Nuclear Regulatory Commiss

Safety Culture Policy Statem

Maria E. Schwartz

Concerns Resolution Branch

Office of Enforcement

Las Vegas Hearing Facility

September 28, 2010
Objectives

• Provide information on:

• Why a positive safety culture is importa• Development of revised draft policy sta

– Pre- 2009 Background 2009 Background– 2009 Commission Direction– February 2010 Workshop – Evaluation of public comments– Outreach activities since February 2

Workshop
Importance of Safety Culture

• NRC considers safety culture in its overs

programs because weaknesses in safety may contribute to safety and security pro

– Increased likelihood of such problems Increased likelihood of such problems– More severe consequences when such 

problems occur
Prior to 2009 

• Previous Policy Statements include 

– 1989: “Policy Statement on the Condu

Nuclear Power Plant Operations

– 1996: “Freedom of Employees in the N

Freedom of Employees in the N

Industry to Raise Safety Concerns WitFear of Retaliation”

• Events indicating importance of safety cu• 2008: COMGBJ -08-0001• February 2009 Safety Culture Workshop
2009 Commission Direction

• Publish the draft policy statement in 

Federal Register for comment

• Consider incorporating suppliers and 

vendors

• Continue to engage broad range of 

stakeholders

• Seek opportunities to comport termi

with existing standards and referenc
NRC Draft Safety Culture 

Definition, November, 2009

That assembly of characteristics, attand behaviors in organizations and individuals, which establishes that aoverriding priority nuclear safety and overriding priority, nuclear safety and

security issues receive the attention warranted by their significance.
NRC Draft Safety Culture Trai

November, 2009

• Problem Identification and Evaluation • Work Practices• Work Planning and Control• Continuous Learning Environment • Li D i i M ki Licensee 

Decision 

M

aking 

• Safety Conscious Work Environment• Accountability• Resources 
Safety Culture Workshop, 

February, 2010

• Workshop was composed of a panel o

stakeholders with various affiliations (ereactors, medical facilities, fuel cycle a

gauge manufactures, universities, Organization of Agreement States) whworked together, and in breakout sesswith other attendees

• Panel reached alignment on a commo

definition and traits of a positive safety 
Workshop Safety Culture Defini

Nuclear Safety Culture is the core vaand behaviors resulting from a colleccommitment by leaders and individuemphasize safety over competing goemphasize safety over competing go

ensure protection of people and the environment.
Workshop Safety Culture Trai

• Leadership Safety Values and Actions• Problem Identification and Resolution • Personal Accountability• Work Processes • Continuous Learnin

g

• Environment for Raising Concerns • Effective Safety Communication• Respectful Work Environment
NRC’s Draft Safety Culture Policy Statement characteristics February 2010 workshop safety 

Problem Identification and EvaluationThe organization ensures that issues potentially impacting safety or security are promptly identified, fully evaluated, and promptly addressed and corrected commensurate with their significance.

Problem Resolution and MetricsThe organization ensures that issues potentsecurity are promptly identified, fully evaluataddressed and corrected commensurate wit

Work PracticesPersonnel demonstrate ownership for nuclear safety and security in their day-today activities.

Personal Responsibilities and AttitudesEveryone is personally responsible for nucle

Work Planning and ControlProcess for planning and controlling work activities are implemented such that safety and security are maintained.

Processes and ProceduresProcesses for planning and controlling work implemented such that safety is maintained

Continuous Learning EnvironmentThe organization maintains a continuous learning environment in which opportunities to improve safety and security are sought out and implemented.

Continuous LearningOrganizational learning is embraced.

Licensee Decision Making Leadership Safety Behaviors

The organization’s decisions ensure that safety and security are maintained. Leaders demonstrate commitment to safetySafety Conscious Work EnvironmentThe organization maintains a safety conscious work environment in which personnel feel free to raise safety and security concerns without fear of retaliation.

Encouraging Report of ProblemsThe organization maintains a safety consciowhich personnel feel free to raise concerns Effective Safety CommunicationEffective communication is essential to mainRespectful Work EnvironmentTrust and respect permeate the organization

AccountabilityRoles, responsibilities, and authorities for safety and security are clearly defined and reinforced.ResourcesThe organization ensures that the personnel, equipment, tools, procedures, and other resources needed to ensure safety and security are available. 
Evaluation of Public Commen

• Three main issues identified:

– Implementation of policy statement ne

clarification

– Inclusion of Inclusion of

“security security

” in definition and 

in definition and 

may be confusing for many 

– Use of a policy statement which is not 

enforceable vs. a regulation
Additional Outreach

• NRC staff attended or participated in 

several industry forums

• Provided information on efforts so 

• A il bl t ti /di 

Avail

able 

to answer questions/dire

comments on draft policy statemeFebruary 2010 workshop products
NRC Revised Draft Safety Cult

Policy Statement, September, 2

• Revision to draft statement of policy

including use of 2010 workshop defiand revised workshop traits based o

ongoing staff reviews outreach activongoing staff reviews, outreach activ

and public comments

• The term “security” not included in re

definition or traits
Preamble Added to the 

NRC Revised Safety Culture Tr

• Defines a trait as a pattern of thinkin

feeling, and behaving that emphasizsafety

• Notes that although the term ”securi

not expressly included in the traits, aprimary pillars of the NRC’s regulatomission, consideration of both safety security issues, commensurate with significance, is an underlying principthe Statement of Policy
Additional Revisions

• Traits are included in the Statement of Po

(rather that included in the Federal Regissupport the Statement of Policy)

• Is applicable to vendors and suppliers of 

related components

• Indicates Commission’s expectations tha

Agreement States and other organizationinterested in the safe use of nuclear matedevelop and maintain a positive safety cu
We Are Interested in Your View

• If you would like to submit comment

the revised draft safety culture definand traits, please submit comments 

following website by October 18 20following website by October 18, 20http://www.nrc.gov/aboutnrc/regulatory/enforcement/contactoe.html.