ML20199H919

NRC DRUG-FREE Workplace Plan

ML20199H919
Person / Time
Issue date:	11/30/1997
From:	NRC
To:
References
NUREG-BR-0134, NUREG-BR-0134-R01, NUREG-BR-134, NUREG-BR-134-R1, NUDOCS 9711260259
Download: ML20199H919 (46)

Text

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I NUREG/BR-0134, Rev.1 k

United States Nuclear Regulatory Commission I

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United States Nuclear Regulatory Commission NRC Drug-Free Workplace Plan Omce ofIluman Resources N:vember 1997

ABSTRACT On September 15,1986, President Reagan signed Executive Order 12564, establishing the goal of a Drug Free Federal Workplace. The Order made it a condition of employment that all Federal employees refrain from using illegal drugs on or off duty. On July 11,1987, Congress passed legislation affecting implementation of the Executive Order under Section 503 of the Supplemental Appropriations Act of 1987, Public Law 100 71 (the "Act"). The Nuclear Regulatory Commission first issued the NRC Drug Testing Plan to set forth objectives, policies, procedures, and implementation guidelines to achieve a drug free Federal workplace, consistent with the Executive Order and Section 503 of the Act. Revision I, titled,"NRC Dmg Free Workplace Plan," stipersedes the previous version and its supplements and incorporates changes to reflect current guidance from the Department of Justice, the Department ofIIcalth and llurnan Services, as well as other guidance.

ii; NUREG/BR 0134 REV I D

i CONTENTS East A B S TRACT................................................................. il l

_ l.-

I NTRODUCTI ON........................................................ 1

- A.-

Bac k groun d........................................................ 1 B. - Statement of Policy.................................................. 1 C.

Nature, Frequency, and Type of Drug Testing.............................. 2 D.

Drugs for Which Individuals Are Tested.................................. 3 E.

Scope............................................................. 3 F.

- U n ion R.l ght s....................................................... 3 O.

References......................................................... 3

11... DE FI N I TI ON S.......................................................... 5

. 111. EMPLOYEE ASSISTANCE PROGRAMS.................................... 6 A.

F unc t ion................................................,.......... 6 B.'

Referral and Availability.............................................. 7 C.-

Leave Allowance.................................................... 8

- D. ~ Records and Confidentiality........................................ -..... 8 E.

S truc t ure............................................................ 8

- IV. SUPERVISORY TRAINING............................................... 9

'A.

Ob,lec ti ves............_............................................... 9 B. - : Implementation..................................................... 9 -

' C.

Training Packag i. '.........................................,....,..... )

v-

- NUREO/BR 0134, Rry.1

-,2 CONTENTS (Continued)

Eagc V.

EhiPLOYEE EDUCATION............................................... 10 A.

Obj ec ti ves........................................................ 10 11.

hicans of Education................................................. 10 VI. SPECI AL DUTIES AND RESPONSIBILITIES............................... 11 A.

Drug Program Coordinator............................................ I 1 13.

Assistant Drug Prograrii Coordinator..................................... I 1 C.

Employee Assistance Program Manager................................. 12 D.

Drug Rehabilitation Assessment Coordinator............................. 13 E.

hiedical Review Office.............................................. 14 F.

S u pervi sors........................................................ 14 G.

I m pl ementati on.................................................... 15 11.

General Program / Structural Provisions.................................. 15 1.

Government Contractors............................................. 15 V l l. N OTI C E............................................................... 16 A.

G en eral N ot ic e..................................................... 16 B.

I ndi vid ual Notice................................................... 16 C.

Ac knowled gment.................................................. 17 D.

Administrative Relie f............................................... 17 Vill. FINDING OF DRUG USE AND DISCIPLINARY CONSEQUENCES............. 17 A.

De t e rmi nati o n..................................................... 17 B.

hiandatory Administrative Actions..................................... 18 C.

R ange o f Consequences.............................................. 18 D.

Initiation of hiandatory Removal From Service........................... 18

- NUREG/BR 0134, REV. I vi

I CONTENTS (Continued)

PASC E.

Refusal To Take Drug Test When Required.............................. 19 i

F.

Vol untary Re ferral................................................... 19 l

IX. RAN DOM 'I E STI N G.................................................... 2 0 4

A. - Positions Designated for Random Drug Testing........................... 20 i

B.

Testing. Designated Positions Within the Sensitive Employee Pool............ 20 C.

Determining the Testing Designated Position............... -.............. 20 i

D.

Implementing Ran iom Testing........................................ 21 l

E.

Notification of Selection............................................. 21 f

F.

Ex c u se fro m Te st i ng................................................ 21 l

1 X.

REASONAal.E SUSPICION TESTING..................................... 22 e

i A.

Individuals Subject to Reasonable Suspicion Testing....................... 22 B.

G ro u nd s.......................................................... 2 2 C.

Proc ed ures........................................................ 2 2 1

L).

Obtaining the Sam ple................................................ 2 3 l

E.

Supervisory Training....................................

4

.23 XI. APPLI CANT TESTINO.................................................. 23 l

A.-

O bj ec tives........................................................ 2 3 B.

Extent o f Test ing................................................... 23 C.

Vacancy Announcements,........................................... 23

'D.

' Proced ures............... ;....................................... 24 -

E.

= Conseque nces........................................,,............ 24 i

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i CONTENTS (Continued) i P. age Xil. ADDITIONAL TYPES OF DRUO TESTING................................. 24 l

l A.

Injury, Illness, Unsafe, or Unhealthful i

Pract ice Testing..................................................... 24 i

B.

voluntary Testing.................................................. 2 5 1

C.

Follow up Testing.................................................. 2 5 Xill. TEST PROCEDURES IN OENERAL....................................... 25 j

t

- A.

Technical Guidelines for Drug Testing.................................. 25 i

B.

Assurance o f Privacy................................................ 2 6 C.

Failure To Appear for Testing......................................... 27 i

D.

Opportunity To Justify a Positive Test Result............................

27 E.

Testing Status During Rehabilitation.................................... 27 F.

S avi n g s C la u se..................................................... 2 7

[

t XIV. R ECORDS AN D REPORTS.............................................. 2 8 A.

>,onfident:ality of Test Results...................................... 28 i

B.

Access to Records.................................................. 2 8 C.

Confidentiality of Records in General................................... 29 D.

Employee Assistance Program Records.................................. 29

.i E.

Maintenance of Rccords.............................................. 29 F.

Records Maintained by Government Contractors.......,................... 30 0.-

Statistical lnfonnation............................................... 30 -

APPENDIX A

- Criteria, Frequency, and Justification for Testing. Designated Positions -

APPENDIX B Drup.s for Which Individuals Are Tested NUREO/BR-0134. REV. I viii

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- I. INTRODUCTION

}

A.

Background

l On September 15,1986, President Reagan signed Executive Order 12564, establishing the goal'of a Drug Free Federal Workplace. The Order made it a condition of employment that all l

Federal employees refrain from using illegal drugs on or off duty, in a letter to all Executive 1

Branch employees dated October 4,1986, the President reiterated his goal of ensuring a safe and l

drug free workplace for all Federal workers.

i The Executive Order recognized that illegel drug use is seriously impairing a significant i

portion of the national work force, resulting in the loss of billions of dollars each year. As the -

1 r

- largest employer in the nation, the Federal government has a compelling proprietary interest in establishing reasonable conditions of employment. Prohibiting employee drug use is one such j

condition. The NRC is concemed with the well being ofits employees, the successful accomplishment of Agency missions, and the need to maintain employee productivity. The intent of the policy is to ofter a helping hand to those who need it, while sending a clear message that i

any illegal drug use is, quite simply, incompatible with Federal service.

On July 11,1987, Congress passed legislation affecting implementation of the Executive Order under Section 503 of the Supplemental Appropriations Act of 1987, Public 1.aw 100 71, 101 Stat. 391,468 471, codified at 5 U.S.C. { 7301(1987)(hereafter, "the Act"). The objective of this legislation was to establish uniformity among Federal agency drug testing plans, reliable and accurate drug testing, employee access to drug testing records, confidentiality of drug test results, and centrallred oversight of the Federal govemment's drug testing program.

The purpose of the NRC Drug Free Workplace Plan is to set forth objectives, policies, procedures, and implementation guidelines to achieve a drug free Federal workplace, consistent with the Executive Order and Section 503 of the Act.

B.

Statement of Eglicy It is NRC policy that its workplace be free from the illegal use, possession, or distribution of controlled substances (21 U.S.C. Chapter 13, as specified in Schedules I through V, as defined in 21 U.S.C. 6 802(6) and listed in 21 U.S.C.) 812(b)) by the officers and employees of NRC.

L The possession and distribution of controlled substances will be dealt with promptly in i accordance with legal and administrative disciplinary procedures. However, the policy's primary goal is to ensure that lilegal drug use is eliminated and that the NRC workplace is safe, healthful, -

_ roductive,and secure.

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The NRC, as a result ofits national security and public health and safety responsibilities as well as the sensitive nature ofits work, has a compelling obligation to detect and climinate illegal drug use from its workplace.

