ML20205N598
| ML20205N598 | |
| Person / Time | |
|---|---|
| Site: | Davis Besse  |
| Issue date: | 09/15/1988 |
| From: | Glenn J SENATE, GOVERNMENTAL AFFAIRS |
| To: | Zech L NRC COMMISSION (OCM) |
| Shared Package | |
| ML20205N596 | List: |
| References | |
| NUDOCS 8811040218 | |
| Download: ML20205N598 (89) | |
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WASHINGTON. DC 20lio-825o September 15, 1988 The Honorable Lando Zech Chairman i
United States Nuclear Regulatory Commission i
Washington, D.C. 20555 t
Dear Chairman Zech i
As Chairman of the Senate Governmental Affairs Committee. I have been actively involved and deeply interested in safety issues arising from the operation of nuclear power generating plants across the nation, anc in my own state of Ohio.
Accordingly, I was extremely distressed to learn of the allegations contained in the Commission's l
Report of Investigation of a December 31, 1986 incident at r
the Davis Besse Nuclear Power plant in Ohio.
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The report, which my staff obtained fron the Office of f
Investigations on a confidential basis, states that the NRC first received the allegation of the plant manager's
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intoxication onsite in January, 1987 and that on January 29 t
it requested a Toldeo Edison investigation of the
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allegation.
Based upon the subsequent acsurances of the utility that the allegation was unsubstantiated, the NRC took no further action.
In fact, no further NRC action was taken until October, 1987.
Ironically, OI's investigation revealed I
that the Toledo Edison investigation report itself may have willfully misrepresented the facts relevant to the i
intoxication allegation.
In light of the seriousness of the original allegations in this specific case, it would be most helpful to me if you i
could provide me with an explanation of your policy in
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deterrining whether or not to investigate a case or to turn
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any such investigation over to the utility involved.
What t
policy changes, if any, are being considered by the NRC in face of the alleged willful misrepresentation of the facts by i
Toledo Edison?
/i It is also my understanding that the NRC's proposed
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Fitness for Duty Regulation concludes that adequate programs already exist within the industry to obviate the need for l
prescriptive NRC regulation of the abuse of alcohol by plant I
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o personnel.
I would greatly appreciate knowing your rationale for this decision, especially since the Davis Besse case would seem to argue strongly for the inclusion of alcohol in the new regulation.
As you know, the Nuclear Regulation and Reform Act of 1988, which passed the Senate en August 8, 1988, included a requirement that the Administrator of the new Nuclear Safety Agency prescribe regulations covering the testing of "safety-sensitive" personnel for the use of alcohol without lawful authorization.
Although this proposal has not become law, I strongly believe it is illustrative of a significant level of congressional concern about alcohol and the safe operation of nuclear facilities.
It is my hope that the NRC will take this into consideration as it develops a final rule.
I will appreciate your prompt response to this request.
Best regards.
Sincerely, Y,tt-i
An =
John Glenn Chairman JG/ma
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U.S. NUCLEAR REGULATORY COMMIS$lON NRC MANUAL
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Volume:
0000 General Administration Part :
0500 Health and Safety NRR CHAPTER 0517 MANAGEMENT OF ALLEGATIONS
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1 0517 01 COVERAGE This chapter and its appendix define the policy and procedures for the proper receipt, processing, control, and disposition of allegations, received for reso-lution by NRC offices, that concern NRC regulated activities.
This chapter i
also includes the policy and procedures for dealing with individuals who pro-vide information to the NRC including protecting the identity of persons pro-viding information in confidence, and the policy and procedures for the referral of matters to the Office of investigations (01).
0517 02 OBJECTIVES
't i
021 To establish the policy for the receipt, processing, control, and dis-i position of allegations and to define procedures by which the receipt, status, i
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and disposition of allegations are tracked through the Allegation Management L
System ( AMS), thereby assuring that'
)
a.
allegations are properly assigned for processing and assessed for
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safety significance to permit ranking and resolution in a timely
- manner, i
b.
timely and accurate information on all allegations is maintained and I
j made available to NRC Offices and Regions on a need to-know basis.
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c.
all allegations not resolved by other formal means are processed in accordance with these procedures and the resolution of all allegations la properly documented, b.
022 To assure that individuals making allegations to the NRC are proper-l ly treated, their identity protected where appropriate and possible, and that they are notified of the resolution of their concern.
023 To assure that issues raised are promptly and adequately investigated.
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024 To establish the policy for requesting and setting priorities for in-vestigations of matters which involve potential wrongdoing and to define the i
procedures for referral of such matters to 01.
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Approved:
June 20,1987 l
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N R C -0517-03 MANAGEMENT OF ALLEGATIONS 0517-03 R ESPONSIBILI'. ' E. as AUTHORITIES 031 The Commission:
a.
approves the revocation of confidentiality agreements in appropriate Cases.
b.
approves the release of the identity of a confidential source to an-other governmental agency when the source cannot be reached or when the source objects to the release of his/her identity, c.
provides guldance regarding the initiation of investigations into the character or suitability of entitles within the jurisdiction of the NRC, or i.',s employees of such entitles, in those instances wnere the char-acter or suitability aspects of the matter being considered for inves-tigation are unrelated to a violation of NRC regulatory requirements, d.
resolves differences over the need for and prioritization of investi-gations as referred from the EDO.
032 The Executive Director for Operations (EDO):
a.
establishes policy and procedures for the receipt, processing, con-
- trol, and disposition of allegations.
b.
in conjunction with the Director, 01, implements the policy for initla-
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tion, establishment of priorities and termination of investigations.
c.
requests investigations of matters involving potential wrongdoing identified by the Headquarters staff.
d.
In conjunction with the Directors of the Office of Investigations and the Office of Inspector and Auditor (OI A), implements policy for protecting the confidentiality of those who provide information to the NRC pursuant to a confidentiality agreement.
e.
for those matters within the purview of 01 and CI A, establishes poll-cy and procedures governing their interfaces with other Offices and Regions.
f.
approves revocatten of confidentiality as requested by the Director of the Office or negional Administrator that originally granted confi-dentiality pursuant to a delegation of authority from the EDO.
l g.
resolves differences on the need for and prioritization of investiga-l tions requested of 01 by Offices and Regions, or refers these diff er-ences to the Commission.
Approved: June 20,1987
MAN AGEMENT OF ALLEGATIONS NRC 0517 033 033 Directors of Offices and Recional Administrators:
a.
establish internal procedures so that all employees are aware of rea quirements for receipt, processing, control, and disposition of alle-gations and for the accurate and timely updating of the status of those allegations for which their office is the Action Office, b.
resolve those allegations for which the Office or Region is the Action Office.
c.
appoint an Office Allegation Coordinator (OAC)* who serves as ad-ministrative point of contact for the Office or Region on allegations, and who is responsible for relieving line management of the direct administrative burden associated with handling allegations.
Line management remains responsible for decisions regarding the safety review and referral of wrongdoing issues to 01.
The OAC will:
(1) ensure that the appropriate parts of the Alleration Data form (NRC Form 307, Exhibit 1) are completed for all allegations re-ceived within the Office or Region and that the data are accu-rate and timely.
(2) determine the appropriate Action Office ants, if applicable, co-ordinate with the OAC of the affected Office or Region on each allegation received.
(3) forward the Allegation Data Form to the respective Action Office OAC when the receiving Office or Region is not the Action Of fice.
(4) when the receiving Office or Region is the Action Office, en-sure that the allegation is entered into the AMS within 10 work-ing days of receipt.
(For power reactors, during the period from 30 days prior to the construction completion date until the Commission meeting on full-power authorization, the Receiving Office or Action Office for any allegation will, within 2 working days, telephonically notify the NRR Project Manager of its re-ceipt and the identification of the Action Office in addition to entering the allegation into the AMS.)
(5) ensure that allegations s6 signed to the Office or Region are en-tered into the AMS within 10 workdays of receipt, t
- All Regions and the Offices of NRR, NMSS, RES, OSP and AEOD are required to appoint OACs. Other offices may appoint OACs if they believe their mis-sion and the potential for serving as an Action Office require it. Offices not appointing OACs shall refer any alleger or allegation received to the OAC for NRR, which shall then be responsible for the actions of the Receiving Office as set out in this chapter and appendix.
