August 18, 2010 

MEMORANDUM TO: Roy P. Zimmerman, Director 

 Office of Enforcement 

FROM: David Solorio, Chief /RA/

 Concerns Resolution Branch 

 Office of Enforcement 

SUBJECT: SUMMARY OF THE JULY 15, 2010 PUBLIC MEETING 

BETWEEN THE U.S.NUCLEAR REGULATORY COMMISSION 

AND THE FEBRUARY 2-4, 2010 WORKSHOP PANELISTS 

REGARDING THE DRAFT SAFETY CULTURE POLICY 

STATEMENT AND OUTREACH ACTIVITIES 

On July 15, 2010, the United States Nuclear Regulatory Commission (NRC) held a public 

meeting with panelists from the February 2-4, 2010 workshop to discuss the status of the 

activities associated with the development of the draft safety culture policy statement, which 

included, for example, the review of public comments, outreach activities and a discussion of 

the definition and traits of safety culture. 

Roy Zimmerman, Director, Office of Enforcement (OE), provided opening remarks at 10:00am: 

• Thanked everyone for participating in the call and for the opportunity to update each 

other on activities they have participated in concerning safety culture. 

• Performed introductions of NRC participants and stakeholders in the room and asked for 

those on the telephone to introduce themselves. 

• Reviewed the agenda items. 

NRC Outreach Activities

Jose Ibarra (OE) introduced himself and referenced one of the handouts listing the NRC 

outreach activities: 

• The NRC staff has given about 10 presentations on safety culture as an outreach effort 

since the February workshop. NRC safety culture presentations in the Health Physics 

Society meeting in Utah and the 2nd NRC Workshop on Vendor Oversight for New 

Construction in New Orleans are examples of presentations that were well received. In 

addition in both of these meetings, presentations by February Workshop Panelists help 

connect with the audience and led to a successful interaction with the stakeholders. 
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Dick Toohey (HPS) gave a presentation in Utah and Bruce Williams (Shaw Power 

Group) gave a presentation in New Orleans. 

• Questionnaires were handed out at the Safety in Radiation Therapy Conference on June 

24-25, 2010. One question asked which attribute contributed most to safety. 

“Leadership demonstrates a commitment to safety” was chosen as that attribute. Other 

preliminary results indicated that there were no negative reactions to the February 

workshop’s definition and traits, but there were questions regarding: 1) policy vs. 

regulation; 2) implementation, and 3) whether “security” should be in the definition of 

safety culture. 

• Jose asked if there were any other opportunities for outreach that the NRC should be 

aware of. 

o Tom Houghton (NEI) asked about the ANS meeting in Las Vegas in the fall. 

Jose replied that the NRC knew of the meeting but we were not sending anyone 

to attend this meeting. 

o Kevin Buckley (AAPM) asked about the International Radiation Protection 

meeting in February of next year in Charleston, S.C. He will provide Jose with 

more information on this meeting. Lynn Fairobent (AAPM) said that this is a 

jointly sponsored meeting with limited attendance. Dick Toohey (HPS) said that 

he would help coordinate. 

o Lynn Fairobent (AAPM) said that the American Society of Nuclear Cardiologist 

will meet in September in Philadelphia, and will provide us with information. 

o Billie Garde (Attorney) asked about the National Association of Employee 

Concerns Professionals (NAECP) meeting in July. June Cai (OE) said that she 

or Lisa Jarriel (OE) would attend. 

o Tom Houghton (NEI) asked about the American Nuclear Society (ANS) Utility 

Working Conference and Vendor Technology Expo, August 8 -11 on Amelia 

Island, and will provide us with additional information. 

• Jose thanked them for their input. 

Stakeholder Outreach Activities

Roy Zimmerman (OE) asked the stakeholders if they had done any outreach or communicated 

with any group about the safety culture initiative: 

• Bob Link (AREVA) sits on a NEI fuel cycle facilities operations committee and said that 

they discussed safety culture. He said the fuel cycles facilities have anxiety about how 

the policy statement will be rolled out and what practical impact it may have on 

regulation, enforcement, and inspection. 

• Roy Zimmerman (OE) said that he has also heard these concerns from stakeholders. 

