MEMORANDUM OF UNDERSTANDING 

BETWEEN 

U.S. NUCLEAR REGULATORY COMMISSION 

AND 

U.S. DEPARTMENT OF ENERGY 

ON 

GATEWAY FOR ACCELERATED INNOVATION IN NUCLEAR INITIATIVE

I. Purpose and Background 

1. This memorandum of understanding (MOU) between the U.S. Nuclear Regulatory 

Commission (NRC) and the U.S. Department of Energy (DOE) describes the roles, 

responsibilities, and processes related to the implementation of the DOE Gateway 

for Accelerated Innovation in Nuclear (GAIN) initiative. GAIN is an initiative that is 

intended to provide the nuclear energy community with increased access to the 

technical, regulatory, and financial support necessary to move new or advanced 

nuclear reactor designs toward commercialization while ensuring the continued safe, 

reliable, and economic operation of the existing nuclear fleet. 

2. This MOU is specific to the portion of the GAIN initiative in which DOE works with 

prospective applicants for new or advanced nuclear technology to understand and 

navigate the regulatory process for licensing such technology. 

II. Authority 

1. The authority for the NRC entering into this MOU is Section 205(c) of the Energy

Reorganization Act of 1974 (Public Law 93-438, as amended; 42 U.S.C. 5845(c)). 

2. The authority for DOE entering into this MOU is Section 646 of the Department of 

Energy Organization Act (Public Law 95-91, as amended; 42 U.S.C. 7256). 

III. Roles and Responsibilities 

1. DOE is the lead agency for implementing the GAIN initiative. DOE is responsible for 

working with prospective applicants for new or advanced nuclear technology to assist 

them in understanding and navigating the pertinent regulatory processes. 

2. The NRC, consistent with its role as an independent safety and security regulator, is 

responsible for providing DOE and the nuclear energy community with accurate, 

current information on the NRC’s regulations and licensing processes. DOE is 

responsible for then sharing that information with the prospective applicants, as 

appropriate. 

IV. Process 

1. DOE will identify a point of contact responsible for communicating with prospective 

applicants to assist in their understanding of the regulatory process. That contact, or 

contacts, will be a DOE employee. Any changes to the DOE point of contact will be 
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communicated to the NRC not less than 30 days in advance of the changes being 

implemented, to the maximum degree possible. 

2. The NRC will identify a point of contact responsible for communicating with the DOE 

GAIN point of contact. That contact will be an NRC employee. The NRC will 

communicate any changes in its point of contact to DOE not less than 30 days in 

advance of the changes being implemented, to the maximum degree possible. 

3. The NRC will provide a training or overview program for the DOE contact that will 

provide current information on the NRC’s regulatory processes related to new or 

advanced reactors, if requested by DOE. The program will involve presentations and 

discussions at the NRC’s Headquarters in Rockville, MD. The scope of the program 

will include the NRC’s processes for licensing under Sections 103 and 104 of the 

Atomic Energy Act of 1954, as amended; processes related to the NRC’s regulations 

in Title 10 of the Code of Federal Regulations (10 CFR) Part 50, “Domestic Licensing 

of Production and Utilization Facilities,” and 10 CFR Part 52, “Licenses, 

Certifications, and Approvals for Nuclear Power Plants”; and ongoing and planned 

activities related to developing regulatory and licensing processes for new or 

advanced reactors. In the event that DOE’s contact changes over time, the NRC will 

provide the same or a similar program to the new contact, if needed. The NRC does 

not expect to conduct this program more than once per calendar year after the 

effective date of the MOU. 

4. The NRC will schedule a monthly telephone call (or at another periodicity, as agreed 

to by the NRC and DOE) between the DOE and the NRC contacts to exchange 

relevant current information. If the NRC makes significant changes to its regulatory 

framework and licensing processes for new or advanced reactors, the NRC and DOE 

will determine whether more in-depth presentations are needed to ensure that DOE 

understands the changes. 

5. DOE will establish a process under which prospective new or advanced reactor 

technology applicants can request information or ask questions about the NRC’s 

regulatory requirements and activities. As a result of the training and updates 

described above, the NRC anticipates that DOE will be able to answer most of the 

questions posed by the prospective applicants. However, if DOE needs additional 

information, it will make the request by e-mail to the NRC contact. The NRC will 

endeavor to respond within 2 weeks. The NRC anticipates that the questions it 

receives will concern existing regulations, processes, and procedures. The NRC 

staff will not be expected to develop new policies or procedures to provide answers 

to submitted questions. The NRC’s responses are not binding with respect to any 

future or ongoing regulatory actions. 