Approved:
June 20,1987 1
O' N R C-0517-033. d MANAGEMENT OF ALLEGATIONS (6) acquire input data on new allegations (including those referred to 01) from the staff within the Office or Region and ensure this information is entered in the AMS).
(7) ensure that all open allegations in the AMS are reviewed and updated as necessary on a monthly basis.
(8) ensure the preparation of reports as described in Appendix 0517, Part I, l.4 (9) maintain records of all allegations for which the Office or Region is the Action Office.
(10) maintain secure files when such files contain information which would reveal the identity of a confidential source.
d.
determine the safety significance and generic implicatio' ns of those allegations that fall within the programmatic responsibility of that Office or Region and establish schedules for the processing of alle-gations with the objective of resolving them as promptly as resour-I ces allow and prior to any npplicable licensing decision date.
l review those allegations for which it is the Action Office for potential e,
board notification and recommend such notification to NRR or NMSS.
f.
refer all matters where there is a reasonable basis for belief of wrongdoing and for which the staff determines an investication is necessary to determine whether regulatory action is requireo, except those involving NRC employees or NRC contractors, to the Office of Investigations in accordance with the guidance herein and in Appen-dix 0517, Part lit, and provide technical assistance to 01 for inves-tigating allegations as requested, g.
refer al allegations of wrongdoing by NRC employees or NRC con-tractors to the Office of inspector and Auditor.
Such allegations are not to be entered in the AMS.
However, records should be main-tained to show that the allegation has been referred to Ol A.
(See Chapter NRC 0702.)
h.
prior to taking a major action kuch as a licensing decision or esca-lated enforcement, review the status and resolution of allegations for that project in the AMS especially those related to the action.
l.
ensure that technical concerns with generic safety implications have been reviewed by the cognizant technical staff and considered for dissemination to other affected Offices and Regions for information and/or action as required.
j.
ensure that allegations received that are potential violations of Sec-tion 210(a) of the Energy Reorganization Act are entered in the AMS and processed in accordance with the provisions of NRC Appendix 0517, Part I., C. 4.
Approved: June 20,1987
O
-s MANAGEMENT OF ALLEGATIONS NRC 0517 034 k.
ensure that the Commission's Polley Statement on Confidentiality is implemented and that all NRC personnel take all necessary steps to protect the identity of confidential sources.
I, resolve those matters within area of responsibility initially referred to 01 but which are returned by 01 without conducting an investi-gation because of its resource constraints.
034 The Director, Office of Investications:
a.
Investigates allegations of wrongdoing by other than NRC employees and NRC contractors as requested by the Commission, on own initla-tive or as referred to 01 by the staff in accordance with the policy and procedures set forth in Appendix 0517, Part 111.
Conducts in-terface responsibilities with the Offices and Regions as described t
herein.
I b.
Implements, in conjunction with the Executive Director for "cerations and the Director, Office of Inspector and Auditor, policy for pro-tecting the confidentiality of those who provide information to the r
NRC pursuant to a confidentiality agreement.
c.
Implements, in conjunction with the Executive Director for Opera-
- tions, policy for initiation, establishment of priorities and termina-tion of investigations set forth in Appendix 0517, Part lli, d.
approves the revocation of confidentiality in appropriate cases where 3
01 originally granted the confidentiality, r
035 The Director, Office of Inspector and Auditor:
a.
Implements, in conjunction with the Executive Director for Operations ard the Director, Office of investigations, policy for protecting the confidentiall'y of those who provide information to the NRC pursuant to a confidentiality agreement.
I b.
Investigates allegations of wrongdoing by NRC employees and NRC contractors.
Such allegations do not fall under the purview of this j
manual chapter and are not entered in the AMS.
I c.
approves the revocation of confidentiality in appropriate cases where l
OI A originally granted the confidentiality.
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036 The Director, Office of Enforcement:
l a.
monitors the investigations being conducted within the OE area of I
responsibility to assure that an investigative priority or schedule re-l quested by a Regional Administrator and established by the Director,
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Office of investigations, meets regulatory needs.
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b.
monitors activities conducted by the Department of Labor under Sec-
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tion 210 of the Energy Reorganization Act.
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Approved:
June 20,1987
NRC 0517 037 MAN AGEMENT OF alt.EGATIONS 037 The Director, Office of Nuclear Reactor Regulation:
a.
proposes to the EDO for approval agency wide policy and procedures regarding the processing of allegations.
For those allegations that fall under the purview of 01, proposes policy and procedures gov-erning thrir interface with other Offices and Regions.
b.
reviews allegations concerning NRR licensees in coordination with the Action Office for potential board notification and makes such notifica-tion, if required, c.
evaluates implications of allegations relative to licensing decisions and plant safety concerning NRR licensees in coordination with the Region (s),
d.
Manages the AMS and authorizes and requests system improvements from IRM.
e.
conducts programmatic reviews of all action offices to assure imple-mentation of NRC policy on allegations, f.
monitors the investigations being conducted within the NRR area of responsibility to assure that an investigative priority or schedule r suested by a Regional Administrator and established by the Direc-tor, Office of Investigations, meets regulatory needs.
g.
prepares and publishes a list of NRC Office Allegatan Coordinators (OAC) at least once every 12 months.
h.
monitors the allocation of resources for allegation management by the Regions.
038 The Director, Office of Nuclear Material Safety and Safeguards:
a.
reviews allegations concerning NMSS licensees in coordination with the Action Office for potential board notification and makes such no-tification if required, b,
t valuates implications of allegations relative to licensing decisions concerning NMSS licensees in coordination with the Region (s),
c.
monitors the investigations being conducted within area of respo:tsi-bility to assure that an investigative priority or schedule requested by a Regional Administrator and established by the Director, Office of investigations, meets regulatory needs.
039,The Director, Office of Speelal Projects:
a.
reviews allegations concerning OSP licensees for potential board noti-fication and makes such board natification, if required.
Approved: June 20,1987
MANAGEMFNT OF ALLEGATIONS N R C-0517-0310 b.
evaluates the implications of allegations relative to licensing decisions and plant safety concerning OSP licensees.
rbonitors the investigations balng conducted within the OSP area of c.
responsibility to assure that an investigative priority or schedule re-quested by OSP and established by the Director, Office cf investi-gations, meets regulstory needs.
0310 The Director, Office of Administration and Resources Management (ARM):
a.
provides ADP support to maintain the AMS.
b.
provides special reports to AMS users as requested and authorized by NRR.
provides ADP assistance to the NRR Program Manager for Allegations c.
in making modifications and improvements to the AMS.
l 0311 Office of the General Counsel (OGC) and Regional Counsels:
provide legal counsel in resolving allegations as necessary.
a.
b.
review the iegal basis for referrals of matters to the Office of Inves-tigations as requested.
provide legal counsel on confidentiality agreements as requested.
c.
0517-04 DEFINITIONS 041 Action Office.
The NRC Program Office or Region that is responsible for rev! ewing and taking action, as appropri.3te, to resolve an allegation.
For the purposes of this chapter, Ol a.1d OI A are not considered Action Offices.
042 Action Officer.
The staff member in the Action Office who is as-signed the responsibility for resolving an allegation.
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043 Allegation.
A declaration, statement, or assertion of impropriety or inadequacy associated with NRC-regulatad activities, the validity of which has not been established.
This includes all concerns identified by sources such as the media, individuals or c"ganizations, and technical audit efforts from the
- Federal, State or local' government offices regarding activities at a licensee's site.
Excluded from this definition are matters being handled by more formal processes such as 10 CFR 2.206 petitions, hearing boards, appeal boards, etc.
Allegations that may result from these formal processes and are not resolved within these processes shall be subject to treatment under this chapter.
Alle-gations in 2.206 petitions alleging misconduct by NRC employees or NRC Con-tractors will be promptly referred to OlA by managerr.ent.
(See Appendix 0517, Part I. D. )
044 Allegation Management System ( AMS).
A computerized information system that contains a summary of significant data pertinent to each allegation.
Approved:
June 20,1987
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i N R C-0517-045 MANAGEMENT OF ALLEGATIONS 045 Allecer.
An individual or organization who makes allegations.
The individual or organization may be a concerned private citiz in, a public, interest group, news media, a licensee, vendor or contractor employee, or a represen-tative of a local, State, or Federal agency.
046 Confidentiality.
The term that refers to the protection of data that directly, or otherwise, could identify a confidential source by name.