Implementation of the policy statement will not be rolled out all at once, but over a longer 

period of time. Communication will be important to let the licensees know what is being 
3 

accomplished. Progress will be made at different speed for different licensee classes or 

groups. 

• Lynn Fairobent (AAPM) said that safety culture was also discussed at the American 

Cardiologist Medical Meeting 

• Roy Zimmerman (OE) said that the current approach is to show progress using a Policy 

Statement and that it’s a workable approach. If we don’t make progress with the policy 

statement approach, we may end up in rulemaking space. 

• Lynn Fairobent (AAPM) said that they met with three Commissioners on June 8. The 

meeting was beneficial and consistent with what she was hearing in today’s call. She 

also said that at the Safety in Radiation Therapy meeting, individuals said that safety 

culture needed to be an integrated approach with a consistent philosophy. 

• Tom Houghton (NEI) said that he sent the workshop results to the utilities, and that they 

supported the panel’s efforts. 

• Roy Zimmerman (OE) thanked everyone and commented that he did not hear that 

anything different from the results of the February workshop. 

Review of Public Comments

Catherine Thompson (OE) reviewed the process for reviewing the public comments and the 

results: 

• Between November 2009 and March 2010, approximately 66 public comments were 

received to the Draft Safety Culture Policy Statement which was published in the Federal 

Register notice. 

• While there were several comments on specific issues, most of the comments 

addressed three common themes: 

o The request for additional guidance regarding implementation of the policy 

statement, such as training requirements, resources needed, and expectations. 

Catherine Thompson (OE) stated that this issue will be addressed by the 

different NRC program offices in their oversight and inspection programs, and will 

be further clarified in the policy statement. 

o A number of comments addressed the NRC’s use of a policy statement rather 

than a regulation, how it can be enforced, why it isn’t a regulation, etc. Because 

of this confusion, the NRC will provide further clarification in the policy statement. 

o The third theme was on the issue of security, and whether it should be included 

in the definition or in the traits. Catherine Thompson (OE) said that Roy 

Zimmerman (OE) would discuss this issue in more depth in a few minutes. 

• The NRC still welcomes Informal feedback and continues to collect comments at various 

outreach activities. Another formal comment period will be provided in the fall. 
4 

Safety Culture Definition and Traits; Issue of “security”

Maria Schwartz (OE) referenced the handout with the NRC’s definition and characteristics of 

safety culture, and the workshop’s definition and traits, and the “revised” list of traits. She stated 

that she was on the working group that reviewed the public comments submitted on the draft 

policy statement: 

• The NRC saw a lot of interest in using the workshop definition and is certainly mindful of 

that interest as this effort proceeds. The working group has slightly revised some of the 

wording in the traits which was provided to the stakeholders for their feedback. 

• At the February workshop, the definition that the stakeholders developed deliberately 

removed the term “security” from that overarching statement. Internally, the pros and 

cons of his approach were considered and Roy Zimmerman (OE) will speak about this in 

greater detail. 

• There were no comments 

Roy Zimmerman (OE) discussed the security issue: 

• He stated that the NRC has a safety culture steering committee (composed of senior 

agency managers) and a safety culture working group. That both groups have been 

struggling with whether security should be in the definition and/or traits. He noted that 

while some see the benefit to having security in the definition, others do not; thus, the 

NRC does not have a unanimous point of view on this issue at this time. The working 

group feels that if the term “security” is included in the traits wherever safety is called 

out, that security does not have to be in the definition. This issue is a work in progress 

and is not yet resolved. 

• Lynn Fairobent (AAPM) stated that for the medical community, security is not included in 

the definition because security is embodied in the concept of safety culture. 

• Bruce Williams (Shaw Power Group) said that safety should encompass everything, and 

that the NRC can’t keep adding every item (like security) to the definition when 

something new comes up. 

• Billie Garde (attorney) asked how the stakeholders can make it any clearer that they do 

not feel the term “security” needs to be included in the definition. She asked whether the 

stakeholders need to advocate for themselves. 