6. The NRC and DOE will develop and maintain a Web site for frequently asked 

questions (FAQs). To ensure transparency and equal access to information, DOE 

will post the FAQs on a public Web site. The NRC will maintain a link on the NRC 

public Web site to the DOE Web site. The DOE contact will maintain a record of all 

questions, the NRC responses, and the organization requesting the information. 

DOE will provide the information to the NRC for review on at least a quarterly basis 

before public posting. The NRC and DOE managers responsible for this MOU will 

review the process beginning 6 months after its effective date and every 6 months 

thereafter. Any changes to the process, including the periodicity of the review, will 
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be mutually agreed upon and documented in a memorandum to the signatories to 

this agreement. 

V. Commencement, Modification, and Termination 

1. This MOU is effective upon the signature of both parties. 

2. Any additions, deletions, or other changes to this MOU shall be by written 

modification agreed upon by the appropriate official for each party. Either party may 

initiate such modifications. 

3. This MOU is neither a fiscal nor a funds obligation document. All activities pursuant 

to this MOU are subject to the availability of appropriated funds and each party’s 

budget priorities. Nothing in this MOU authorizes, or is intended to obligate, either 

agency to expend, exchange, or reimburse funds, services, or supplies, or transfer or 

receive anything of value, or enter into any contract, assistance agreement, 

interagency agreement, or other financial obligation. 

4. The duration of the MOU shall be indefinite. Either party, however, may terminate its 

participation in this agreement upon 30 days prior written notice to the other party. 

After such notice, the parties shall meet at a mutually agreed-upon location and date 

to effect an orderly termination of any ongoing or planned activities under this MOU. 

5. Nothing in this agreement shall be interpreted as limiting, superseding, or otherwise 

affecting either agency’s normal operations or decisions in carrying out its statutory 

or regulatory duties. This agreement does not limit or restrict the parties from 

participating in similar activities or arrangements with other entities. 

6. This agreement will be executed in full compliance with all applicable statutes and 

regulations, including the Privacy Act of 1974, the Freedom of Information Act, and 

the Federal Records Act. 

7. This MOU is strictly for NRC and DOE internal management purposes. This MOU is 

not legally enforceable and shall not be construed to create any legal obligation on 

the part of either the NRC or DOE. In addition, this MOU shall not be construed to 

provide a private right of action for or by any person or entity. 
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VI. Severability 

If any provision of this MOU, or the application of any provision to any person or 

circumstances, is or becomes invalid, the remainder of this MOU and the application of 

such provisions to other persons or circumstances shall not be affected.

VII. Agreement 

FOR THE U.S. NUCLEAR REGULATORY COMMISSION 

 /RA/ November 10, 2016_______ 

Victor M. McCree Date 

Executive Director for Operations 

FOR THE U.S. DEPARTMENT OF ENERGY 

 /RA/ November 10, 2016______ 

John Kotek Date 

Acting Assistant Secretary for Nuclear Energy 
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VI. Severability 

If any provision of this MOU, or the application of any provision to any person or 

circumstances, is or becomes invalid, the remainder of this MOU and the application of 

such provisions to other persons or circumstances shall not be affected.

VII. Agreement 

FOR THE U.S. NUCLEAR REGULATORY COMMISSION 

 /RA/ November 10, 2016_______ 

Victor M. McCree Date 

Executive Director for Operations 

FOR THE U.S. DEPARTMENT OF ENERGY 

 /RA/ November 10, 2016______ 

John Kotek Date 

Acting Assistant Secretary for Nuclear Energy 

ADAMS Accession Number: ML16215A382 *via E-mail 

OFFICE NRO/DEIA QTE OGC(NLO) D:NRO/DEIA D:NRO EDO 

NAME JMazza* JDougherty* MCarpentier* MMayfield JUhle VMcCree 

DATE 08/02/16 08/01/16 08/03/2016 08/09/2016 08/12/16 08/24/16 

OFFICAL RECORD COPY