IA-86-606, Partially Withheld SECY-86-153 Advising Commission of Industry & NRC Comments on Proposed Fitness for Duty Policy Statement & Other Matters.Policy Statement Should Be Approved
| ML20214N448 | |
| Person / Time | |
|---|---|
| Issue date: | 05/14/1986 |
| From: | Stello V NRC OFFICE OF THE EXECUTIVE DIRECTOR FOR OPERATIONS (EDO) |
| To: | |
| Shared Package | |
| ML20214N441 | List: |
| References | |
| FOIA-86-606, FRN-54FR24468, RULE-PR-2, RULE-PR-26 AC81-2-097, AC81-2-97, SECY-86-153, SECY-86-153-01, SECY-86-153-1, NUDOCS 8609160301 | |
| Download: ML20214N448 (15) | |
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POLICY ISSUE For: The Commissioners From: Victor Stello, Jr.
Executive Director for Operations
Subject:
FITNESS FOR DUTY OF NUCLEAR POWER PLANT PERS0NNEL
Purpose:
To advise the Comission of industry and staff comments on th.e ;
proposed fitness for duty Policy Statement and other related natters. '
Background:
SECY 85-21 of January 17, 1985 provided the Commission with a proposed Policy Statement on fitness for duty programs at operating nuclear power plants. This Policy Statement had been developed by the staff in conjunction with the industry in accordance with the Corrrnission's Staff Requirements Memorandum (SRM) of October 24, 1984. SECY 85-21A of April 12, 1985 provided a proposed withdrawal notice for the fitness for duty rule, which had been published for coment in August 1982.
An SRM of January 29, 1986 directed the staff to discuss the proposed Policy Statement, as modified by the Commission, with the Nuclear Utility Management and Resources Comittee (NUMARC) and the Institute of Nuclear Power Operations (INFO) and to advise the Commission of any comments or recommendations.
Discussion:
{ i In a May 6,1986 letter to the EDO, the Chairman of the NUMARC Steering Committee indicated that the markup of the Policy Statement has been endorsed by the full NUMARC Executive Group (Enclosure 1).L J
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8609160301 860911 PDR FOIA ORADER86-606 PDR
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CONTACT: James G. Partlow, IE Ext. 24614
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Vic r Stello , Jr.
Executive Director for Operations
Enclosures:
- 1. NUMARC Letter dtd 05/06/86 w/ Policy Statement
- 2. 01/29/86 Oraft Policy Statement with NUMARC Modifications
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Commissioners' comments or consent should be provided directly to the Office of the Secretary by c.o.b. Friday, 'tay 30, 1986.
Commission Sta f f Of fice comments, if any, should be submitted to the Commissioners NLT Thursday, May 22, 1986, with an infor-mation copy to the Office of the Secretary. If the paper is of such a nature that it requires additional time for analytical review and comment, the Commissioners and the Secretariat should be apprised of when comments may be expected.
This paper is tentatively scheduled for affirmation at an Open Meeting during the Week of June 2, 1986. Please refer to the appropriate Weekly Commission Schedule, when published, for a specific date and time.
DISTRIBUTION:
Commissioners OGC OPE OI OCA OIA OPA REGIONAL OFFICES EDO ELD ACRS ASLBP AS LAP SECY
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O ENCLOSURE NO. 1 e
P O Box 7249;S I F Atlanta, Ga. 30339 P O. Box n av --
Chulotte. N C OS:4: NUC:. EAR UTILITIES h! ANAGEN ENT AND HUN!AN RESOURCES COhih11TTEE May 6, 1986 Mr. Victor Stello, Jr.
Executive Director for Operations U.S. Nuclear Regulatory Commission Washington, DC 20555
Dear Mr. Stello:
y i This letter forwards the revised proposed fitness for duty policy statement (attached) that has been endorsed by the NUMARC Executive Group.
At the April 9, 1986 NUMARC Steering Committee meeting, the Steering Committee unanimously approved the revised proposed policy statement and recommended it to the NUMARC Executive Group for endorsement. Since that time, the NUMARC Executive Group has reviewed the revised proposed policy statement and has, by telephone vote, overwhelmingly endorsed its use. Please recognize that this endorsement is based upon the attached policy statement.