The NRC regulates the civilian uses of nuclear materials and energy by licensing persons and companies: (1) to build and operate nuclear reactors, fuel cycle and other facilities; (2) to own and use nuclear materials (e.g., by universities, hospitals, doctors, and industry); (3) to transport nuclear materials; and (4) to store spent fuel and radioactive waste. The NRC through careful inspection must ensure that these activities are conducted M a manner consistent with the public health and safety, environmen'.al quality, national security, and utitrust laws.

All NRC inspectors and many other employees who require immediate and unescorted access into vital or protected areas of nuclear power plants, fuel cycle facilities, and uranitim enrichment facilities to conduct thorough and uninhibited inspections and investigations are subject to drug testmg. These areas contain systems, devices, or materials, the failure, destruction, or release of which could directly or indirectly endanger public health and safety by exposure to radiation. Others subject to drug testing include (1) members of emergency response teams who, as part of the NRC's public health and safety responsibilities, immediately respond to and investigate signincant operational events and accidents involv,g reactor and nonreactor facilities; (2) employees having access to Sensitive Compartmented Information (SCl) and/or Foreign Intelligence infonnation (Fil), or who require access more than once or twice a year to classined infonnation (e.g., National Security information or Restricted Data); and (3) motor vehicie operators whose principal duties or backup duties include the driving of Government vehicles to transport passengers, impaired juJgment or reliability, inappropriate behavior, or similar aberrant actions by any employees in testing-designated positions resulting from illegal dmg use could have disastrous, immediate, and long-temt effects upon public health and safety, the quality of the nation's environment, and the nation's security.

The mark of a successful drug free workplace program depends in large part on how well the NRC infonns its employees of the hazards ofillegal drug ase, and on the type and quality of assistance it can provide drug abusers. Equally important is the employees' conndence that the NRC will respect the personal dignity and privacy of the individual in reachino, its goal of a drug-free work place. Consistent with these goals, this plan includes policies and procedures for:

(1) employee assistance and protection of his/her personal privacy and legal rights, (2) supervisory training, (3) employee education, and (4) identincation ofillegal drug use through I

diug testing on a carefully controlled and monitored basis, i

C.

Nature. Frequenev. and Tvoc of Drug Testing Section 503 of the Act requires the NRC Plan to specify the nature, frequency, and type of drug testing to be instituted. The NRC Plan includes the following types of drug testing: (1) applicant testing; (2) random testing of those employees in sensitive positions which have NUREG/BR-0134, REV.1 2

been determined to be testing-designated positions; (3) reasonable suspicion testing; (4) injury, illness, ureafe, or unhealthful piactice testing; (5) voluntary testing; and (6) testing as part of or as a follow-up to cou'iseling or rehabilitation.

The frequency of random testing, voluntary testing, and follow-up testing is specified in Appendix A and Section XII, respectively. The Commission reserves ine right to increase or decrease the rate and frequency of testing based on the Agency's mission, need, availability of resources, and experience in the program, consistent with the duty to achieve a drug-free workplace under the Executive Order, D.

Drugs for Which Individuals Are Tested Section 503 of the Act requin:s the NRC Plan to specify tia drugs for which individuals shall be tested. These are listed in Appendix B E.

Scope This Plan applies to all employees of and applicants to the Nuclear Regulatory Commission.

F.

Union R,ights The active participation and support of the National Treasury Employees Union (which serves as the exclusive representative of NRC's bargaining unit employees) can contribute to the success of this program. Management will seek ways in which bargaining unit representatives might assist in program implernentation, such as in acquainting employeer with rehabilitation facilities and by enhancing emp!oyee confidence in the program. Management will continue to observe agreements already reached, will include union representatives in general orientation pcograms, and will continue to meet its obligations under Title VII of the Civil Service Reform Act of 1978.

G.

References 1.

Authorities a.

Executive Order 12564 (1987).

b.

Executive Order 12958 (1995).

c.

Executive Ordet 10450 (1953) and Executive Order 12968 (1995).

d.

Mandatory Guidelines for 1 ederal Workplace Drug Testing Programs, which includes Scientific and Technical Requirements and Certification of La*ooratories Engaged in Urine Drug Testing,53 FR 11970 (1988) as revised (1994).

3 NUREG/BR-Gi34, REV. I

c.

Standards for Certification of Laboratories Engaged in Urine Drug Testing for Federal Agencies, Alcohol, Drug Abuse and Mental Health Administration (ADAMilA), Department of Health and lluman Services (HHS), as cmended (59 Fed. Reg. 29925-29929 (1994)).

f.

Civil Service Reform Act of 1978, Pub. L.95-454.

p.

42 CFR Part 2, establishing requirements for assuring the confidentiality of alcohol and drug abuse patient treatment records, h.

The Privacy Act of 1974 (5 U.S.C. Section 552a), prescribing requirements governing the maintenance of records by agencies priaining to the individuals and access to these records by the individual (s) to whom they pertain.

i.

10 CFR Part 9, implementing the Privacy Act of 1974 within the NRC.

j.

Anti-Drug Abuse Act of 1986, Pub. L.99-570 as amended, Pub. L. 100-690.

k.

NRC Announcement No. 94, " Drug Testing Policy Statement," dated July 9, 1987.

1.

Section 628 of the Treasury, Postal Service, and General Government Appropriations Act of 1989, Pub. L.100-440, as amended.

2.

Guidance a.

Pub. L.91-616, The Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment, and Rehabilitation Act of 1970, providing guidance to Federal agencies in establishing alcoholism and drug abuse programs and Pub.

L.62-255, The Drug Abuse and Treatment Act, providing employee counseling services programs for Federal employees with alcohol or drug problems.

b.

5 CFP. Part 792, providing guidance for developing and maintaining appropriate prevention, treatment, and rehabilitmion programs and services for alcoholism and drug abuse among Federal employees.

c.

NRC Management Directive 10.122 (fon 'terly Manual Chapter and Appendix 4161)," Employee Health Services Program."

d.

Guidelines to agencies, departments, and instrumentalities in establishing a drug free workplace pursuant to Pub. L,. 100-440 e.

"NRC Drug Testing Manuall NUREG/BR-0136, Revision 4, December 1995.

NUREG/BR-0134, REV.1 4

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11. DEFINITIONS A.

" Applicant" means any individual from outside the NRC who is seriously being considered for employment in a testing-designated position with the NRC.

B.

" Employee Assistance Program (EAP)" means the NRC-based counseling program that offers assessment, short-term counseling, and referral services to employees for a wide range of drug, alcohol, and mental health problems, and monitors the progress of employees while in treatment.

C.

" Employee Assistance Program Manager" means the individual responsible for the day-to-day implementation and review of the agency EAP.

D.

" Drug Rehabilitation Assessment Coordinator" means the individual designated by the Director, Office ofIluman Resources, who provides initial assessment of employees referred to the EAP as the result of a positive drug test and employees who self-refer under the voluntary referral, or " safe harbor," provision of this plan (Section VIII.F). The Drug Rehabilitation Assessment Coordinator is a specialist in the diagnosis and treatment of addictive vxase. NRC contracts for this function and the contract is monitored directly by the EAP Manager, who oversees the day-to-day activities of the Drug Rehabilitation Assessment Coordinator and acts as liaison between the contractor and the Drug Program Coordinator.

E.

" Medical Review Officer" means the individual resp Eble for receiving laboratory results generated from the NRC Drug Testing Program. This orlicial is a licensed physician with knowledge of substance abuse disorders and has the appropriate medical training to interpret and evaluate all positive test results together with an individual's medical history and any other relevant biomedical information. NRC contracts for these servi es.

F,

" Illegal Drug" means a controlled substance included in Senedule 1 or 11 of the Controlled Substances Act, as defined by Section 802(6) t ? Title 21 of the United States Code, the possession of which is unlawful under Chaptei 3 of that Title (21 U.S.C.

801 et seq.).

The term " illegal drug" does not mean the use of a controlled substance pursuant to a valid prescription or other uses authorized by law.

G.

" Management Official" means an employee required or authorized by the NRC to formulate, determine, or influence the policies of the NRC (5 U.S.C.

{ 7103(a)(11)).

11.

" Random Testing" means a system of drug testing imposed without suspicion that a particular individual is using illegal drugs. Random testing may either be uniform unannounced testing of testing-designated employees occupying a specified area, site, element or position, or may be a statistically random sampling of such employees based on a neutral criterion.

5 NUREG/BR-0134, REV. I

I.

" Employees in Sensitive Positions" means:

1.

- Employees in positions designated by the Commis:: ion as sensitive in accordance with Executive Ort'er No.10450 (April 29,1953), as amended; 2.

Employees granted access to classitied information or who may be granted access to classified information pursuant to a determination of trustworthiness by the Commission under Section 4 of Executive Order No.12958 (April 20,1995), Section 3.1 of Executive Order No.12968 (August 2,1995), and Section 145 of the Atomic Energy Act of 1954, as amended; 3.

Individuals serving under Presidential appointments; or Emf oyees in other positions that the Commission determines involve national l

4.

security, the protection oflife and propeny, public health or safety, or other functions requiring a high degree of trust and confidenen.

J.

