10 CFR Part 26 Fitness for Duty Programs

Presentation for theDrug and Alcohol Testing Industry Association

10 CFR Part 26Fitness for Duty Programs

“A Direct Contribution to Safety and Security”

NRC Presentation May 2014Slide 1 of 28

Introduction

lPaul Harris, Senior Program Manager

[email protected] 301-287-9294

Security Programs and Support Branch

OrganizationSecurity Programs and Support BranchDivision of Security PolicyOffice of Nuclear Security and Incident ResponseU.S. Nuclear Regulatory Commission


Disclaimer

The information provided in this presentation is a pubic service and solely for informational purposes and is not, nor should be deemed as an official NRC position,

opinion, or guidance, or “a written interpretation of the General Counsel” under 10 CFR Part 26.7, on any matter to which the information may relate. The opinions,

representations, positions, interpretations, guidance, or recommendations which may be expressed by the NRC technical staff regarding this presentation and discussion in

response to a comment, question, or concern are solely the NRC technical staff’s and do not necessarily represent the same for the NRC. Accordingly, the fact that the

information was obtained through the NRC technical staff will not have a precedential effect in any legal or regulatory proceeding, such as inspection, licensing, or rulemaking.


Discussion Topics

• The Nuclear Regulatory Commission

• What can I do differently?

• 10 CFR Part 26, Fitness for Duty Programs– The Defense-in-Depth FFD Strategy– Being “fit for duty”– Sanctions– Time-dependent alcohol limits

• Collection Differences

• Alcohol Testing

• Trends and Reportable Events

• Subversions

• Collector Questions


Nuclear Regulatory Commission

The mission of the NRC is to license and regulate the Nation’s civilian use of byproduct,

Mission

source, and special nuclear materials to ensure the adequate protection of public health and safety, promote the common defense and security, and protect the environment.

W d thi bWe do this by:

1. Establishing standards, regulations, and requirements

2. Licensing facilities and possession, use, and disposal of nuclear materialsg p , , p

3. Inspecting facilities and of users to ensure compliance

4. Providing emergency response and assessment

5. Assessing security threat conditions

6. Providing liaison with Federal, State, and Local partners


NRC Regional Offices


Power Plant Features


What Should I Do Differently?

1. What should we change?

2. What should we focus on?

3 What is not working for you?3. What is not working for you?


Fitness for Duty Programs

The mission of the FFD Program is to provide a direct contribution to safety and security through the effective

FFD Mission

regulatory oversight (policy development in support of licensing, rulemaking, and inspection) of licensees and other affected entities that implement the drug and alcohol provisions of 10 CFR Part 26, Fitness for Duty Programs.

FFD VisionEstablish and maintain a regulatory framework that effectively and efficiently enables NRC-licensees to meet or exceed the FFD performance objectives listed in 10 CFR 26.23. In particular, FFD programs must provide reasonable assurance that:

• Persons are trustworthy and reliable;• Persons are trustworthy and reliable;

• Persons are not under the influence of any legal or illegal substance or physically impaired from any cause;

• Licensees can provide for early detection of persons who are not fit for duty or indicate untrustworthiness or unreliability;

• Licensee facilities are free from the adverse effects of drugs, alcohol, and other substances; and,

• Persons are not fatigued or in a state of diminished mental or physical capacity.


The Defense-in-Depth FFD Strategy

AuthorizationRequirements

Fit, Reliable,

TrustworthyDrug and AlcoholFatigue

Trustworthy Workers

TestingManagement

Behavioral Observation

Slide 10 of 28

Being Fit for Duty

Being fit for duty is part of the NRC’s defense-in-depth regulatory framework that helps provide assurance that persons who have unescorted access to the protected areas at commercial nuclear power reactors and Category I fuel cycle facilities or who conductcommercial nuclear power reactors and Category I fuel cycle facilities, or who conduct certain activities, can safely and competently perform assigned duties.

From the requirements in 10 CFR Part 26, being fit for duty means that a person is:

a) not under the influence of any legal or illegal drug or substance as defined by testing cutoffs and MRO determination;

b) mentally and physically capable to safely and competently performing assigned duties; and,

c) not impaired by acute or cumulative fatigue.

Being FFD also means that the person is trustworthy and reliableBeing FFD also means that the person is trustworthy and reliable.