• Dave Collins (member of the public) said that post 9/11 there was a focus on security, 

but that doesn’t mean it needs to be added to the definition of safety culture. Many other 

items such as radiation protection, emergency planning, also support safety, not just 

security. 

• Roy Zimmerman (OE) stated that many offices are on board to remove security from the 

definition. He also said that the stakeholders can use their tools, such as verbal 

communications (drop-ins), or written letters to the Commission to provide their views on 

the treatment of security in the Commission Policy Statement. 

• Maria Schwartz (OE) said that the NRC will have a second FRN in the fall which will 

request additional comments. This FRN will include the workshop “revised” definition. 
5 

• George Marshall (APNGA) said that he works with moisture density gauges, and he 

believes that security should be in the definition. Security is important to the licensees. 

How does it look to the outside world, the public, and media if security is not specifically 

addressed in the definition? Security resonates with the public. The public wants to be 

both safe and secure. Also, he believes that security should be in the title of the policy 

statement itself. 

• Roy Zimmerman (OE) said that the NRC is looking for a variety of views and that 

George’s point of view has been expressed by some in the agency. 

• Dave Solorio (OE) asked for individuals to read the policy statement and see how often 

security is in there and then send in comments. 

• Roy Zimmerman (OE) thanked everyone for the views on this issue. 

Next Steps

Jose Ibarra (OE) referenced the timeline handout and discussed next steps: 

• Another FRN will be issued in September/October which will include the proposed 

(revised) final definition, traits and policy statement. 

• A final public meeting will be held in Las Vegas on September 28, 2010. The purpose of 

this meeting is to give stakeholders in the western US an opportunity to attend in person, 

provide a forum for where we are, and provide an opportunity for stakeholders to present 

views and give feedback. 

• Roy Zimmerman (OE) noted that the NRC would like recommendations from those on 

the phone for other stakeholders in the west who may be able to attend. 

• Tom Houghton (NEI) asked if this was an opportunity to tweak the traits. Dave Solorio 

(OE) said that the NRC was not going to rehash the February workshop, but it is a final 

chance to look at the traits and provide comments. 

• Tom Houghton (NEI) asked what list of traits was going to be put out for public comment. 

Roy Zimmerman (OE) indicated that the staff was still evaluating the February workshop 

traits to ensure they were workable for the varied NRC stakeholders. However, it is the 

staff’s intention to share the traits in a Federal Register Notice (FRN) and use the 

September 28, 2010 public meeting outreach to obtain feedback. 

• Val Barnes (RES) noted that INPO should have completed the validation study by 

September. Ken Koves (INPO) said that it will be finished by mid-September. 

• Roy Zimmerman (OE) stated that the NRC will publish the definition and traits in the 

FRN in the fall. However, he questioned the “Respectful Work Environment” trait and 

said that it may be in “one-tier down” (implementation phase), rather than as a standalone trait. Billie Garde (attorney) disagreed and said that it should be a stand-alone 

trait. 

• Roy Zimmerman (OE) said that the Commission is looking for extensive outreach, so the 

Las Vegas public meeting is important. He also said that the NRC may have another 

conference call in late August to review a draft agenda for the Las Vegas meeting. 
6 

• Lynn Fairobent (AAPM) said that the NRC should seek to have common terminology 

with other government agencies that also oversee some of the licensees. 

• Jose Ibarra (OE) asked if any panelists would be interested in presenting at the Las 

Vegas meeting. He said to contact him or any of the OE staff if interested. 

Roy Zimmerman (OE) thanked everyone for their participation before adjourning the meeting at 

approximately 12:00pm. 
6 

• Lynn Fairobent (AAPM) said that the NRC should seek to have common terminology 

with other government agencies that also oversee some of the licensees. 

• Jose Ibarra (OE) asked if any panelists would be interested in presenting at the Las 

Vegas meeting. He said to contact him or any of the OE staff if interested. 

Roy Zimmerman (OE) thanked everyone for their participation before adjourning the meeting at 

approximately 12:00pm. 

Distribution: 

OE r/f 

X Publicly Available X Non-Sensitive 

OFFICE CRB CRB:BC 

NAME CThompson DSolorio 

DATE 08/18/10 08/18/10 

 OFFICIAL RECORD COPY