" Supervisor" n':ans an employee having authority to hire, direct, assign, promote, reward, transfer, furlough, layoff, recall, suspend, discipline, or remove other employees, to adjust their grievances, or to effectively recommend such action, if the exercise of the authority is not merely routine or clerical in nature, but requires the consistent exercise ofindependent judgment (5 U.S.C. f 7103 (a)(10)).

K.

" Testing Designated Positions" means employment positions within the NRC that have been designated for random testing under Section IX.B. of this Plan.

L.

" Verified Positive Test Result" means a test result that has been screened positive by an FDA approved immunoassay test, confirmed by gas chromatography / mass spectrometry assay (or othc; confirmatory tests approved by HHS), evaluated by the Medical Review Olricer, and determined by him or her to be uniustified under Section XIII of this Plan.

111. EMPLOYEE ASSISTANCE PROGRAMS A.

Ftmetion The NRC Employee Assir,tance Program (EAP) plays an important role in maintaining a drug-free workplace by publicizing the agency's alcohal and drug abuse policy and reiterating its stance as an agency with zero tolerance for illegal drug use. The EAP offers assistance to employees and family members dealing with alcohol, drug, and emotional or other problems.

Specifically, the EAP:

1, Provides crisis intervention, confidential short-term counseling and follow-up, and referral to community resources, on a 24-hour basis, to employees with alcohol, drug, mental health, and other personal problems.

NUREO/BR-0134, REV. I 6

12.. - Provides assessment, referral to an appropdate treatment or drug education program, i

L and ' program monitoring for those employees who have a positive drug test under this.

e Plan.or who self refer under the " safe harbor" provision.

3l Provides education and training to all levels of NRC personnel on types and effects of -

- drugs; symptoms of alcohol and drug abuse and impact on perfomiance and conduct; relationship of the EAP to the drui; testing program; and related treatment, rehabilitation, and confidentiality issues.--

4. _

Provides education and training to managers and supervisors to clarify their role and

responsibilities in recognizing the symptoms of alcohol and drug abuse on thejob and e

familiarizes them with the procedures for confronting and referring individuals for treatment.

5.

' Provides counseling and assis'ance to families of employees with alcohol or drug problems and to employees with family members who have alcohol or drug problems.

-6' Ensures that confidentiality of employee records, including drug test results ano related medical treatment and rehabilitation records, is maintained in accordance with Section XIV, f

The EAP is not involved in the collection of urine samples for dmg testing purposes.

B.

Referral and Availability The EAP is administered separately from the drug testing program and is available to all

employees without regard to a finding of drug use. EAP services are also available to family members of employees, when feasible. Employees may self refer, they may be referred by a management official or the health center staff or they may be referred as the result of a positive

alrug test.

Employees found to be using illegal drugs are referred to the Drug Rehabilitation Assessment Coordinator (DRAC) as a representative of the EAP. The DRAC performs an addiction assessment and, after making a diagnosis, refers the employee to an appropriate trettment or drug education program and monitors the employee's participation in the program.

In the event an employee is not satisfied with the program of treatment, he or she may seek revi:w of the DRAC's referral by notifying the EAP Manager before completing the program.

4 L Regardless of the treatment program chosen; the employee remains responsible for successful -

completion of the treatment. Assertions that the DRAC failed to consider any factors in making a referral (such as the nature and severity of the employee's problem, the location and cost of tre:tment, the intensity of the treatment environment, availability ofinpatient/ outpatient care, the i employee's preference, or other special needs of the empicyce such as transportation and child 7

NUREG/BR-0134, REV.1

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care) shall not constitute either an excuse for continuing to use illegal drugs or a defense to disciplinary action if the empioyee does not complete treatment. Following completion of rehabilitation by the employee, the DRAC makes a recommendation for frequency of follow-up testing to the Drug Program Coordinator.

C.

Leave Allowance Employees shall be allowed a reasonable period of excused absence, as determined by the EAP Manager in consultation with the appropriate management officials, for each counseling session during the assessment / referral phase of rehabilitation. Absences during duty hours for rehabilitation or treatment must be charged to the appropriate leave category in accordance with law and leave regulations.

D.

Becords and Confidentiality Employees who enter the EAP are treated in a confidential manner. All communications and records are handled in accordance with Section XIV of the Plan.

E.

Structure 1.

The Director, Office of Human Resources (HR), who reports to the Deputy Executive Director for Management Services, has responsibility for plannirg and implementing policies, programs, and services to provide for the efTective organization, utilization, and development of the agency's human resources. The Director, HR, is responsible for oversight of the NRC Employee Assistance Program and provides, with the :;upport of the Commission, high-level direction and promotion of the EAP.

2.

The NRC EAP is located in the Office of the Director, HR, and falls under the immediate. ;upervision of the EAP Manager.

3.

The Director, HR, provides direction to the EAP Manager and contractor personnel in the development, implementation, and evaluation of the Employee Assistance Program, both at Headquarters and in the regional and field oflices.

4.

The EAP Manager is responsible for the development, implementation, and evaluation of the EAP. In-house and contractor personnel provide crisis intervention, short-term counseling and follow-up, referral to area resources, supenisory consultation and mandatory training, and employee education on addiction and mental health issues. The EAP Manager serves as liaison with other EAP's in Govemment and industry, professional groups in the field of substance abuse and mental health, and community resources at lleadquarters and in the field; provides information for program assessment reports required by NRC and the Office of Personnel Management; and monitors contracts with providers of addiction and mental health senices.

NUREG/BR-0134, REV I 8

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Si.

Contract personnel carry out the functions of the Drug Rehabilitation ~ Assessment -

Coordinator (DRAC), as the representative of the NRC EAP, and supplement the evaluation, counseling; referral, and education services provided by the EAP. -

I IV. SUPERVISORY TRAINING A'.

- Obiectivsa '

. Because supervisors have a key role in establishing and monitoring a drug-free workplace, the NRC shall provide training to assist supervisors and managers in recognizing and addusing illegal drug use by agency employees. The purpose of supervisory training is to understand:

1.

. NRC policies relevant to work performance problems, illegal drug use, and the EAP; 2.

_ The responsibilities of offering EAP services; 3.

Ilow employee performance and behavioral changes should be recognized and documented; 4.

The roles of the medical statisupervisors, personnel, and EAP personnel; 5.

- The ways to use the NRC EAP; 6.

How the EAP is linked to the performance appraisal and the disciplinary process; and 7.

The process of reintegrating employees into the workforce following treatment.

B, ImnlementatIOn

. The' Office of Human Resources shall be responsible for implementing, supervisory training,

- and shall develop a training package to ensure that all employees and supervisors are fully informed of the NRC Drug-Free Workplace Plan.

i

- C.

Training Packaen Supervisory training shall continue to be required of all supervisors and may be presented as

- a separate course, or be included as part of an ongoing supervisory training program. Training shall be provided as soon as possible after a person assumes supervisory responsibility. Training courses willinclude:

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l.

Overall NRC policy;

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The prevalence of various employee problems with respect to drugs (and alcohol);

3.

The EAP approach to handling problems; 9

NUREG/BR-0134,REV I r

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flow to recognize employees with possible problems; 5.

' Documentation of employee performance or behavior; 6.

Ilow to epproach the employce; 7.

Ilow to use the EAP; 8.

Disciplinary action and removal from sensitive positions as required by Section 5(c) of the Executive Order; 9.

Reintegration of employees into the workforce; and

10. Written materials that the supervisor can use at the work site.

V. EMPLOYEE EDUCATION A.

Oh!cetives The Office ofIluman Resources shall continue to offer drug education to all NRC employees. Drug education will include education and training to all levels of the NRC on:

1.

Types and effects of drugs; 2.

Symptoms of drug use, and the effects on performance and conduct; 3.

The relationship of the EAP to the drug testing program; and 4.

Other relevant treatment, rehabilitation, and contioentiality issues.

B.

Means of Education Drug education activities may include:

1.

Distribution of written materials; 2.

Videotapes; 3.

Lunchtime employee forums; and 4.

Employee drug awareness days.

NUREG/BR-0134, REV. I 10

r VI. SPECl AL DUTIES AND RESPONSIBILITIES A.

Drug Program Coordinator NRC's Drug Program Coordinator (DPC) shall be responsible for implementing and managing the drug program within the NRC. The DPC function is vested in the Executive Director for Operations (EDO) or designee. The EDO serves es the administrative head of the NRC. In carrying out this responsibility, the DPC shall, among other duties:

1.

Ensure that all NRC employees receive a notice announcing the testing program no later than 60 days prior to the implementation date of the Plan; 2.

Ensure that all employees subject to random testing receive individual notice as described in Section Vll.B of this Plan, orior to implementation of the program; 3.

Direct the EAP Manager to publicize and disseminate drug program educational matenals and to oversee training and education sessions regarding drug use and rehabilitation; 4.

Receive verified positive test results through the lleadquarters Assistant Drug Program Coordinator from the Medical Review Officer; 5.

Coordinate with the employee, EAP staff and supervisory management officials to determine or initiate appropriate personnel actions; 6.

Provide direction, as necessary, to the NRC Assistant Drug Program Coordinators; and 7.

Coordinate with and report to the Commission on drug program activities.

B.

