review. It is anticipated that DOE efforts will 

include research, analysis, and recommendations and deliverables in the form of technical 

reports for submission to the NRC as input for staff’s development of the regulatory guidance. 

To achieve the intended outcome, the initiative scope must include extensive review of 

applicable regulatory requirements and Commission policy from the perspective of several 

different advanced reactor technologies and, additionally, review of information pertaining to 

prior non-LWR licensing-related activities. The Commission’s “Policy Statement on the 

Regulation of Advanced Reactors” (73 Fed. Reg. 60612, October 14, 2008) which presents 

“attributes that could assist in establishing the acceptability or licensability of a proposed 

advanced reactor design” is central to the overall review as is the Commission Policy Statement 

on the “Use of Probabilistic Risk Assessment Methods in Nuclear Regulatory Activities (60 FR 

42622; August 16, 1995). Results of reviews, analyses, and evaluations would document, for 

example: 

1. The GDC in Appendix A which are generic (i.e., applicable to all reactor technologies 

and designs). 

2. The proposed technology-specific GDC (e.g., those applied to sodium-cooled fast 

reactors (SFRs)) which, when combined with the generic GDC, represent a 

comprehensive set of criteria for that technology from which the principal design criteria 

can be derived. “Technology-specific GDC” would likely consist of a) revised 

LWR-specific GDC from Appendix A (e.g., re-worded for applicability to SFRs); and, b) 

any additional criteria needed to adequately address technical characteristics (e.g., fuel 

type, coolant chemical properties) and safety considerations for the particular 

technology. 

The initiative comprises multiple tasks and includes participation by technical experts from 

national laboratories and various stakeholders and will provide for participation by the public. 

Activities will encompass various working group sessions, closed meetings to address 

proprietary information, and public workshops. The requisite planning and scheduling will be a 

coordinated effort among NRC staff and DOE representatives. 

In carrying out this initiative, NRC staff will be mindful of and sensitive to the necessity for 

maintaining independence and avoidance of conflict of interest in interactions with industry and 

other stakeholders. Further, the staff will remain mindful of Commission direction and on-going 
J. Kelly -3- 

staff activities regarding regulatory framework initiatives such as Fukushima-related activities 

(e.g., Near Term Task Force Recommendation 1) and the “Proposed Risk Management 

Regulatory Framework” (NUREG-2150). I consider this initiative to be mutually beneficial and 

an important element of the NRC’s licensing strategy for advanced reactor technologies. 

Mr. Michael Mayfield, Director, Division of Advanced Reactors and Rulemaking is the NRC lead 

for this initiative. He can be reached at Michael.Mayfield@nrc.gov, or by phone at 

301-415-0561. 

 Sincerely, 

/RA/ Gary Holahan for 

Glenn M. Tracy, Director 

Office of New Reactors 
J. Kelly -3- 

staff activities regarding regulatory framework initiatives such as Fukushima-related activities 

(e.g., Near Term Task Force Recommendation 1) and the “Proposed Risk Management. 

Regulatory Framework” (NUREG-2150). I consider this initiative to be mutually beneficial and 

an important element of the NRC’s licensing strategy for advanced reactor technologies. 

Mr. Michael Mayfield, Director, Division of Advanced Reactors and Rulemaking is the NRC lead 

for this initiative. He can be reached at Michael.Mayfield@nrc.gov, or by phone at 

301-415-0561. 

 Sincerely, 

/RA/ Gary Holahan for 

Glenn M. Tracy, Director 

Office of New Reactors 

DISTRIBUTION:

PUBLIC 

DARR R/F 

RidsNroOd Resource 

RidsNroDarrOd 

RidsResOd 

RidsOgcOd 

T.Kevern 

A.Bradford 

ADAMS Accession No.: ML13141A276 *via E-mail NRO-002 

OFFICE PM:NRO/DARR/SMRLB2 Tech Editor BC:NRO/DARR/SMRLB2 D:NRO/DARR 

NAME TKevern JDougherty ABradford MMayfield 

DATE 5/21/13 5/23/13 5/23/13 5/28/13 

OFFICE D:NRO/DSRA D:NRO/DE D:RES OGC (NLO) 

NAME CAder TBergman BSheron (DCoe for) JMartin * 

DATE 6/17/13 6/5/13 6/25/13 7/03/13 

OFFICE D:NRO 

NAME GTracy 

DATE 7/09/13 

OFFICIAL RECORD COPY