047 Confidential Source.
A person who provides information to the NRC pursuant to a Confidentiality Agreement. (Exhibit 2).
048 Inspection.
For purposes of this chapter, a special investigatory ac-tivity normally conducted by EDO Offices and Regions that may be used to evaluate and resolve an allegation.
t 049 investication.
For the purposes of this chapter, an activity normally conducted by the Office of investigations that may be used tu er 'uate and re-solve an allegation.
0410 Office Alleoation Coordinator (OAC).
A designated staff member in an Office or Region who serves as the point of c*
sact for that Office or Re-gion regarding the processing of allegations.
0411 Protected Activities.
Employees of licensees and contractors are en-gaged in protectea activities within the meaning of Section 210 of the Energy Reorganization Act and the Commission's regulations, e.g., 50.7, when they are raising potential safety concerns to their management as well as when they raise such concerns to the NRC.
0412 Receivino Office.
The Ottice or Region that initially receives an al-legation, in some cases, the Action Office and Receiving Office will be the sar.'.a if the allegation falls within the functional responsibi!Ity of the Receiving Office.
0413 Sanitize The process of ensuring that any NRC document developed as a result of an allegation does not reveal the identity of the alleger.
0414 Secure Files.
Files which are locked when not in use and to which access is controlled on a need-to-know basis.
0415 Wronadolna.
Wrongdoing consists rf colh intentional vloiations of regulatory requirements an,d, violations resultina from, careless disregard of or reckless indifference to regulatory requiremuns i.
A reasonable basis for belief of wrongdoing exists whe'), from the circut,.ances surrounding it, a violation of a regulatory requiremer.t epoears more likely to have been intentional or to have resulted from cf reless disregard or reckless indifference than from error or oversight.
1 Approved: June 20,1987
'O MANAGEMENT OF ALLEGATIONS N R C-0517-05 0517-05 BASIC REQUIREMENTS 051 Applicability.
The provisions of this chapter and appendix are appli-cable to, and shall be followed by, all NRC employees.
052 Wronadolna.
Those matters where there is a reasonable basis for be-lief of wrongdoing, and for which the staff concludes an investigation is nec-essary to determine whether enforcement or other regulatory action is required, should be referred to the Office of Investigations following the pro-cedures set forth in Appendix 0517, Part ll1.
Allegations of wrongdoing by NRC employees or NRC contractors fall within the purview of Ol A and are not entered into the AMS.
Of will notify the requester within 30 days whetner the matter has been accepted for investigation and, if so, the priority of the in-vestigation and the estimated schedule.
If a request is not accepted, Ol will provide the requester with the basis for its decision.
Any differences between the staff and Of on the need for or priority of an investigation shall be re-solved in accordance with the process described in Appendix 0517, Part lit.
The Office or Region will enter allegations of wrongdoing into the AMS using information received from the alleger or provided by 01 (see Appendix 0517, part I, 1.2).
Of will provide either a report or a summary of its findings of those matters which it investigates to the requesting Office or Region.
Allega-tions involving wrongdoing for which a Region is the Action Office will be co-ordinated by the Region OAC with the 01 Field Office Director in that Region.
Allegations involving wrongdoing for which a Headquarters Office is the Action Office will be coordinated with 01 Headquarters.
(See also Appendix 0517,
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Port I.D. )
053 Action Office Assignments.
Allegations submitted by any source con-c.erning NRC-regulated activities should be transmitted by the Receiving Office OAC to the OAC in the appropriate Office or Region for processing.
054 Identity of Allegers.
As a general rule, the need-to-know principle should be implemented for all allegers.
Generally, this means avoidance of un-necesaary use of the identity of the alleger and other identifying information in discussions and in clocuments.
With the exception of reports prepared by the Office of Investigations, reports should normally not contain information which would reveal the identity of an alleger.
Individuals using documents containing information which could reveal the identity of an alleger are respon-slble for controlling such documents, such as by placing them in locked stor-age when not under the individual'q personal contrcl.
If asked whether a person is an alleger, NRC staff should respon'd that it is NRC policy to nel-ther confirm nor deny the existence of an iridividual alleger.
This policy was developed in conjunction with the Department of Justice.
The FIPAB Branch, ARM, should be contacted should specific questions arise in this area.
Higher standards of colitrol are to apply when an alleger has been granted confidential source status.
Confidential source status is granted when a Con-fidentiality Agreement (Exhibit 2) is executed by the NRC and the alleger.
Guidance with respect to granting confidentiality, revoking confidentiality, and providing the identity of a confidential source outside the NRC is contained in Appendix 0517, Part ll.
Approved:
June 20,1987
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N R C -0517-055 MANAGEMENT OF ALLEGATIONS The identity of a confidential source must be protected by not referring to the name or other identifying information in internal NRC discussions unless absolutely necessary, and by expurgating the name and other identifying information from allegation documents cefore providing them to authorized /
assigned NRC staff members.
Allagation files and documents which contain information which could reveal the identity of ' a confidential source are to be marked "Contains information which would reveal the identity of a confi-dential source,"
and may not be reproduced without the authorization of the OAC.
Information which can reveal the identity of a confidential source shall not be released in response to Freedom of Information Act requests.
The authority to withhold such information from public disclosure is contained in 10 CFR $ 9.5(a)(7)(iv). Information which could reveal the identity of an al-leger who has not been granted confidential source status may also be withheld under appropriate circumstances, but this may not always be the case.
OGC or Regional Counsel should be consulted in any questionable cases.
055 Secure Files. All information relating to cases where confidentiality has been formally granted, by signed agreement, must be kept in a secure file cabinet or safe to which _ limited access is permitted.
The OAC is responsible for (a) restricting access to authorized NRC personnel, (b) verifying the "need to know" of the individuals requesting access, (c) ensuring that no unautho-rized reproduction (photocopying or other copy) of the information is made -
multiple copies made for simultaneous reviev, must be returned to the file, and (d) ensoring by an informal briefing of the aquestor, that information is kept in a secure location while outside of the centrai file and is returned in a timely i
manner.
056 Staff Generated Information.
Staf. generated information relating to evaluations or inspections of allegations where confidentiality has been formally granted must be sanitized such that no information is included that reasonably could, through any path, lead to the identification of the alleger, or, such staff generated information must be kept in the secure files.
The OAC should provide instructions to NRC staff personnel who generate and review such information concerning sanitization of documents and all unsaritized documents generated must be clearly marked to indicate their sensitivity.
Drafts of staff generated information for such cases should be destroyed upon finalization of the associated document.
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057 Responding to Allecers.
When allegations are received in writing, a prompt attempt to make personal contact must ordinarily be made in each case either by a letter, telephone call or personal meeting.
Contact should be ear-nest and professional.
The alleger should be promptly advised of the results of followup action and, in instances of unusual delay in providing the results, should be advised of the status periodically so that there is an awareness that the allegation is being pursued.
058 processing Allegations.
The Action Offica should resolve all allega-tions in a manner which is timely under the circumstances (taking into consid-1 1
eration the schedule and/or stage of licensing and the complexity of the issue raised).
Except as discussed below (Handling of l. ate Allegations), all allegations received prior to issuance of an initial license should be adequately addressed Approved: June 20,1987
MANAGEMENT OF ALLEGATIONS N R C-0517-059 and, if possible, resolved before the license is issued.
Allegations having rel-atively high safety s gnificance should be addressed first and with expedition.
Less significant allegations should be addressed as priorities and resources permit, but usually within 6 months of receipt.
Allegations should be screened as promptly as possible to assure the proper identification of their significance.
As a result of screening, it may be possible to c!ose out some allegations early in the process for logical reasons (e.g.,
after initial inquiry, the allegation is frivolous or too vague or general in nature to permit further followup). It should be noted that there is no threshold for the acceptance of allegations. All allegations will be accepted and entered in the AMS. Obviously, some allegations will require more time and effort to resolve than others. The type and amount of effort required to bring an allegation to closure is a decision to be made by the Action Office on a case-by-case basis.
However, even vague, general or hearsay allegations require a reasonable effort on the part of the staff to support a determination to close an allegation. Appropriate documentation of such determination shall be provided, in any event, while the safety signif-icance of an allegation is important in determining the extent and promptness of staff resource commitments, it should not affect the treatment of the alleger as discussed in paragraph 057, above.