Assjstant Drug Program Coordinator 1.

NRC's Headquarters Assistar.t Drug Program Coordinator (ADPC) shall be responsible for directing and administering the collecting and testing portions of the drug program for NRC. The licadquarters ADPC function is vested in the Office of Administration, in the Director, Division of Facilities and Security, or designee. In carrying out this responsibility, the licadquarters ADPC shall, among other duties:

a.

Arrange for all testing authorized under this Plan; b.

Generate random test lists for Headquarters and Regions and remote sites; Coordinate with NRC's specimen collection contractor (s) on schedules, lists, and c.

locations; d.

Maintain / retain all NRC drug program collection and test records (e.g., test lists, signed acknowledgment forms from 30-day notice, test asults (negative and positive) for NRC employees and applicants);

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e. - -: Arrange to document through~ written reports all results of12 atory inspections :

conducted;-

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,f. : Report findings to DPC that may affect the reliability or accuracy,flaboratory results; and

g. L Provide program direction and coordinate with Regional ADPCs wherever.

necessary to conserve resources aad to efficiently and speedily accomplish reliable

and accurate testing objectives.

h.

Oversee administration of the contracts with the Medical Review Officer,.

specimen collection contractor, and testing laboratories.

2. -

NRC'<, Regional ADPCs, as well as the Headquarters ADPC, shall:

a.

On the actual drug testing date, notify the appropriate management official located --

at the specific site; b.

Notify the selected employee's supervisor approximately 1 hour1.157407e-5 days <br />2.777778e-4 hours <br />1.653439e-6 weeks <br />3.805e-7 months <br /> prior to actual collection; c.

When necessary, contact the supervisor of testing alternates; d.

Aid in confirming positive identification of the individual to be tested, when necessary; and-e.

Forward all drug-testing-related records to the Headquarters ADPC for storage and retention.

C..

Emnlovee Ammistance Program Manaoer Tiii responsibility is vested in the Office of Human Resources. The EAP Manager shall:

1. -

Assume the lead role in the implementation and evaluation of the EAP;

- 2.:

Advise NRC components on the submission of annual statistical reports and prepare consolidated reports on the NRC's EAP activity;

- 3.

. Work with the DPC to provide educational materials and training on illegal drugs in the -

workplace to managers, supervisors, and employees; 14.=

Ensure that training is provided to assist supervisors in the recognition and '

documentation of facts and circumstances that support a reasonable suspicion that an

' employee may be using illegal drugs;

. NUREG/BR-0134, REV; 11 12-2.

-~ -. - - - -

t 1

- 5. -

Oversee administration of the contract with the Drug Rehabilitation Assessment

. Coordinator; and.

6.

Counsel supervisors of employees whose performance and/or conduct problems may be related to illegal drug use;

^

- D.1 - Drug Rehnhilitation Acaeeement Coordinntnr.

+

The Drug Rehabilitation Assessment Coordinator (an NRC contractor) shall:

-1c Receive notification from'the DPC when the DPC receives a verified positive test result from the Ileadquarters ADPC.

2.

Serve as the initial point of contact for employees who ask for or are referred to drug counseling in accordance with Section VIII.F.

3.

Provide initial assessment and referral services to employees who have had a positive drug test under this Plan or who voluntarily refer under the " safe harbor" provision

- (Section Vill.F).

4, Be familiar with ;.ll applicable laws and regulations, including drug treatment and rehabilitation insurance coverage available to employees through the Federal Employee 1lealth Benefits Program.

Be trained in counseling employees in the occupational setting and in identifying drug use.

6.

Documer.t and sign the treatment plan prescribed for all employees referred for treatment, afler obtaining the employee's signature on this document.-

7.

In making referrals, consider the -

a.

Nature and severity of the problerr:

b. Locatioa of the treatment; c.

Cost of the treatment;

- d. : Intensity of the treatment environment; c.

Availability ofinpatiem/ outpatient care; f.

-Other special needs, such as transportation and child care; and

g. ; Preferences of the employee.

8.

Monitor the progress of referred employees during and after the rehabilitation period.

9.

. Maintain a list of rehabilitation or treatment organizations that provide counseling and

- reh'abilitative programs, and include the following information on each organization:

13 NUREG/BR-0134, REV.'1

s.

Name, address, and phone number; b.

Types ofservices provided;

~

c.

Hours of operation, including emergency hours;

d.

The contact person's name and phone number;:

e. _ Fee structure, including insurance coverage;-

f.

' Client specialization; and -

g.

Other pertinent information.

10. Periodically visit rehabilitative or treatment organizations to meet administrative and

- staff members, tour the site, and ascertain the experience, certification, and educational

-_ level of stafTand the organization's policy conceming progress reports on clients and post treatment follow-up.

I1. Provide data necessary for contract monitoring to the EAP Manager.

E.

ldedical Review Omcer

- The NRC shall have a Medical Review Officer (MRO) assigned to carry out the purposes of this Plan. The MRO shall, among other duties:

1.

- Receive all laboratory test results; 2.

Assure that an individual who has tested positive has been afforded an opportunity to justify the test result in accordance with Section XIll.D of this Plan; 3.

Consistent with confidentiality requirements, refer wsten deter.ninations regarding all verified positive test results to the Headquarters ADPC, ine'ading a positive drug test result fonn indicating that the positive result is " unjustified," together with all relevant documentation and a summary of findings; 4.

Confirm with the Headquarters ADPC whether an individual who has been tentatively selected for employment with the NRC has obtained a verified positive test result; and 5.

Coordinate with and report to the Headquarters ADPC on all activities and findings on a regular basis.

F.

Sunervisors Supervisors will be trained to recognize and address illegal drug use by employees, and will be provided information regarding referral of employees to the EAP, procedures and requirements

- for drug testing, and behavioral pattems that give rise to a rmonable suspicion that an employee may be using illegal drugs. Except as modified by the NRC to suit specific program responsibili-ties, first-line supersisors shall:

1.

Attend training sessions on illegal drug use in the workplace;

2.

Initiate a reasonable suspicion test after first making appropriate factual observations and documenting those observations and obtaining approval from the Office Director or above; NUREO/BR-0134, REV.1 -

14

t

- 3.

Refer employees, or ensure that employees have been referred, to the Drug Rehabilitation Assessment Coordinator for assistance in obtaining counseling and rehabilitation upon findings ofillegal drug use;.

4.-

Receive notification from the Drug Program Coordinator (DPC) upon a finding of- -

illegal dn.g use; 5.

- Initiate appropriate disciplinary action upon a finding ofillegal drug use; and -

6.

In conjunction with employee assistance and labor relations specialists, assist higiner-level supervisors in evaluating employee performance and/or conduct problems that -

l may be related to illegal drug use.

An Office Director or above shall review and concur, in advance, in the decision of a first-

- line supervisor to direct an employee to be tested for the presence of drugs as a result of reasonable suspicion.

. O.

Imalamentation

- At the direction of the Commission, the DPC shall implement the NRC Drug Testing Plan within NRC, and ensure that the Plan is efTiciently and effectively accomplished in accordance with Executive Order 12564 and all other applicable regulations.

H.

General Pronram/ Structural Provisions The DPC shall develop implementation procedures to enable NRC to efficiently and swiftly implement all aspects of this Plan, taking into account the unique geographical, personnel, budgetary, and other relevant factors of the Regional offices.

.1. -

Government Contractors Wherever existing facilities are inadequate to implement this Plan, a representative (s) of the

_ Ofrice o Admin!stration's Division of Facilities and Security and the Office of Human Resources, r

- as appropriate, shall:~

1.

Act as the Contracting Officer for the administration of all related contracts; 12.-

- Verify that contractors chosen to perform the drug screening tests are duly certified pursuant to the Department of Health ar;d Human Services (HHS) Guidelines (59 Fed.

Reg. 29926-29929,1994, " Mandatory Guidelines for Federal Workplace Drug Testing Programs") and that all contracts conform to '.he technical specifications of the HHS Guidelines; and-

- 3.

1 Ensure that' contractors or NRC employees fulfill the responsibilities of the MRO and L L the DPC.

15 NUREG/BR-0134, REV. I m

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Vll. NOTICE A.

General Notice A general notice from the Commission announcir.g the testing program, as required by Executive Order 12564, Section 4(a), was provided to all employees no later than 60 days prior to the implementation date of the Plan. The notice was provided immediately upon completion of Congressional certification procedures prescribed in Sections 503(a)(1)(A),503(a)(1)(B), and 503(a)(1)(C) of the Act, and explained:

1.

The purpose of the NRC Drug Testing Plan; 2.

That the Plan will include both voluntary and mandatory testing:

3.

That those who hold positions selected for random testing will also receive an individual notice, before testing has begun, indicating that their position has been designated a testing-designated position; 4.

The availability and procedures necessary to obtain couraling and rehabilitation through the EAP; 5.

The circumstances under which testing may occur; 6.

That opportunity will be afforded to submit medical documentation oflawful use of an otherwise illegal drug; 7.

That the laboratory assessment is a series of'.ests that are highly accurate and reliable, and that, as an added safeguard, laboratory results are reviewed by the MRO; 8.