We recognize that some of the aspects of the fitness for duty issue are not fully defined; however, we believe that the revised proposed policy statenent is workable and is the best approach to resolve this longstanding issue.
We are ready to work with you in seeking final Commission approval of this policy statement.
Very truly yours, J. . Miller, Jr.
Ch irman Steering Committee JHM:las Attachment
'. . Attacnment 4/18/86 NUCLEAR REGULATCRY CO:04:SSION COMMISSION POLICY STATEMENT ON FITNESS FOR DUTY OF MUCLEAR POWER PLANT PERSONNEL AGENCY: Nuclear Regulatory Commission ACTION: Final Commission Policy Statement on Fitness- for Duty of Nuclear Power Plant Personnel
SUMMARY
- This statement presents the policy of the Nuclear Regulatory Commission (NRC) with respect to fitness for duty and describes the activities that the NRC will use to execute its responsibilities to ensure the health and sat'ety of the public. To provide reasonable assurance that al.1 nuclear power plant personnel with access to vital areas at operating plants are fit for duty, licensees and applicants are developing and implementing fitness for duty programs using guidance in the Edison Electric Institute (EEI) "EEI Guide to Effective Drug and Alcohol / Fitness for Duty Policy Development." It remains the continuing responsibility of the NRC to independently evaluate applicant development and licensee implementation of fitness for duty programs to ensure that desired results are achieved. Nothing in this Policy Statement limits NRC's authority or responsibility to follow up on operational events or its enforcement authority when regulatory requirements are not met. However, while evaluating the effectiveness
of this guidance, the NRC intends to exercise discretion in enforcement matters related to fitness for duty programs for nuclear power plant personnel and refrain frem new rulemaking in this area for a period of at least eighteen months from the effective date of this Policy Statement.
EFFECTIVE DATE: (Upon publication in the Federal Register)
FOR FURTHER INFORMATION CONTACT: Loren Bush, Operatiig Reactor Programs Branch, Office of Inspection and Enforcement, U.S.
Nuclear Regulatory Commission, Washington, D.C. 20555, telephone (301) 492-8080.
SUPPLEMENTARY INFORMATION:
BACKGROUND The Nuclear Regulatory Commission (NRC) recognizes drug and alcohol abuse problems to be a social, medical, and safety problem affecting every segment of our society. Given the pervasiveness of the problem it must be recognized that it exists to some extent in the nuclear industry. Prudence, therefore, requires that the Commission consider additional appropriate measures to provide reasonable assurance that a person who is under the influence of alcohol or any substance legal or illegal which affects his ability to perform his
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duties safely, is not allowed access to a vital area at a nuclear power plant.
The nuclear power industry, with assistance from programs developed and coordinated by EEI and the Institute of Nuclear Power Operations (INPO), has made and is continuing to make substantial progress in this area.
A Task Force on Drug Abuse Problems, Policies, and Prohrams #
established in 1982 by EEI's Industrial Relations Division Executive Advisory Committee, published guidelines in 1983 to help the industry address the issue of how to establish comprehensive fitness for duty programs. They were subsequently revised in 1985 as the "EEI Guide to Effective Drug and Alcohol /
Fitness for Duty Policy Development" and were provided to all nuclear utilities.
A series of EEI sponsored regional conferences in the fitness for duty area in 1982 and 1983 provided a forum for discussion of industry concerns related to development and implementation of fitness for duty programs. Topics addressed at the conferences included union participation, legal aspects, training, and methods for handling controlled substances. An industrywide conference sponsored by EEI in October 1985 provided the basis for additional discussions on fitness for duty based on the current EEI guidelines which had been expanded to include information on chemical testing. As a result of
increased awareness in this area, the nuclear industry has worked to develop and implement improved fitness for duty programs. These programs concentrate on the training of managers, supervisors, and others in methods for identifying and dealing with personnel potentially unfit for duty.
- On August 5, 1982, the Commission published in the Federal Register a proposed rule on fitness for duty (47 FR 33980).
The proposed rule would have required licensees to establish. i and implement written procedures for ensuring that personnel in a nuclear power plant are fit for duty. Due to the initiatives taken by the nuclear industry, the Commission has decided to defer implementation of the rule subject to successful implementation of fitness for duty programs by the industry as described in this Policy Statement. NRC is publishing a separate notice in the Federal Register analyzing the comments on the proposed rule, and explaining its intent to reassess the possible need for rulemaking after an 18-month period, if circumstances warrant. The following statement sets forth the Commission's policy on fitness for duty and describes how it will execute it's responsibilities in this area to ensure the health and safety of the public.