Followup of allegations should focus not only on the particular allega-tion but on the overall area of concern, including the potential for generic implications as well as wrongdoing. In this regard, note that in allegation
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directed toward a non-safety item or activity may, as a resul' of generic implications, affect a safety item or activity. When a number of allegations point to or reinforce indications of a broader problem, pro npt action to broaden the scope of the inquiry should be taken to determine the extent of the problem, if it is appropriate, an inspection should be made. A plant visit with the person making the alleption may be made if necessary and if the indi-vidual is willing to make such a visit to find the exact location of a problem. Access issues should be addressed on a case-by-case basis. Travel costs for the individual only can be offered, if necessary, and are borne by the Office or Region extending the offer. Care should be taken to avoid embarrassment or abuse of the individual, e.g., schedule visit on off-shift /
weekend, etc.
Allegations which are potential violations of Section 210(a) of the Energy Reorganization, Act are to be processed in accordance with the provi-sions of NRC Appendix 0517, Part I., C.,4.
059 Handling of Late Allegations.
Ideally, all allegations concerning a particular facility v.lli be resolved before any license is authorized.
if, how-ever, because of the number of allegations and/or their tardy submission all allegations cannot be resolved in a timeframe consistent with reasonable and responsible licensing action, it may be necessary to give priority to those alle-gations which, because of their potential impact on safety, must be resolved before licensing action can be taken.
In this regard, Action Offices must be alert to the possibliity that late allegations may impact on upcoming licensing decisions.
Therefore, close coordination and consultation between Action Approved:
June 20,1987
N R C-0517-059. a MANAGEMENT OF ALLEGATIONS Offices and the appropriate licensing office is required in carrying out the responsibilities and procedures for processing late allegations set out in this chapter.
In reviewing late allegations, the Action Office will first determine whether, if true, the allegations are material to the licensing decision in that they would require denial of the license sought, the imposition of addi-tional conditions on such license, or further analysis or investigation. If it appears that the allegations may be material to a licensing decision, the Action Office will promptly consult with the appropriate licensing office that will make a final determination on materiality and assist the Action Office in determining further appropriate action.
The Action Office also has responsibility to recommend Board Notification to the licensing office, if warranted. Allegations which, even if true, are not material to any licensing decision or which on their face or after initial inquiry are determined to be frivolous or too vague or general in nature to provide sufficient informa-tion for the staff to investigate will receive no further consideration and may be closed out on this basis.
As to allegations which are material to the licensing decision, the Action Office will next determine whether the information presented is new in the sense of raising a matter not previously considered or tending to corroborate previously received but not yet resolved allegations. In making this determination all information available to the NRC will be considered, including that previously provided by an applicant or licensee and that obtained by the Agency in the course of its review and inspection efforts or from its investigation of prior allegations.
In some cases, information already available to the NRC may be sufficient to resolve certain allega-tions. However, if an allegation is found to be both material and new, the staff will evaluate the allegation further.
If the Action Office determines that, as a result of the number of allegations or the timeframe in which they are received it appears likely that full consideration of all allegations cannot be accomplished consistent with reasonable and timely Commission licensing action, the Acticn Office will conduct a further screening of the allegations to determine their significance to safety and therefore what priority should be assigned relative to the activity to be authorized. The following screening criteria will be considered:
a.
The likelihood that the allegation is correct, taking into consideration all available information including the apparent level of knowledge, l
expertise, and reliability of the individual submitting the allegation I
in terms of the allegation submitted and the possible existence of l
more credible contrary information, b.
The need for prompt consideration of the allegation recognizing the public interest in avoiding undue delay, if the staff determines that an allegation raises a significant safety concern (l.e., an allegation that would, if true, (1) raise a significant question about the abil-Ity of a particular structure, system or component to perform its intended safety function, or (2) raise a significant question of management competence, integrity or conduct, or about implementation Approved:
June 20,1987
jt v
MANAGEMENT OF ALLEGATIONS N R C-0517-0510 of a quality assurance program sufficient to raise a legitimate doubt as to the ability of the licensee to operate the plant safely) which brings into question the safe operation of the facility at a given stage of operation, the allegation must be addressed prior to authori-zing that stage. Allegations which are less significant will be re-solved in the normal course of business independent of license issuance.
Note that the screening called for by this section is to be conducted to determine which late allegations must, because of their safety sig-nificance, be resolved before issuance of a license; the initial screening called for by paragraph 058 above, on the other hand, is-intended to facilitate the allocation of staff resources based on safety significance irrespective of license issuance and is necessary in all cases.
0510 involvement of Licensees or Other Affected Organizations. For alla-gations involving a potentially significant and immediate impact on the public health and safety, the affected organization should be promptly informed to assure proper and timely action. For other allegations, once information from allegers is received and understood by the Office / Region, the licensee / vendor Should be advised specifically by letter of the area of concern and should be requested to address it, subject to further audit by NRC to ensure that the licensee response is adequate, in order to minimize the expenditure of NRC resources.
Before referring an allegation to an applicant, licensee or C
vendor, an effort should be made to contact the alleger and advise him/her of the planned referral. The alleger should be informed that the NRC will review and evaluate the licensee's activities and response as necessary and will inform the alleger of the final disposition. The affected outside organ-ization should be informed regarding the resolution of the allegation, if appropriate. (See Appendix 0517, Part I, H.)
l In all instances, the identity of an alleger should not be revealed unless it is clear the alleger has no objections. Also, the effectiveness of Investigations / inspections should not be compromised. These exceptions are discussed further below.
While action offices are expected to refer as many allegations as possible and appropriate to licensees, applicants and vendors for action and response, there are two major exceptions to the involvement of the licensee or vendor in the resolution process. The first exception is where the informa-tion cannot be rele'ased in sufficient detail to be of use to the licensee or vendor without compromising the identity of an alleger. In such cases release should not normally be made. The EDO shall normally be consulted in all cases where it appears there is a need to release the identity of a confidential source and the appropriate Regional Administrator or Office Director shall normally be consulted if the identity of a non confidential source may be compromised.
The second exception is where a licensee / vendor could compromise an investigation or inspection because of knowledge gained from the release of information. in the case of an inspection, the decision to release informa-tion to the licensee shall be made by the Director of the Action Office. When Approved:
June 20,1987
N R C -0517-0510. a MANAGEMENT OF ALLEGATIONS information cannot be released without risk of compromising an investigation, the Director of the Action Office shall inform the Director, 01, in advance that information related to an open investigation is being considered for release to the licensee because safety or security concerns require initla-tion of immediate corrective actions before publication of the investigation report. The Director 01, will review the information to be released and advise the Director the Action Office of the anticipated effect of its release on the course of the investigation. The Director of the Action Office will release the information only after determining that the safety or security concerns are significant enough to justify the risk of compromising the effectiveness of the pending investigation and, possibly, subsequent enforcement or prosecution options. Any such release of information should be recorded in the investigation report.
)
in the event of an emergency, or a significant safety or security issue which may be identified from an allegation and which appears to require immediate action, NRC employees, at their discretion, may discuss with, show to, or provide the licensee any pertinent material they believe the circum-stances warrant. If time permits, the employee should first consult with his management.
An emergency situation is one in which, in the opinion of the senior NRC employee knowing of the situation, a present danger to public health or safety or to the common defense requires the release of investigative information or information which could reveal the identity of an alleger to a licensee with-out the delay necessary to consult with appropriate NRC personnel. Examples of such types of emergency situations are those that involve a potential radia-tion overexposure to personnel or a potential release of radioactivity to the environment. For example, if an NRC employee knew, through an investigation or from an alleger, that falsified calculations were used to determine the radioactivity of the contents of a tank and there was a clear potential for the release of the contents to the environment, the NRC employee should stop the release immediately, even though such action might reveal the existence of an investigation or the identity of an alleger.
Likewise, if an NRC employee who solely because of informaticn gained from an investigation or an alleger was in a position to prevent a radiation overexposure to someone, the NRC employee should intervene even though the Intervention might compromise the investigation or reveal the identity of an l
alleger.
As soon as practic' i after a release of investigations information or a
information which could reveal the identity of an alleger in such an emergency situation, management, the EDO and Ol shall be informed of the details regarding the information disclosure.*
'As a general rule, the fact that a particular matter has been or will be refer-red to the Department of Justice (DOJ) should never be disclosed to the licen-see. A reply of "I cannot comment on that matter" is appropriate in most cases. However, if a Regional Administrator or Office Director feels he or she must disclose that a referral has been or will be made to the Department of Justice, such disclosure will be made only with the prior concurrence of the Director, Ol.