NRC Sanctions –for alcohol or drug test resultsfor alcohol or drug test results

Three Strikes

1st Offense 14-day denialy

2nd Offense 5-year denial

3rd Offense Permanent denial

Special Cases

1. Licensee-administered sanctions

2. Administrative actions allowed on validity screening or initial validity testing y g y gresults for marijuana and cocaine; others drugs allowed if determined by an SAE

3. Withdrawal of employment application after 1st test = 5-year denial

4. Use of drugs/alcohol within the Protected Area = 5-year denialg / y

5. Subversion/Adulteration/Refusal-to-Test = Permanent denial

6. Reporting of offsite drug use = mgt/SAE review with a D&A test


Time-Dependent Alcohol Limits

Initial Test

< 0.02 BAC negative test result

Confirmatory Test

≥ 0.04 BAC positive test result

k f l h h l≥ 0.03 BAC at work for at least 1 hour at the initial test

≥ 0.02 BAC at work for at least 2 hours at the initial test

d i i i iAdministrative Actions

≥ 0.01 to < 0 .02 BAC at work for at least 3 hours at the initial test

no sanctions applied

SAE fitness determination required


NRC vs DOT Collection DifferencesF U iFor Urine

NRC does not require:Federal CCF (NRC requires the same information)Explicit error correction training (NRC requires problem collection training)p g ( q p g)Mock collectionsDOT direct observation protocol

NRC allows: 14 daysSingle or split samples30 mL or 45 mL

For Alcohol NRC

5 yearsPermanent

NRC does not require:DOT collection form15 minute wait after a 0.02 BAC initial test

Required Sanctions

NRC requires:Pre-access alcohol testing15 minute wait before initial test on a burp/gum/mintTime dependent alcohol limitsTime-dependent alcohol limits5-hour abstinence period


Drug & Alcohol Test Results (CY 2013)


Industry Performance Trends


Reportable Events (CY 2013)

DRAFTDRAFT

DRAFTNRC Presentation May 2014Slide 17 of 28

Alcohol Positives (CY 2012)


Collection Issues

• 3-hour hydration period – type and amount of fluid consumed

• Discrepant Temps, Colors, Clarity = Automatic subversion

– Primary colors: Green = Yellow + Blue

• High Temp = Automatic subversion consideration?

• Quick Voids = voiding within minutes = possible subversion

• Minimum volume requirements – no leniency as in 45 mls ± 5 mls

I t b f & ft th ll ti ith th d t• Inspect before & after the collection, with the donor present

• Inadvertent flushing

• Use of mirrors for direct observed collections

• Alcohol subversions, do they exist?


Identifying Subversion Attempts

• Vigilance is most important• Most subversions are temperature based– Some subversions are determined by hearing or seeing paraphernalia• Securing non-essential items prior to collection– Security and maintenance personnel work uniforms and equipmenty p q p• Close evaluation of specimen characteristics (e.g., color, odor, precipitate, etc.)• Refusing to following direction – intimidation, delay, etc• A voluntary inability to provide an adequate volume?• A voluntary inability to provide an adequate volume?• Synthetic urine detection?• Leaving the collection site in an emergency?


Site-Specific Performance (CY 2012)

Nuclear Sites by Namey


Subversions, Pre-Access & RandomCY 2012 (The Patriotic Chart)( )

Nuclear Sites by Name

NRC PresentationMay 2014Slide 22 of 28

Subversion Attempt – Actual Cases(CY 2013)( )

1st specimen was a 110.8; subject then refused to do an observed test.

1st temp was < 90 and green in color. Individual refused the 2nd direct observed collection and self-disclosed diluting 1st collection with toilet water.

Suspicious behavior with a temp at 99.6 and excessive time spent in the bathroom. 2nd observed collection positive for THC per MRO. 1st specimen was negative.

Initial temp was 86 and negative; observed specimen was 96 & positive for cocaine.

Initial specimen had low temperature, no odor, no bubbles, was bright yellow in color and suspicious sounds were noted in the collection stall. Donor was interviewed and provided subversion paraphernalia. Donor refused to provide 2nd observed specimen.

Donor failed to report when notified and left the site. He returned the following day and when questioned regarding his failure to appear he stated he left because he felt he would not be able to pass the alcohol test. He was informed that he failure to comply with testing instructions and he was permanently denied access.

k b d ll d d f d dReturn-to-work test; observed collection required; donor refused to provide a specimen.


Subversion Data (CY 2012)


The Subversion Matrix


Questions for Collectors

• If you suspect a subversion attempt, do you ask the donor?

• Do you communicate to the donor that permanent denial from the NRC-licensed facility will occur if the donor subverts a drug/alcohol test?

• Did you know that the majority of the nuclear industry tests to LOD when a specimen is dilute?

• What do you do when a donor flushes the toilet prior to exiting with their specimen? E.g., is this a subversion?

• Do you prior to terminating the 3 hour hydration period ask the donor one last• Do you, prior to terminating the 3-hour hydration period, ask the donor one last time to provide a specimen? And what happens if the 3-hour period is exceeded?


Temperature Profile


Questions?Questions?


Documents

10 CFR Part 26 Fitness for Duty Programs