POLICY STATEMENT The Commission recognizes that the industry, through the initiatives of the Nuclear Utility Management and Resources
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Committee (NUMARC), EEI, and INPO, has made progress in developing and implementing nuclear utility employee fitness for duty programs. The Commission stresses the importance of industry's initiative and wishes to encourage further such self-improvement.
Subject to the continued success of industry's programs and NRC's ability to monitor the effectiveness of those programs, the Commission will refrain from new rulemaking on fitness for duty for a minimum of 18 months from the effectivi date* 5 of this" Policy Statement. The Commission's decision to defer implementation of rulemaking in this area is in recognition of industry efforts to date and the intent of the industry to utilize the EEI Guidelines in developing fitness for duty programs. The Commission will exercise this deference as long as the industry programs produce the desired results.
However, the Commission continues to be responsible for evaluating licensees' efforts in the fitness for duty area to verify effectiveness of the industry programs. The Commission will reassess the possible need for further NRC action based on the success of those programs during the 18-month period.
At the Commission's request, the industry agreed to undertake a review of the program elements and acceptance criteria for a fitness for duty program. EEI modified and issued the revised "EEI Guide to Effective Drug and Alcohol / Fitness for Duty Policy Development." Further, INPO enhanced its performance objectives and criteria for its periodic p
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1 evaluations to include appropriate criteria for fitness for duty. Copies of the documents describing the program elements and criteria for fitness for duty programs developed by the industry are provided to NRC for review and comment.
The NRC will evaluate the effectiveness of utility fitness for duty programs by its normal review of industry activities, through reviews of INPO program status and evaluation. reports, periodic NRC observation of INPO evaluations, and direct < i inspections conducted by the NRC's Performance Appraisal Teams, Regional Office, and Resident Inspectors. NRC will also monitor the progress of individual licensee programs.
By way of further guidance to licensees, Commission expectations of licensee programs for fitness for duty of nuclear power -
plant personnel may be summarized as follows:
o It is Commission policy that the sale, use, or possession of illegal drugs or alcohol within protected areas at nuclear plant sites is unacceptable.
o It is Commission policy that persons within protected areas at nuclear power plant sites shall not be under the influence of any substance, legal or illegal, which adversely affects their ability to perform their duties in any way related to safety.
o An acceptable fitness for duty program should at a minimum include the following essential elements:
- 1) A provision that the sale, use, or possession of illegal drugs within the protected area will result in immediate revocation of access to vital areas and discharge from nuclear power plant activities..
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The use of alcohol or abuse of legal drugs within the protected area will result in immediate revocation of access to vital areas and possible discharge from nuclear power plant activities.
- 2) A provision that any other sale, possession, or use of illegal drugs will result in immediate revocation of access to vital areas, mandatory rehabilitation prior to reinstatement of access, and possible discharge from nuclear power plant activities.
- 3) Effective monitoring and testing procedures to provide reasonable assurance that nuclear power plant personnel with access to vital areas are fit for duty.
The industry, by periodic briefings or other appropriate methods, is expected to keep the Commission informed on program status. The NRC may also from time to time ask individual licensees to provide such information as the Commission may need to assess program adequacy.
ENFORCEMENT
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a i Violations of any applicable reporting requirement or instancss of a person being unfit for duty such that plant safety is potentially affected will be subject to the enforcement process.
Any NRC staff enforcement action pertaining to fitness for duty.during this grace period will be undertaken only with.
Commission concurrence.
In addition to required reports and inspections, information requests under'10 CFR 50.54(f) may be made and enforcement meetings held to ensure understanding of corrective actions.
Orders may be issued where necessary to achieve corrective actions on matters affecting plant safety.
In brief, the NRC's decision to use discretion in enforcement in order to recognize industry initiatives in no way changes the NRC's ability to issue orders, call enforcement meetings, or suspend licensees should a significant safety problem be found.
Nothing in this Policy Statement shall limit the authority of the NRC to conduct inspections as deemed necessary to take appropriate enforcement action when regulatory requirements are not met.
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< i ENCLOSURE NO. 2
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