Approved:
June 20,1987
MANAGEMENT OF ALLEGATIONS N R C-0517-0510. b As previously stated, generally there should be no need to link the fact that an investigation is under way when providing information to licensees pertaining to potential safety concerns or to obtain correction of a specific technical issue. However, when for the reasons stated above, the Director of the Action Office decides after consultation with Ol to delay informing a licensee of an issue, this decision and the basis on which the delay is found to be consistent with public health and safety should be documented by the Director of the Action Office and the decision reexamined every three months to assure its continuing validity.
In determining whether to refer allegations to a licensee, consideration should also be given to:
a.
The licensee's past record in dealing with allegations, that is, the likelihood that the licensee will effectively identify, investigate, doc-ument and resolve the allegation.
b.
The possibility that the release of information could bring harm to the alleger, c.
Whether the allegation is made against the licensee, applicant or vendor management or those parties who would normally receive and address the allegation.
l l
(
d.
Whether the alleger has voiced objections over the release of the allegation to the licensee, applicant or vendor.
e.
Wheth.
the allegation is based on intelligence from another govern-agency, which does not approve of the information being mentar released in a referral.
t f.
Whether the alleger has already taken this concern to the licensee with unsatisfactory results.
Most allegations sent to the licensee for-resolution will. require a positive response from the licensee concerning their resolution or position on the concern.
If the staff agrees with the licensee's response, it can be incorporated into the staff's close out letter to the alleger. Obviously, if staff does not agree with the licensee's position, the allegation remains an open issue.
For example, an allegation that a welder working on a non-safety-related system was not properly certified may be referred to a licensee. However, a licensee response is necessary to determine, if the allegation is substantiated, whether the individual worked on other systems of interest to the staff, whether other individuals were similarly not properly trained /m artliied, and whether the licensee's methods were adequate to assure that the..ork performed by this or other similarly trained individuals on safety "lted systems, if any, was done properly.
Further, an allegation that hangers or support devices for b& lance-of-plant systems were improperly installed may also be referred to the licensee.
A response would be required to determine, for instance, (1) if the individual Approved:
June 20,1987
N R C-0517-0511 MANAGEMENT OF ALLEGATIONS who installed the hangers worked on any safety-related systems, (2) if so, was the individual properly certified, and (3) if the individual was not proper-ly certified and worked on safety-related systems, what measures have been taken to assure that the work was done correctly.
There are some allegations which can be turned over to a licensee without requiring a response. Allegations concerning such matters as workers' access to the Administration Building, allocation of preferred parking spaces, dusty conditions at the site and similar issues may be turned over to the licensee or OSH A or other appropriate authority without specific NRC followup. The alleger must be so informed.
Note that 10 CFR 19.16(a), involving radiological working conditions, requires that a worker's request for inspection be in writing and be made available to the licensee no later than at the time of inspection, and that confidentiality be provided at the worker's request.
In addition to expurgating names and other identifying information, protection of confi-dentiality could also involve retyping an alleger's handwritten notice.
In the event the potential for wrongdoing is involved, the matter should be coordinated with Of prior to the inspection and providing any information to the licensee.
0511 Appendix 0517.
a.
Appendix 0517, Part I,
provides procedures for receipt, control, processing, and disposition of allegations assigned to NRC Offices or Regions and the procedures and guidelines used to record the
- receipt, status, and disposition of allegations in the AMS.
b.
Appendix 0517, Part II, provides guidance for granting and revoking confidentiality and for disclosing the identity of a confidential source outside of the NRC.
c.
Appendix 0517, Part lil, providos guidance for initiating, establish-Ing priorities for and terminating investigations of matters involving potential wrongdoing.
l Approved:
June 20,1987
L,
i MANAGEMENT OF ALLEGATIONS NRC Appendix 0517 CONTENTS PART I PROCEDURES FOR RECEIVING, SCREENING, ASSESSING AND CONTROLLING ALLEGATIONS AhD FOR THE ALLEGATIONS MANAGEMENT SY! TEM Section Title
,P_ age a
A.
General....................................................
1 B.
The Office Allegation Coordinator..........................
2 C.
Receipt of an Allegation...................................
2 1.
Allegations Received by Telephone or Personal Visit.....
2 2.
Allegations Received by Mail...........................
3 3.
Discussions with A11eger...............................
3 4.
Allegations of Violations of Section 210(a) of the Energy Reorganization Act............................
4 0.
Action by the Receiving Employee ar.d the Office
[
Allegation Coordinator...................................
5 E.
Documenting Allegations....................................
7 F.
Evaluation of Cognizant Techlical Staff....................
9 G.
Allegation Resolution Documentation........................
10 H.
Dissemination of Final Report..............................
11 I.
Allegation Management System...............................
11 l
1.
General..................-............................
11 Interfaces with The Office of Investi 12 1
2.
Receiving Office....................gations 3.
13 4.
Action Office.........................................
14 5.
NRR OAC...............................................
15 Exhibit 1 NRC Form 307, Allegation Data Input.......................
17
________________L______
A$ proved:
June 20,1987
r s
NRC Appendix 0517 MAN AGEMENT OF ALLEGATIONS PART II PROCEDURES FOR GRANTIN'i AND REVOKING CONFIDENTIALITY AND DETERMINING WHEN THE IDENTITY OF A CONFIDENTIAL SOURCE MAY BE RELEASED OUTSIDE OF THE NRC Section Title Pftge A.
General........................................................
19 B.
Granting Confidentiality.......................................
19 C.
Revocation of Confidentiality..................................
22 D.
Official Disclosurcs...........................................
23 1.
Disclosure to the Licensee and Other Affected Organization............................................
23 2.
Othe r D i s c l o s u re s.........................................
23 a.
Court Order..........................................
23 b.
NRC Adjudicatory Bodies..............................
23 c.
Congress.............................................
24 d.
Federal and State Agencies...........................
24 Exhibit 2 Confidentiality Agreement.....................................
27 l
PART III GUIDANCE FOR INITIATION, ESTABLISHMENT OF PRIORITIES AND TERMINATION OF INVESTIGATIONS l
Section Title Page A.
General....,...................................................
29 B.
Referi al By the Staf f of Matters for Investigation............
29 C.
Initia tion of an Investigation by OI..........................
31 0.
Resoit tion of Di f ferences Between Staf f and OI................
32 E.
Termination of Investigations.................................
32 F.
Resolution of Those Matters Returned to the Staff By OI Without Investigation.......................................
33 G.
Commission Notification Requirement for Certain 0!
Referrals...................................................
33 Exhibit 3 Request for Investigation....................................
35 Approved:
June 20,1987 11
~
MANAGEMENT OF ALLEGATIONS NRC Appendix 0517 PARTI PROCEDURES FOR RECEIVING, SCREENING, ASSESSING, AND CONTROLLING ALLEGATIONS AND FOR THE ALLEGATION MANAGEMENT SYSTEM ( AMS)
A.
General This Part establishes procedural guidance for receiving, screening, assessing, and controlling allegations that come to the attention of the NRC staff. These functions are to be established within each Region and Office under the control of an individual Office Allegation Coordinator (OAC), or a panel of staff per-sonnel or other appropriate staff. The Regions and Offices will establish pro-cedures consistent with this guidance and where appropriate provide the required training to ensure that their staffs are fully informed regarding the proper management of allegations.
Allegations pertaining to NRC-licensed facilities and activities may come to the attention of the NRC staff by telephone, letter, news media reports, or in person at sites, in offices, at meetings, and even at social functions. All alle-gations are subject to processing in accordance with this chapter. It is impera-tive that allegations be recognized as such by staff members and processed professionally, promptly, and with consistent treatment.
It is very important to note that the NRC does not recognize the term "off-the-record." Allegers who wish to provide off-the-record information must be clearly advised that information important to NRC regulatory concerns cannot be treated off the record, but that the information will be accepted officially and acted upon as necessary.