That specific positive test results verified by the MRO may only be disclosed to the employee, the appropriate EAP contact, the DPC, the IIeadquartcrs ADPC, the appropriate management officials who have authority to process an adverse action against the employee, or a court of law or administrative tribunal in any adverse personnel action; and 9.

That all medical and rehabilitation records in an EAP will be deemed confidential

" patient" records and may not be disclosed without the prior written consent of the

patient, B.

Individual Notice in addition to the general notice, an individual notice will be distributed either by written memorandum or electronic mail (E-mail) message to all employees in testing-designated positions explaining, in addition to the information provided above:

NUREG/BR-0134, REV I 16

1. -

That the employee's position has been designated a " testing-designated position;"

.- 2. _ i That the employee will have the opportunity to voluntarily identify himself or herself as -

a user ofillegal drugs and to receive counseling or rehabilitation, and will not be removed or suspended on that account; and 3.

Thai the employee's position will be subject to random testing no sooner than 30 days from the date of the notice.

C.

AckanwWoment Acknowledgment of the notice shall be demonstrated by signing and returning the written notice or by opening the E-mail message. If a written notice is used and the employee refuses to sign the a:knowledgment, the employee's supervisor shall note on the acknowledgment form that the employee received the notice.

D.. Adminierative Relief If an employee believes his or her position has been wrongly designated a testing-designated -

position (TDP), that _ employee may file an administrative appeal to the Drug Program Coordinator (DPC), who has authority to temove the employee from the TDP list. The appeal must be submitted by the employee, in writing, to the DPC within 15 days of the notification in VII.B.

above, setting forth'all relevant it; formation. The DPC shall review the appeal based on the criteria -

applied in designating that employee's position as a TDP, The DPC's decision is final and is not subject to further administrative review.

Vill. FINDING OF DRUG USE AND DISCIPLINARY CONSEQUENCES

- A.

Determinatian An employee may be found to use illegal drugs on the basis ~of any appropriate evidence including, but not limited to:

l.

. Direct observation; 2.

Evidence obtained from an arrest or criminal conviction; 3.

- A verified positive test result; or 4.

An employee's voluntary admission.

l 17 NUREG/BR-0134, REV.1' l

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B.

Mandatory Administrative Actions The NRC shall refer an employee found to use illegal drugs to the Drug Rehabilitation Assessment Coordinator as the representative of EAP, and may immediately remove the employee from his or her position without regard to whether it is a testing-designated position. At the discretion of the DPC, however, and as part of an EAP, an employee may return to duty in his/her normal position if the employce's return would not endanger public health or safety or national security.

C.

Range offensequences The degree of severity of the discipliwy action initiated against an employee found to use illegal drugs will depend on the circumstances of euh case, will be consistent with the Executive Order, and will include the full range of disciplinary actions, including removal. In addition, an employce's access authorization (security clearance) and/or employment clearance may be suspended under 10 CFR Part 10. The NRC shall initiate disciplinary action against any employee found to use illegal drugs, except if that employee voluntarily admits to illegal drug use in accordance with subsection Vill.F. of this Phn. The policy regarding such disciplinary action, consistent with the requirements of the Collective Bargaining Agreement between NRC and NTEU, the Civil Service Reform Act, and other statutes, NRC policies, and regulations, will be as follows:

1.

Any employee found to be using, selling, or possessing illegal drugs while in a duty status may be removed from the NRC.

2.

Any employee found to be using, selling, or possessing illegal drugs while off duty may be removed, reduced in pay or grade, or suspended without pay, depending on the circumstances, if suspended, the employee will be required to undergo rehabiLtation, and be subject to possible reassignment.

In addition, any employee determined to have a verified positive test result must receive, at a minimum, two (2) hours of drug education by an NRC-approved drug treetment provider or heahh educator.

D.

. initiation of Mandatory Removal From Service The NRC shall initiate action to remove an employee found to use illegal drugs for:

1.

Refusal to undergo counseling or rehabilitation and to successfully complete rehabilitation or drug education through an Employee Assistance Program as required by the Executive Order; or 2.

A second finding ofillegal drug use.

All letters to propose and decide on a removal action shall be concurred in by the Office of Iluman Resources and the OfTice of the General Counsel.

NUREG/BR-0134, REV. I 18

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Ref==1 To Take Drun Test When Required j

~

1.

An employee who refuses to be tested when so required will be subject to trassignment, -

j suspension, or removal from the NRC.

2.-

L An applicant who refuses to be tested shall not be extended an ofter ofemployment.

3.

Attempts to alter or substitute the specimen provided will be deemed a refusal to take theldrug test when required.

r

- F.

Vohmkrv Referral Under Executive Order 12564, the NRC is required to initiate action to discipline any employee found to use illegal drugs in every circumstance except one. If an employee (a) _.

voluntarily admits his or her drug use (in accordance with 3. below), (b) completes counseling or a -

~ rehabilitation program, and (c) hereafter refrains from drug use, initiation of such discipline is not required (Executive Order 12564, Section 3(b), Section 5(b)).

1.

Because the Order permits an agency to create a " safe harbor" for an employee who meets all three of these conditions, the NRC has decided to create such a " safe harbor" and will not initiate disciplinary action against employees who satisfy the provisions of this Section of this Plan.

2.

A fundamental purpose of the NRC's Drug-Free Workplace Plan is to assist employees who themselves are seeking treatment for drug use. For this reason, the NRC will not suspend or remove on that account any employee who meets all aspects of the

' above circumstance.

This self referral option allows any employee to step forward and identify himself/herself as an illegal drug user for the purpose of entering a drug treatment program under the EAP. In stepping forward, and consistent with Section XII.B., any

. employee may volunteer for a drug test as a means ofidentification. Although this self-

~

identification test may yield a verified positive test result, such result shall not subject the employee to discipline assuming the three " safe harbor" requirements are met.

3.

Since the key to this provision 5 rehabilitative effectiveness is an employee's twillingness to admit his or her problem, this provision will not be available to an

~

employee unless that employee voluntarily discloses illegal drug use to a supervisory 1

l official in his/her management chain by close of business an the day prior to the day he -

or she is required to provide a urine sample. This prevents employees from identifying themselves as illegal dryg users on the day they ' officially or unofYicially find out that i they are scheduled for drug testing. This " safe harbor" provision is also not available to.

employees found to have used illegal drugs pursuant to Sections VIII.A.I. and 2.

e 19 NUREG/BR-0134, REV.1 4

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1 IX. RANDOM'ESTING A.

Positions Designated for Random Drug Testing The criteria and procedures applied in designating positions for drug testing, includmg the justification for such criteria and procedures, are listed in Appendix A.

B.

Testing-Duignated Positions Within the_ Sensitive Emnlovee Pool The Executive Order requires random testing for those employees in sensitive positions that have been determined to be testing-designated positions. Appendix A includes the criteria and procedures used in designating such positions for random testing, pursuant to the Act, including thejustification for such criteria and procedures.

C.

Determining the Testing-Designated Position Among the factors the NRC has considered in determining a testing-designated position are

- the extent to which the NRC:

1.

Considers its mission inconsistent with illegal drug use; 2.

Must foster public trust by preserving employee reputation for integrity, honesty, and responsibility; and 3.

lias national security responsibilities.

NRC has also considered the extent to which the position:

1.

Gives employees access to sensitive information; 2.

Requires employees, as a condition of employment, to obtain an employment / security clearance; and 3.

Requires employees to engage in activities affecting public health or safety.

These positions are characterized by critical safety or security responsibilities as related to the mission of the NRC. The job functions associated with these positions directly and immediately relate to public health and safety, the protection oflife and property, or national security. These positions are identified for random testing because they require the highest degree of trust and confidence.

The Commission reserves the right to add or delete positions determined to be testing-designated positions pursuant to the criteria established in the Executive Order and this Plan.

Moreover, pursuant to 42 U.S.C.

290ee-1(b)(2), and the pertinent provisions of the Code of MUREG/BR-0134, REV.1 20

Federal Regulations, the Commission has iletermined that all positions that have been or will be designated as testing-designated positions t nder this Plan are " sensitive positions," and are therefore exempted from coverage under 42 U.S.C. Q 290ee 1(b)(1), which provides that no person may be denied or deprived of Federal civilit n employment or a Federal professional or other license or right solely on the basis of prior drug abuse.

D.

Implementing Random Testing in implementing the program of raadom testing, the Drug Program Coordinator shall:

1.

Ensure that the means of random selection remains conndential; and 2.

Evaluate periodically whether the numbers of employees tested and the frequency with which those tests will be administered satisfy the NRC's duty to achieve a drug-free workforce.

The number of sensi. e employees occupying testing-designated positions and the frequency with which random tests will be administered are specified in Appendix A.

E.

Notification of Selection An individual selected for random testing and the individual's supervisor shall be notined the same day the test is scheduled, preferably within I hour of the scheduled testing. The supersisor shall explain to the employee that the employee is under no suspicion of taking drugs and that the employce's name was selected randomly.

F.

Excuse from Testing An employee selected for rander.: drug testing may be excused from testing if the employee's supervisor and Division Director c; above concur that a compelling need necessitates he/she being excused. Otherwise, an employee mey be excused from testing if he or she is:

1.