As a general rule, the need-to-know principle should be used when dealing with the protection of an alleger's identity. However, unless a Confidentiality Agreement (Exhibit 2) has been executed making the alleger a confidential source, an alleger's identity may have to be revealed. In those limited cases where a Confidentiality Agreement is extended to an alleger it will provide the maximum protection regarding an alleger's identity. The guidelines in Appendix 0517, Part il, should be followed in extending or revoking a Confidentiality Agreement. Part il also provides guidance as to when a confidential source's identity may be reveal,ed outside of the NRC.
NRC employees, particularly resident and Regional inspectors, Regional super-visors, and OACs who are expected to receive the majority of allegations, should become fully familiar with the prescribed policies and procedures to en-sure that the required actions are performed.
It is the responsibility of all employees who receive allegations to take whatever steps are necessary to ensure that an appropriate OAC is promptly informed. Whenever oossible, the person making the allegation should be referred to either the OAC, other individuals as designated by the Region or Of fice, or arrangements should be made for the OAC or designated staff member to recontact the individual.
1 Approved:
June 20,1987
NRC Appendix 0517 Part i MANAGEMENT OF ALLEGATIONS B.
The Office Allegation Coordinator (OAC) 1.
The initial responsibility of the OAC is to identify the proper Action Office to which the allegation should bet assigned for evaluation and resolution in coordination with other OACs (either in the Offices or Regions).
2.
The OAC serves as a focal point for processing and control of all allegations assigned to the Regions and Offices. The OAC in the Action Office is responsible for:
a.
entering allegations into the AMS.
b.
tracking allegations from initial receipt to final resolution.
c.
as su.-Ing establishment and maintenance of files that clearly identify allegations assigned to the Region or Office, d.
documenting actions initiated to resolve allegations. '
e.
ensuring that management and cognizant staff are informed of allegations undar their purview, f.
maintaining the current status of allagations in the AMS.
g.
ensuring that the final resolution of allegations is properly documented.
h.
ensuring that the alleger receives information on the resolu-tion of his/her concern (s).
3.
The OAC assists technical staff members who are reviewing allegation information, primarily in the form of coordinating activities necessary to resolve issues. In addition, the OAC may assist in the formulation of a course of action to resolve issues.
i 4.
A panel, which includes the OAC as a member, may be designated with the primary responsibility to ensure that all allegations are promptly assigned and properly evaluated, and that the actions taken to resolve the allegation, as well as the resolution, are properly documented and transmitted to the alleger and the affected organiza-tion as appropriate.
5.
The OAC may also serve as the point of contact with the Department of Labor on matters involving discrimination under Section 210(a) of the Energy Reorganization Act and will coordinate as necessary with 01 and the Office of Enforcement. (See also C.4., below.)
C.
Receipt of an Allegation 1.
Allegations Received by Telephone or Personal Visit Any NRC employee who receives a telephone call from someone who wishes to make an allegation should have the caller transferred to the OAC or appropriate staff in the Office or Region. Likewise, if ar individual appears in person at an NRC Off!ce, the individual shoJld be referred to the OAC or other appropriate staff member.
Employees, when unable to refer the telephone call or the visitor as described, shall obtain as much information as possible from the individua!. (See paragraph 3, below.)
Approved: June 20,1987 2
i NRC Appendix 0517 MANAGEMENT OF ALLEGATIONS Part I 2.
Allegations Received by Mail All staff will forward correspondence that appears to contain an alle-gation to the OAC. Both letters and envalopes will be forwarded and no copies will be made. An amployee who.-eceives ciirect correspon-dance, lr;cluding internal NRC memoranda, that contains allegations shall forward the correspondence to the OAC. All personnel who may come into possession of this type of correspondence also should be made aware that correspondence containing information which could reveal the identity of an alleger should be transmitted in a sealed envelope marked "Tra Be Opened by Addressee Only"; for expedited transmittats (e.g.,
electronically),
such Information should be deleted from correspondence.
3.
Discussions with Allecer Any employee receiving a telephone call or visit, as' discussed in 1.,
above, shall attempt to obtain as much information as possible from the individual. It is crucial to identify:
a.
full name b,
complete malling address c.
telephone number where the individual may be contacted d.
position or relationship to facility or activity involved e.
nature of allegation if the alleger declines to provide the above information, atter.aot to establish the reason (s) using the following guidance:
Explain that Public Law 95-601 (i. e., Section 210 of the Energy Reorganization Act) affords protection to the alleger by prohibiting an employer from discriminating against an employee for contacting the NRC. If the alleger continues to be reluctant to provide suffi-cient information to evaluate hic /her concern or expressly requests confidentiality, a Confidentiality Agreement (Exhibit 2) may be extended in accordance with the guidelines in Appendix 0517, Part 11, B.
N R C-0517-054 provides further information regarding protection of confidentiality.
If an alleger persists in declining to cooperate, i.e., refuses to enter into a Confidentiality Agreement and provide relevant infoimation,.the alleger should be informed that the agency may consider issuance of a subpoena to obtain needed info'rmation.
The alleger may be informed that the NRC employee with whom he/
she is in contact does not have the capability to evaluate the information, to determine follow-up action, or to establish NRC jurisdiction; therefore, it may be necessary that someone else contact the alleger for additional information.
The alleger should also be informed that--unless an objection is made--he/she will be recontacted as soon at possible regarding the allegation. This may be done by telephone, personal visit, or by a letter to the alleger, at an address designated, which will also ac-knowledge the rocceipt of the allegation. This process will permit the 3
Approved:
June 20,1987
NRC Appendix 0517 Part i MANAGEMENT OF ALLEGATIONS alleger to review the information w;th the NRC to provide maximum assurtnce that the information has been correctly interpret,ed and unde' stood.
If the alleger persists in not offering identification after the above explanations, document the allegation in as much detail as possible and advise the alleger that he/she may contact the OAC or designated staff member in 30 days or any other agreed upon period, for information on the status of any actions being taken on the information supplied.
4.
Allegations of Violations of Section 210(a) of the Energy Reorganization Act a.
Allegations of discrimination that fall under Section 210(a) of the Energy Reorganization Act shall be entered in the, AMS. The alleger should be informed that to ensure his/her personal employee rights are protected, he/she must file a written com-plaint with the U.S. Department of Labor within 30 days of the occurrence of the discriminatory act. Complaints should be filed with the Office of Administrator, Wage and Hour Division, Employment Standards Administration, U.S. Department of Labor, Room 53502, 200 Constitution Avenue, N.W., Washington, D.C.
20210, or the Regional DOL Office having jurisdiction over the matter. The alleger should also be informed that the NRC will investigate the allegation. Generally, the NRC will await the results of the DOL investigation, which the NRC will monitor.
In some cases, NRC may take action independent of DOL.
(See c., and d., below. )
b.
The OAC should promptly notify the Regional DOL office to ensure their awareness of verbal or written complaints and l
request that they provide information as to their investigative j
intent in the matter when it has been determined. Written dis-crimination complaints received concerning possible violation of Section 210(a) will be forwarded to the appropriate Regional DOL Office having jurisdiction with a request that they provide their investigative intent when determined. in the case of writ-ten complaints, the complainant will be notified that the com-plaint was forwarded to DOL for action. In either case, the Action Office shall determine the need for an NRC investigation and refer to 01 as necessary. (See c.,
below.) The Director, Office of Enforcement, should also be notified of each such complaint.
c.
Staff should normally aweit completion of DOL investigations and other proceedings before initiating its own investigation of the intimidation and harassment aspects of the complaint of discriml-nation. However, if an allegation is made to the NRC that in-volves significant public health and safety implications, e.g.,
the allegations of intimidation or discrimination are so wide-spread as to require immediate action or involve high levels of management, the NAC can and should take certain action Approved:
June 20,1987 4
i NRC Appendix 0517 MANAGEMENT OF ALLEGATIONS Part I immediately without waltinc for COL. The action to be taken should be determined on a case by-case basis a_nd should in-clude consideration of immediate NRC Investigation and enforce-ment action for specific acts of discrimination, action to identify patterns of discrimination and levels of management Involvement to bring to the attention of the licensee, and l
enforcement conferences and management meetings to discuss I
possible licensee actions with regard to the potential chilling l
effects of discrimination.
l l
d.
Technical issues can be examined through the inspection pro-cess and should be acted upon without regard to what action may be taken by the Department of Labor.
I e.
The OAC will take reasonable steps to facilitate DOL's investi-I gation by assisting DOL in obtaining access.to licensed facil-l itles and any necessary security clearances.