In a leave status (sick, annual, administrative, or leave without pay);

2.

In ofncial travel status away from the test site or is about to embark on ofncial travel scheduled before testing notincation; 3.

Notified of testing and submits a verifiable leave request for family or medical emergency; or 4.

Attending or scheduled to attend a meeting with a licensee or certificate holder or is scheduled to be a key speaker at a Commission meeting and the test cannot otherwise be scheduled that day.

An employee whose random drug test is excused will be returned to the testing pool.

21 NUREG/BR-0134, REV. I

X. REASONABLE SUSPICION TESTING A.

Individuals Subject to Reasonable Suspicion Testing Reasonable suspicion testing may be required of any employee in a position that is designated for random testing when there is a reasonable suspicion that the employee uses illegal drugs on or off duty. Reasonable suspicion testing may also be required of any employee in any position when there is reasonable suspicion of on-duty use or on-duty impairment.

B.

Grounds Reasonable suspicion testing may be based on, among other things:

1.

Observable phenomena, such as direct observation of drug use and/or the physical symptoms of being under the influence of a drug; 2.

A pattern of abnormal conduct or erratic behavior; 3.

Arrest or conviction for a drug-related offense; or the identification of an employee as the focus of a criminal investigation into illegal possession, use, or trafficking. In any references to grounds for " reasonable suspicion testing," the term " trafficking" shall also mean " distribution;"

4.

Information provided either by reliable and credible sources or information gained, for example, by anonymous tips that are independently corroborated; 5.

Reliable evidence that the e uployee has tampered with a previous test; or 6.

Employee has just given a specimen, the temperature measurement of which indicates possible tampering / adulteration / substitution.

Each determination of reasonable suspicion will be made individually based on the circumstances. Supervisory judgment will be based on the alcohol and drug abuse training for supervisors provided by the NRC's Employee Assistance Program.

C.

Procedures if an employee is suspected of using illegal drugs, the appropriate supervisor will verbally provide all information, facts, and circumstances leading to and supporting this suspicion to the Office Director / Regional Administrator or above for concurrence. Concurrence of the Oflice of the General Counsel and the Chief, Organization and Labor Relations, Office of Human Resources, will also be obtained.

NUREG/BR-0134, REV. I 22 i

If and when reasonable suspicion has been verified by a positive test, the appropriate supervisor will promptly detail, for the record and in writing, the circumstances that formed the basis to warrant the testing. The written report will be prepared to include, at a minimum, the appropriate dates and times of reported drug-related incidents, reliable / credible sources of infonnation, rationale leading to the test, findings of the test, and the action taken.

D.

Obtaining the Sample The employee may be asked to previa the urine sample under observation in accordance with the criteria in Section XIll.B.

E.

Supervisorv Trining in accordance with Section IV, supervisors will be trained to address employee illegal drug use by recognizing facts that give rise to a reasonable suspicion and documenting facts and circumstances to support a finding of reasonable suspicion. Failure to receive such training, however, shall not invalidate otherwise pioper reasonable suspicion testing.

XI. APPL.lCANT TESTING A.

Obiectives To maintain the high professional standards of the NRC's workforce, it is imperative that individuals who use illegal drugs be screened out during the initial employment process before they are placed on the employment rolls of the NRC. This procedure will have a positive effect on redue:ag instances ofillegal drug use by employees working within the NRC, and will provide for a safer work environment.

B.

Extent of Testing Drug testing shall be required of all extemal candidates seriously being considered for employment with the NRC in a testing-designated position.

C.

Vacancy Announcements Every vacancy announcemt.nt for testing-designated positions shall indicate the drug testing requirements for extemal applicants / selectees. The suggested vacancy announcement statement follows:

"Extemal applicant (s) selected for this position will be subject to pre-appoimment drug testing."

In addition, the applicant will be notified that appointment to the position will be contingent on the receipt of a negative drug test result. Failure of the vacancy announcement to indicate these 23 NUREG/BR-0134, REV.1

i requirements will not preclude applicant testing if advance written notice is provided to applicants 4 in some other manner. E D.

h>meedures

' The ADPC, Regional ADPC, or Office of Human Resources representative shall direct.

external applicants to an appropriate collection facility.The drug test must be undertaken as soon

~after notification as possible, and no later tht a 48 hours5.555556e-4 days <br />0.0133 hours <br />7.936508e-5 weeks <br />1.8264e-5 months <br /> after notice to the applicant. Where appropriate, applicants may be reimbursed for reasonable travel expenses.

Applicants will be advised of the opportunity to submit medical ~ documentation that may support a legitimate use for a specific drug and that such information will be reviewed only by-the Medical Review Officer to determine whether the individual is licitly using an otherwise illegal drug.

Upon notification that an individual has been tentatively selected for employment with the i NRC, the Director, Office of Human Resources, or designee, shall assure, after consultation with the Headquarters ALPC, that a drug test has been conducted on that individual and determine whether the test result is a verified positive result.

E.

Can-nces The NRC will rescind any offer of employment and refuse to employ any applicant with a verified positive test result.' Subsequent application will not be considered without adequate evidence of rehabilitation as determined by NRC's MRO. Absent such evidence, the personnel i

representative working on the applicant's certificate shall be directed to object to the applicant on the basis of failure to support the goals of the NRC. The NRC shall inform such applicant that a l

confirmed presence of an illegal drug in the applicant's urine precludes the NRC from hiring the applicant.

Xil. ADDITIONAL TYPES OF DRUG TESTING A. - Iniury. Illnen Unufe or Unhealthful Practice Testing

- The NRC is' committed to providing a safe and secure work environment. Is also has a legitimate interest in determining the cause of serious accidents so that it can undertake appropriate

- corrective measures. Post-accident drug testing can provide invaluable information in fartherance

- of that interest. Accordingly, employees may be subject to testing when, based on circumstances of-the accident, their actions are reasonably suspected of having caused or contributed to an accident that meets the following criteria:

1.

The accident results in a death or personal injury requiring immediate hospitalization; or.

~

NUREG/BR-0134, REV. I'

_24 i

2.

The accident results in damage to government or private property estimated to be in excess of $10,000.

If an employee is suspected of having caused or contributed to an accident meeting the above criteria, the appropriate supervisor will present the facts leading to this suspicion to the Office Director / Regional Administrator for approval. Once approval has been obtained and arrangements made for testing, the supervisor will prepare a written report detailing the facts and circumstances that warranted the testing.

B.

Voh:ntary Testing To demonstrate their commitment to the NRC goal of a drug-free workplace and to set an example for other Federal employees, employees not in testing-designated positions may volunteer for unannounced random testing by notifying the ADPC. These employees will then be included in the pool of testing-designated positions subject to random testing, and be subject to the same frequency, conditiens, and procedures, including the provisions of Section Vill.F.

Volunteers shall remain in the TDP pool for the duration of the position the employee holds, or until the employee withdraws from participation by notifying the DPC of such intent at least 48 hours5.555556e-4 days <br />0.0133 hours <br />7.936508e-5 weeks <br />1.8264e-5 months <br /> before a scheduled test.

C.

Follow-un Testing All employees referred through administrative channels who undergo a counseling or rehabilitation program for illegal drug use through the EAP will be subject to unannounced random, or follow-up, testing following completion of such a program for a period of at least one year. Such employees shall be tested at the rate stipulated in the abeyance contract or, in the alternative, at the increased frequency of up to once every three to five work days for a period of three months, after which the follow-up tests may be decreased in frequency. Such testing is distinct from testing that may be imposed as a component of a rehabilitation program. Thereafter, such employees may continue to be tested randomly, regardless of the type of position they hold, at a rate recommended by the DRAC and approved by the NRC for the duration of their NRC employment.

XIll. TEST PROCEDURES IN GENERAL A.

Technical Guidelines for Drug Testing 1.

The NRC shall adhere to all scientific and technical guidelines for drug testing programs promulgated by HHS consistent with the authority granted by Executive Order 12564 and to the requirements of Section 503 of the Act. The NRC's drug testing program shall have professionally trained collection personnel, a laboratory certification program, rigorous analytical standards and quality assurance requirements for urinalysis procedures, and strict confidentiality requirements.

25 NUREG/BR.0134, REV. I

2.

Under the guidelines,45 milliliters (ml) of urine will be collected, if sufficient urine can be collected from the donor, each specimen will be split into two portions (i.e.,30 ml for the first portion (bottle A) and 15 mi for the second (split) portion (bottle B) of the specimen. Both portions of the specimen (bottles A and D) will be sent to the same HHS certified testing laboratory.

If the donor is able to provide at least 30 ml but less than 45 ml of urine, the specimen will be processed as a sir.gle specimen (bottle A) and will not be split. Individuals who provide less than 45 ml needed for a split specimen will no longer be asked to sign a waiver form. If an individual is unable to provide at least 30 ml of urine, the specimen will be discarded afler its temperature is taken and a new specimen will be collected after the individual is given a reasonable amount of time to consume fluids, if the first portion of a specimen (bottle A) tests positive based on the initial screening and confirmatory testing at the testing laboratory, the result will be sent to NRC's MRO for evaluatien. If the MRO cannot justify the positive result (i.e., determine that there was a legliimate use of a controlled substance), the MRO must report the result to the NRC without waiting for the donor to request that the t,ottle B specimen be tested. The MRO may, however, order a retest of the first portion (bottle A) from a split specimen collection or a single specimen before making his/her decision i,a a positive result.

Only the donor may request through the MRO that the split portion (bottle B) of specimen be tested. This request to the MRO must be mae by the donor within 72 hours8.333333e-4 days <br />0.02 hours <br />1.190476e-4 weeks <br />2.7396e-5 months <br /> of being told by the MRO that he or she tested positive. Previously, the MRO could independently order a confinnatory test on the split portion (bottle B) of the specimen. The donor has the option to request that the split portion (bottle B) be tested either at the primary contract testing laboratory or NRC's HilS certified secondary contract testing laboratory. The NRC will also pay the costs associated with testing the split portion (bottle B). If the result of the test on the split portion (bottle B) fails to reconfirm the result reported for the first portion (bottle A), the MRO will void the test result for bottle A.

B.

Assurance of hingy Any individual subject to testing ur. der this Plan shall be permitted to provide urine specimens in private, in a rest room stall or similar enclosure so that the employee is not obsuved while providing the sample. Collection site personnel of the same gender as the individual tested, however, may observe the individual provide the urine specimen when such personnel have specific reason to believe that a particular individual may alter or substitute the specimen to be provided. Collection site personnel may have specific reason to believe that a particular individual may alter or substitute the speci.nen to be provided when:

1.

Facts and circumstances suggest that the individual has equipment or implements capable of tampering with or altering urine samples; NUREG/BR-0134, REV. I 26

2.

The individual has previously tampered with a sample; or 3.

The individual has just given a specimen and the temperature measurement indicates possible tampering / adulteration / substitution.

C, Failure To Anpear for Tesling Failure to appear for testing without a valid excuse (see Sectica IX.F) w"1 be considered refusal to participate in testing, and it will subject an employee to disciplinary action ranging from suspension to removal and an applicant to the cancellation of an offer of employment. If an

- individual fails to appear at the collection site at the assigned time, the collector shall contact the ADPC to obtain guidance on action to le taken.

D.

Opportunity To Jitstify a Positive Test Result When a confimled positive result has been returned by the laboratory, the MRO shall

. perform the duties set forth in the HHS Guidelines and in Section XIll.A.2. For example, the MRn may choose to conduct employee medical interviews, review employee medical history, or review any other relevant biomedical factor s. The MRO must review all medical records made available by the tested employee when a confirmed positive test could have resulted from legally prescribed medication. Evidence to justify a positive result may include, but is not limited to:

1.

A valid prescription; or 2.

A verification from the individual's physician verifying a valid prescription.

Individuals are not entitled, however, to present evidence to the MRO in a trial-type administrative proceeding, although the MRO has the discretion to accept evidence in any manner the MRO deems most efficient or necessary.

E.

Issting Status During Rehabilitation While participating in a rehabilitation program, and in coordination with the program, the employee may be exempted from the random testing-designated position pool for a period not to exceed 60 days, or for a time period specified in an abeyance contract or rehabilitation plan approved by the Office ofIluman Resources, NRC. Upon completion of the program, the employee immediately shall be subject to follow-up testing pursuant to Section XII.C.

F.

Savings Clause To the extent that any of the procedures specified in this section are inconsistent.with any of those specified in the Scientific and Technical Guidelines (59 Fed. Reg. at 29919) premulgated by the Department of Health and Human Services, or any subsequent amendment thereto, such HHS Guidelines or amendment shall supersede the procedures specified in this section, but only to the extent of the inconsistency.

27 NUREG/BR-0134 REV. I

XIV. RECORDS AND REPORTS A.

Confidentiality of Test Results The laboratory may disclo>e confirmed laberstory test results only to the MRG. Any positive result the MRO determines to be justified by licit and appropriate medical or scientific documentation to account for the result as other than the intentional ingestion of an illegal drug will be treated as a negative test result and may not be released for purposes ofidentifying illegal drug use. Test results will be protected under the provisions of the Privacy Act,5 U.S.C. G 552a, et seq., and Section 503(c) of the Act, and may not be released in violation of either Act. The MRO may maintain only those records necessary for compliance with this Plan. NRC components or individuals with audit responsibilities of the MRO or the overall program may r.ot have access to personal information identifying any employee.

To comply with Section 503(c) of the Act, the results of a drug test of an NRC employee may not be disclosed without the prior written consent of such employee, unless the disclosure would be:

1.

To the MRO; 2.

To the lleadquarters ADPC or designee; 3.

To the Manager of the EAP or designee in which the employee is receiving counseling or treatment or is otherwise participating; 4.

To the DPC; 5.

To any supervisory or management officials within the NRC having authority to take adverse personnel action against such employee; or 6.

Pursuant to the order of a court of competentjurisdiction or where required by the United States Government to defend against any challenge against any adverse personnel action.

For purposes of this Section, " management official" includes any management or government official whose duties necessitate review of the test results to process adverse personnel action against the' employee. In addition, test results with all identifying information removed shall also be made available to NRC personnel for data collection and other activities necessary to comply with Section 503(f) of the Act (Annual Report to Congress).

B.

Access to Ikcmds Any employee or applicant who is the subject of a drug test shall, upon written request, have access to any records relating to:

NUREG/BR-0134, REV. I 28

___ _ _. ~

e

!! L Such employee's dmg test; and i

2.

The results of any relevant certification, review, or revocation of proceedings, as referred to in Section 503(aXIXAXii)(1 Ill) of the Actc L Except as authorized by law an applicant who is the subject of a drug test, however, shall

- not be entitled to this information.

l 4

C.

Confidentiality of Racards in General All drug testing information specifically relating to individuals is confidential and should be -

treated as such by anyone authorized to review or compile program records. To implement this Plan efficiently ano to make information readily retrievable, the Headquarters ADPC shall maintain all records relating to reasonable. suspicion testing, suspicion of tampering evidence, and any other authorized documentation necessary to implement this Plan.

Records and information of the_ personnel actions taken on employees with verified positive -

test results should be forwarded to the Chief, Organization and Labor Relations, Office of Human Resources. Such shall remain confidential, securely locked with only authorized individuals who have a "need to know"_ having access to them.

D. -

Fmnlovee Assistance Program Records

The EAP Manager shall maintain only those records necessary to comply with this Plan.

After the DPC refers an employee to an EAP, the EAP will maintain all records necessary to carry out its duties. All medical and/ or rehabilitation records conceming the employee's drug abuse, including EAP records of the identity, diagnosis, prognosis, or treatment, are confidential and may be disclosed only as authorized by 42 CFR Part 2, including the provision of written consent'by the employee. With written consent, the patient may authorize the disclosure of those records to the patient's employer for verification of treatment or for a general evaluation of treatment progress (42 CFR 2.1 et seq., as amended June 9,1987).

E.

Maintenance of Records-l The NRC has established a System of Records, " Drug Testing Program Records," NRC-35, to maintain the records of the NRC's Drug Testing Program consistent with all applicable Federal laws, rules, and regulations regarding confidentiality of records, including the Privacy. Act 5 U.S.C.

? { 552a. If necessary, records may be maintained as required by subsequent administrative or judicial proceedings, or at the discretion of the NRC. The recordkeeping system should capture sufficient documents to meet the operational and statistical needs of this Plan and include:

1.

Notices of verified positive test results referred by the MRO; 2.-

. Written materials justifying reasonable suspicion testing or evidence that an individual may have altered or tampered with a specimen;

~

29.

NUREG/BR-0134, REV. I y

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- 3.

Anonymous statistical reports; and 4.

Other documents the DPC, MRO, or EAP Manager deems necessary for efficient complince with this Plan.

F.

Records Maintained by Government Contractors Any contractor hired to satisfy any part of this Plan shall comply with the confidentiality requirements of this Plan and all applicable Federal laws, rules, regulations, and guidelines.

G.

Statistical Infonnation The DPC shall collect and compile anonymous statistical data for reporting the number of:

1.

Random tests; reasonable suspicion tests; injury, illness, unsafe, or unhealthful practice tests; follow up tests; or applicant tests administered; l

2.

Verified positive test results; j

3.

Voluntary drug counseling referrals; l

4.

Involuntary drug counseling referrals; 5.

Removals or denials of employment offers resulting from refusal to submit to testing; l

6.

Removals or denials of employment offers resulting from alteration of specimens; 7.

Removals or denials of employment offers resulting from failure to complete a drug abuse counseling program; and 8.

Employees who successfully complete EAP.

This data, along with other pertinent information, shall be compiled for inclusion in the NRC annual report to Congress required by Section 503(f) of the Act. This data shall also be provided to llHS on a semi-annual basis to assist in overall program evaluation and to determine whether changes to the HHS Guidelines may be required.

NUREG/BR-0134, REV.1 30

APPENDIX A Criteria, Frequency, and Justification for Testing-Designated Positions f

e.

APPENDIX A CRITERIA, FREQUENCY, AND JUSTIFICATION FOR TESTING DESIGNATED POSITIONS 1.