Regional i
management or OGC should be contacted on access problems.
I l
f.
In addition to allegations concerning intimidation and harassment or discrimination, the alleger should also be asked if he/she has specific safety concerns. If so, these concerns should be en-l tered into the AMS and resolved.
c D.
Action by the Receivino Employee and the Office Allegation Coordinator (OAC) 1.
When an allegation concerning an NRC-regulated activity is received, the employee receiving the allegation will provide the information ob-I tained to the Receiving Office OAC who will complete an NRC Form 307, Allegation Data Form. The Action Office is then identified by the Receiving Office OAC in consultation with OAC in the potential Action Office and the completed form and all documentation regarding the allegation will be forwarded by the Receiving Office OAC to the Action Office OAC.
2.
The Action Office will enter the pertinent Information in the AMS in toccordance with these procedures. All allegations, except those al-leging Improper conduct by NRC employees or NRC contractors (see
- 10., below), must be entered into the AMS. In this way an "audit trail" will be established so that NRC actions can be properly moni-tored and completed. The OAC or other designated staff member will ensure that the alleger is properly contacted to acknowledge receipt of the allegation and to confirm the specifics of the allegation. The OAC will provide copies of the allegation documentation to the cogni-zant technical staff supervisor for evaluation and initiation of action. If the alleger is a confidential source, the staff should be provided copies of sanitized documents. When responsibility for,
the handling of an allegation is transferred from one organizational unit to another, the alleger should be notified of the new point of contact (name and telephone number) by the Individual who is relieved as contact in order to assure continuity. A single point of contact should be the rule.
5 Approved:
June 20,1987
.~
NRC Appendix 0517 Part i MANAGEMENT OF ALLEGATIONS The OAC will follow up on the allegation with the cognizant technical staff supervisor at periodic intervals until the matter has been satis-factorily resolved. When the case is closed, an update should be made to that effect in the AMS.
3.
The OAC will coordinate allegation information with the technical staff and may assist in determining whether the information is suffi-cient to identify the issues. If the inforfration is determined to be insufficient, the OAC or designated staff member will assist in fur-ther contact with the alleger. A single point of contact with an al-leger provides a means of better controlling communications, aids in developing rapport, establishes continuity in the flow of information between the Regions and other NRC Offices, and aids in protection of the alleger's identity.
l 4.
The OAC assists the cognizant technical staff in Identifying and separating the issues involved in an allegation into om of.the follow-Ing categories:
a.
Allegations that involve technical matters, such as: inadequacies in the design, construction or operation of a licensed facility; inadequacies in procedures, qualifications, or training; inade-quate implementation of procedures; inadequate corrective ac-tions; or over-exposure (s) to radiation.
b.
Allegations where there is a reasonable basis for belief of wrongdoing and for which the staff determines an investigation is necessary to determine whether regulatory action is required such as: record falsification; willful or deliberate violations; material false statements; discrimination under Section 210(a) of the Energy Reorganization Act; or other improper conduct.
c.
Allegations that involve matters outside the jurisdiction of NRC.
5.
Technical issues in category 4.a. involving failure to meet require-ments have the potential for being willful or deliberate violations.
Normally, in the absence of specific allegations of willfulness or de-liberateness, such issues will be handled as technical issues and re-solved using program resources. However, staff should remain alert to implicit allegations and/or indicators of willfulness that may emerge. if an allegation covers issues that affect other Regions or Offices, follow-up activities will be coordinated with the affected Offices and a Lead Office will be designated. The OAC will contact i
the affected Offices which should result in a mutual agreement as to which Office or Region should have the lead. If agreement cannot be reached at the OAC level, then the issue should be elevated through NRC managem9nt until agreement is reached.
6.
Allegations in category 4.b.,
except for those involving NRC employees or NRC contractors (see 10, below), should be referred to 01 Field or Headquarters Offices in accordance with the gulde-lines in Appendix 0517, Part Ill.
Requests for an investigation by 01 must be made using the "Request for investigation" form Approved: June 20,1987 6
NRC Appendix 0517 MANAGEMENT OF ALLEGATIONS Part I (Exhibit 3) and distributed as indicated on the form. Upon receipt of the completed form, Ol will evaluate the request and conduct consultations as necessary with the requesting office-If a request is not accepted, 01 will provide the requester with the basis for its decision. Any differences between the staff and 01 on the need for or priority of an investigation shall be resolved in accordance with the process described in Appendix 0517, Part lil.
7.
When applicable, the Action Office should notify other agencies such as the Occupational Safety and Health Administration, DOE, etc., in dealing with allegations in category 4.c. Notification to Federal law enforcement agencies and State and local jurisdictions is the respon-sibility of the appropriate 01 Field Office or the Office of Irnpector and Auditor (for matters fa' ling within its purview only).
8.
Allegations involving discrimination under Section 210 should be en-tered in the AMS. In addition to informing an alleger of his/her rights under Section 210 the OAC also ensures that the allegation is processed in accordance with the provisions of C.4., above.
9.
If an allegation is determined to have generic implications, other Of-fices and/or Regions with responsibilities that may be affected will be appropriately notified by the Action Office (e.g., AEOD for oper-ational data, RES for concerns affecting research activities, etc.).
(
10.
Allegations regarding suspected improper conduct by NRC employees and NRC contractors will be brought to the attention of appropriate management for referral to the Office of Inspector and Auditor (OlA). Allegations of this nature are not entered into the AMS.
However, records should be maintained to show that such allegations have been referred to OI A. (See Chapter NRC 0702.)
E.
Documenting Allegations 1.
When an allegation is received and the action office identified, a working file should be established to contain all related 'documenta-tion concerning the allegation, including all correspondence, memo-randa to files, interviews, and summaries of telephone conversations, discussions, and meetings. This file shall be maintained in the offi-cial files of the Action Office in an officially designated location.
The allegation source document must be maintained in this file and clearly marked with the allegation number. Allegations shall be filed, stored and retrieved by this allegation number and not by personal identifier of the alleger. To ensure proper evaluation, full and complete information should be documented about each allegation.
In addition to obtaining basic information, attempts should be made to expand and clarify the information so that the istue is well defined.
All allegations, regardless of source or how received, must be documented. Access to the official files is to be controlled. Files are to be locked when not in use. In addition, records or files containing the name or other identifying information of a confidential source should be stamped "Contains information which would reveal the identity of a confidential source" and access should be tightly controlled. The information 7
Approved:
June 20,1987
NRC AppOndix 0517 Part I MANAGEMENT OF ALLEGATIONS in these files shall not be reproduced without authorization of the OAC. The same controls apply to copies as to originals.
2.
There will be occasions when the allegations obviously have no sub-stance and appear to represent a distortion of facts. However, even in these cases, documentation that identifies the contact, the general content of any communications, and the basis for a conclusion that the matter need not be pursued is necessary, instances such as these will be coordinated with the appropriate technical staff by the OAC to ensure proper disposition.
3.
The importance of obtaining and documenting all pertinent informa-tion about an allegation cannot be overemphasized. Evaluation and screening of the allegation, as well as the proposed course of action that will be adopted to resolve the issue, will be based primarily on this information. In sorr.e cases, a personal interview with the alleger may be warranted. Depending on the nature of the allegation and the time sensitivity, assistance from the Office of Investigations (01) or other resources may be requested.
4.
As soon as possible after receiving an allegation, the person receiv-ing the allegation shall notify the OAC. Normally, no action will be taken to verify the vaildity of the allegations, nor shall such matters be discussed with licensees until after the OAC or designated staff member has briefed appropriate NRC management.
5.
The OAC or other designated staff member is responsible for review-Ing all information received in conjunction with an allegation and for ensuring that management and cognizant technical staff members are fully informed.
6.
Allegations normally should not be addressed in preliminary Notifica-tions (PNs) or Daily Reports (DRs); however, if it is determined that PN or DR entries are appropriate, the approval of an Office Director or a Regional Administrator should be obtained.
7.
Transmission of information or files regarding allegations will be minimized. Special precautions must be taken for information that must be transmitted, if allegation documents which would reveal the identity of an alleger must be sent to other NRC personnel, the documents should be securely wrapped and marked "To be Opened by Addressee Only.'" The sender must ensure that the recipient has a need to know. In the case of a confidential sJurce, the sender must verify the recipient is included on the list of Individuals with a need to know maintained by the OAC. NRC personnel are to take all necessary steps to ensure that the identity of a confidential source is not revealed. (See NRC 0517-054.)