CRITERIA FOR TESTING The Executive Order (E.O.) authorizes random drug testic,, of all employees in sensitive positions. Since all NRC positions are sensitive as defined by E.O.12564, all NRC employees and special employees are potentially subject to drug testing. On January 15,1992, the Omce of National Drug Control Policy (ONDCP) provided revised guidance for selecting testing designated positions. This revised guidance was developed in accordance with the provisions of the E.O. and applicable case law. It identified categories of positions that agencies are expected to include " presumptively" in drug testir cols, as well as positions that " preferably" are to be included under most, but not all, circumstances. The Commission has detennined that " motor vehicle opercars carrying passengers" falls under the " presumptive" category and those employees who have access to "truly sensitive infonnation," the compromise of which could cause damage to the national security, fails under the " preferable" category.

In addition to these categories, there are other agency specific sensitive positions that may warrant, at the discretion of the agency, designation for testing. Such determinations are to be based on the nature of the agency's mission and its employees' duties, the etilcient use of agency resources, and the danger to public health and safety or national security that could result from the failure of an employee to discharge the duties of his/her position adequately. The revised guidance also identilles categories of positions that agencies should exclude from their random testing pool.

Considering the provision of the E.O. and the revised ONDCp guidance, the Commission determined that all NRC en.ployees in the followmg categories are subject to random testing:

(1)

Regional and lleadquarters employect who have unescorted access to vital or protected areas of nuclear plants, Category 1 fuel cycle facilities, and uranium enrichment facilities; (2)

Employees who have assigned responsibilities or are on call for Regional or lleadquarters incident response centers; (3)

Employees with access to Sensitive Compartmented Information (SCI) und/or Fcreign Intelligence Information (Fil), or who require access more than once or A-1 NUREG/BR-0134, REV. l

l twice a year to classified information (e.g., National Security Information or Restricted Data); and (4)

Employees who are motor vehicle operators whose principal duties or backup duties include the driving of Government vehicles to transport passengers.

It should be noted that positions occupied by some employees will fall under more than one category, 11.

FREQUENCY We estimate that approximately.720 positions will be subject to random drug testing.

NRC's policy is to test 50% of the pool cach year (e.g., in a pool of 1720, we will corduct a total of 860 tests per year at a frequency of ten times per year). The names of the tested employees will be retumed to the pool following each test.

111.

JUSTIFICATION FOR CATEGORIES OF EMPl.OYEES TO BE SUBJECT TO RANDOM DRUO TESTING CATEGORY l - Regional and licadquarters employees who have unescorted access to vital or protected areas of nuclear power plants, Category 1 fuel cycle facilities, and uranium enrichment facilities:

It is the NRC's policy that all persons (including government employees) who are authorized unescorted access to the vital or protected areas of nuclear power plants, Category I fuel cycle facilities, pr.o manium enrichment facilities be fit to perfbrm their duties and that they not be under the influence of any substance, legal or illegal, that could adversely affeet the ability to perfonn their duties in any way related to safety.

To carry out their plant safety inspection and review activities in a manner that is unfettered and free of any possible constraints created by the presence oflicensee personnel, some NRC personnel must have the authority to gain access to nuclear power plants, Category 1 fuel cycle facilities, and uranium enrichment facilities on an unescorted basis, With this authority comes the responsibility to be fit for duty in accordance with the Commisaion's policy.

The Commission expects licensees to maintain programs, including clTective monitoring and testing programs, that provide reasonable assurance that their own employees and contractors are not under the influence of drugs.

Actions by licensee employees, contractors, or NRC en'ployees that are contrary to nuclear safety can have serious public safety impact. Errors in judgment or mental attentiveness by an NRC employee resulting from illegal drug use during the course of a safety inspection or review could result in the failure to recognize and properly react to an adverse nuclear safety condition; a condition that could,if not properly corrected, contribute to a nuclear accident. An NUREG/llR-0134 REV. I A2

NRC employee whose judgment is impaired by the effects of drugs might also take positive actions to place the nuclear facility, and hence the public, in a dangerous situation.

Number of employees: Approximately MjQ CATEGORY 2. Employees who have assigne<l responsibilities or are on call for Regional or licadquarters incident response centers:

The major responsibility for NRC emergency response personnel is to protect public health and safety in the event of a serious nuclear accident. The use ofillegal drugs by emer-gency response personnel could adversely impact.he NRC's ability to carry out its emergency response mission.

For example, in the event of a serious nuclear accident, NRC's principal role is to monitor the accident response to ensure that appropriate protective measures are being taken on behalf of the public. Monitoring accident response includes monitoring the licensee's activities, support-ing the licensee nnd oft site authorities, informing Federal agencies and the media regarding the incident and, in very rare circumstances, intervening in a limited fashion to direct ti.: licensee's on site response. Drug usage could result in loss oflife or injury and damage to property. Under the influence ofillegal drugs, NRC emergency response personnel might fail to recognize and address a significant error in the licensee's on site response. Addi'ionally, use of drugs by emergency response personnel could result in the miscommunication ofinfonnation between key technical officials, which could result a failure to take proper action during an emergency. A drug free environment is essential to minin.i e the chance that human error could impair the proper perfonnance of resgmse team personnel.

Number of employees: Approximately HQ CATEGORY 3. Employees with access to Sensitive Compartmented Infom1ation (SCI) and/or Foreign Intelligence Information (Fil), or who require access more than once or twice a year to classified information (e.g., National Security Infonnation or Restricted Data):

All nositions requiring.aqsess to Sensitive Comnartmente(. Information:

Types of positions: All positions in NRC for which the incumbents have been screened and approved for access to SCI on a need to know basis, poaitions include all Commissioners, certain Commissioners' Assistants, the Executive Director for Operations, selected Office and Division Directors, and other NRC managers and employees who need access to SCI to perfonn the duties of their positions and carry out the mission of the NRC.

Justification: Drug use could result in the unauthorized disclosure or compromise of U.S.

intelligence collection programs (e.g., sources, methods, analytical procedures) and their end products. Such disclosure and/or compromise could cause exceptionally grave damage to the A3 NUREG/BR-0134, REV.1

national security and place intelligence collection sources, including personnel, in imminent danger.

All nositions requiring access to Foreign Intellicence Information (Filk Types of positions: All positions in NRC for which the incumbents have been nominated and approved for access to Fil on a need to know basis. Positions include all Commissioners, members of their immediate staffs, the Executive Director for Operations and the EDO staff, selected Omce and Division Directors, and other NRC managers and employees who need r, cess to Fil to perform the intelligence duties of their positions and carry out the mission of NRC.

Justification: Drug use could result in the unauthorized disclosure or compromise of classified infonnation relating to the capabilities, intentions, and activities of foreign powers, organizations, or persons, including that portion of counterintelligence dealing with infonnation on international terrorist activities. Such disclosure and/or compromise couht cause exception-ally gravs damage to the national security and place intelligence collection sources, including personnel,in imminent danger.

All positions regiring access to other classified information (e.g.. National Security Information cLibirisied Datat Types of positions: All positions in NRC for which the incumbents have been granted an "L" (equivalent to Secret) or "Q" (equivalent to Top Secret) security clearance and require access to classi0ed information other than SCI or Fil (e.g., National Security Information or Restricted Data). Positions include all Commissioners, members of their immediate stafTs, the Executive Director for Operations and the EDO stafT Regional Administrators, various Omce an<l Division Directors, and other NRC managers and employees who need access to National Security Infonnation or Restricted Data to perform the duties of their positions and carry oct the mission of NRC.

Justification: Drug use could result in the unauthorized disclosure or compromise of classined infonnation (e.g., "truly sensitive infonnation") that could cause damage to the national security. This includes information classined at the Confidential level, as well as higher classi0 cations Number of employees in all Category 1 rnsitions: Approximately M.

(NOTF.: All NRC positions require a securi clearance either at the "Q" (Top Secret) or "L" (Secret) level in accordance with the Atonut Snergy Act of 1954, as amended.)

NUREG/11R 0134, REV. I A-4 4

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CATEGORY 4. Employees who are motor vehicle operators carrying passengers.

Types of positions: All pc sitions in NitC for which the incumbent's principal duties or backup duties include the driving of Government vehicles to transport passengers.

Justillcation: Drug use could result in impalmient iu necessary driving skills and judgment and cause a direct threat to the health and safety of the vehicle passengers and the public.

Number of employees: Approximately Lu.(2) employees.

It is noted that the sum of the number of employees who meet each category exceeds the actual number of employees who will be accessed through random testing because the test-ing designated positicas may fall under more than one category.

A5 NUREG/BR 0134, REV. I

V APPENDIX B Drugs for Which Individuals Are Tested

APPENDIX !!

DRUGS FOR WillCllINDIVIDUALS ARE TESTED The NRC random and voluntary drug testing programs will test for the following dra.3s:

(1) marijuana (2) cocaine (3) opiates (4) amphetamines (5) phencyclidine (PCP)

When conducting reasonable suspicion testing, NRC will test for any drug (s), including those mentioned above, identified in Schedule 1 or 11 of the Controlled Substances Act, as deemed necessary.

C Bl NUREG/BR-0134, REV.1

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