F.
Evaluatien by Coonizant Technical Staff 1.
When an allegation package is received, the technical staff within the Office or Region will review the documentation to determine if there is a safety concern that requires immediate regulatory action. The Approved: June 20,1987 8
NRC Appendix 0517 MANAGEMENT OF ALLEGATIONS Part I technical staff is responsible for development, initiation, and follow-through on corrective actions.
Allegations or documents containing a substantial number of allegations once entered in the AMS can be screened using the following criteria:
a.
Is there an immediate safety concern which must be quickly addressed?
b.
Is the allegation a speelfic safety or quality issue or a general-Ized concern?
c.
Has the staff previously addressed this issue?
d.
Does the allegation package contain sufficient information for a thorough evaluation? If it does not, identify the additional in-formation that is needed, e.
Are all aspects of the allegation adequately defined and de-scribed to permit or allow a meaningful evaluation? This is a screening process that may result in a decision not to consider the allegation further. If the latter is the decided course of action, the alleger should be so informed in a courteous and diplomatic manner along with the rationale for not considering it further.
The potential for adverse publicity must be recognized when taking this action.
f.
Is the identity of the alleger necessary for a thorough evaluation?
g.
What specific issues are involved in the allegation? Can the issues be adequately addressed by a technical inspection?
h.
Can the allegation be examined and resolved by investigation or during a scheduled inspection? If this is not possible, determine the best way to address the issues.
1.
Can licensee / vendor resources reasonably be used in resolving the allegation to conserve staff resources? Consider potential problems associated with involving the licensee in the resolution process. (See NRC-0517-0510. )
J.
Does the allegation have the potential to require escalated enforcement action?
k.
What is the time sensitivity of the allegation, and what immedi-ate actions are necessary?
1.
Will investigative assistance be needed?
m.
Identify peripheral issues that could develop.
n.
Are any licensing or enforcement actions or board proceedings pending which could be influenced or affected by the allegation?
9 Approved:
June 20,1987
NRC App:ndix 0517 Part i MANAGEMENT OF ALLEGATIONS When an allegation involves a case pending before a licensing or appeal board or the Commission, information concer riing it should be provided to NRR or NMSS as soon as possible to assist in the determination of whether or not a board notifica-tion should be made. This decision must be made promptly by NRR or NMSS in accordance with office procedures.
2.
Action Office staff are also responsible for:
a.
Determining if other NRC Offices should be notified, b.
Establishing a schedule for the resolution of each allegation which is consistent with the licensing schedule, if applicable.
c.
Notifying the OAC or designated staff member when the status changes or action (s) is complete.
3.
It is the responsibility of the technical staff within the Office or Region to resolve each allegation that falls under its jurisdiction, and subsequently, to notify the OAC or designated staff member of the action taken so that the status of each allegation can be tracked to closeout. Final resolution of an allegation shall be documented and placed in the working file along with all suppgeting documentation.
The final report should state the facts clearly.
4.
For those allegations resulting in the need for corrective sction, th'e affected organization (s) shall be properly informed recognizing the need to protect the identity of the alleger.
G.
Allegation Resolution Documentation 1.
Allegation resolution documentation officially closes the file for that case and shall be placed in the working file which now becomes a closed case file.
2.
A final report or document should be prepared that sets forth the facts about the allegation and its resolution clearly and conclusively. The final report can be a memorandum for a relatively minor matter, a report of investigation, an Inspection report, or I
a technical paper for a comple3 or major generic matter, it can be an SER supplement for multiple allegations proximate to OL lasuance.
It should not contain the name of, or material that could be used to identify, the alleger. (See NRC-0517-054.)
3.
The final report should include a summary of the concern, a description of the evaluation performed and the conclusions drawn.
4.
Appropriate entries should be made in the AMS to close out the allegation, l
5.
When the final report has been approved (i.e., the case is closed),
all allegation documentation is subject to release under the FOI A with appropriate precautions to protect confidentiality. Until that time, Approved: June 20,1987 10
- 0 NRC Appendix 0517 MANAGEMENT OF ALLEGATIONS Part I all allegation decumentation is exempt from release under the FotA in accordance with 10 CFR 9.5 Exemption (7) due to actual, or the po-tantial for, law enforcement action. An Fol A request rec ~elved during the open stage, however, will "freeze" those documents in the file at that time for FolA processing. In the absence of an Fol A request, management may freely review case files when an allegatio.7 is closed and retain only those documents necessary to account for official action.
6.
Reports issued by the Office of Investigations may contain informa-tion which could reveal the identity of confidential sources. If so, the report will be clearly marked to alert the recipient / reader to the sensitivity of the document. 01 memoranda transmitting such re-ports will also indicate that the report may reveal the identity of confidential sources. The EDO and Regional Administrators will make determinations regarding further distributions of such reports on a need-to-know basis.
H.
Dissemination of Final Report 1.
A copy of the final report appropriately sanitized to protect privacy interests of persons and proprietary information shall be sent to the alleger and, if appropriate, to the affected outside organization (s).
A transmittal letter may be needed to summarize the matter. This should occur after civil and criminal enforcement actions, if any,
(
have taken place.
2.
The foregoing does not apply to 01 investigative reports. However, if an 01 report is the primary document celled upon in the resolution of an allegation, the alleger should be provided with a summary of the report. If the summary has not been publicly released, Ol's con-currence should be obtained prior to release of the summary.
I.
Allegation Management System 1.
General a.
For purposes of the Allegation Management System (AMS) the definition provided for an allegation is very general and broad.
The significance or nonsignificance of an allegation will be Judged,during the Action Office review and follow-up activities.
There is to be no screening of allegations for possible deletion prior to enterinp them into the system (except for duplication of entries). The AMS should provide a vehicle for collecting, storing and rietrieving all key information regarding all allega-tions. The Action Office determines the necessary action to be taken based upon the specifics of the case. Some allegations may be received and closed out the same day, b.
The AMS provides basic descriptive and status information and serves as a referral system. It identifies the office and staff to contact for more specifics on an allegation. Additionally, it 11 Approved: June 20,1987
NRC App:ndix 0517 Part i MANAGEMENT OF ALLEGATIONS keeps the staff Informed as to how the allegation was resolved and provides reference to the close out documentation, c.
When an allegation is received, it is not necessary to identify by separate entry into the AMS every component or subset of the allegation. For example, if an allegation is received that consists of 15 separate concerns of wrongdoing and technical deficiencies, the allegation may be entered as one allegation.
However, the description of the allegation should include the number of separate concerns and their subject area. In some caser there may be a distinct grouping of concerns; for exam-ple, in two areas such as training and quality assurance. In I,uch a case it may be appropriate to enter two allegations. A main objective is to ensure that the receipt of an allegation is entered and tracked in the system. An allegation is not com-plated and closed until an Action Office supervisor determines that appropriate action has been taken.
d.
Sensitive information such as the names of non-NRC persons or personal identifiers shall not be entered in the system. All in-formation entered shall be unclassified and shall not contain any safeguards information or any proprietary or commercial (2.790)
Information, e.
Some allegations may require action by two or more offices. For purposes of entering the allegation into the AMS either separate entries should be made for each Action Office for its assigned action or one entry may be made with the involved OACs agree-ing on the lead Action Office for followup of the allegation. If another Office is involved in responding to an allegation, it should be so indicated in the "remarks" section.
i 2.
Interfaces with the Office of Investigations a.
The Office of Investigations has jurisdiction over all allega-tions where there is a reasonable basis for belief of wrong-doing and for which the staff determines an investigation is necessary to determine whether regulatory action is required except those involving NRC employees or NRC contractors. 01 may also open and conduct investigations on its own initiative.
01 will forward all allegations it receives to the appropriate Office or Region. The Office or Region will be responsible for entering all allegations--even those under the purview of Ol--into the AMS using a Region or Office AMS number, b.
For those allegations of wrongdoing, except those involving NRC employees or NRC contractors, assigned to the Region or Office:
(1) The Region or Office OAC will coordinate with the 01 Field Director or 01 Headquarters representative to determine if sensitive information is included which should not be placed into the AMS. All sensitive Information is to be Approved:
June 20,1987 12
NRC Appendix 0517 MANAGEMENT OF ALLEGATIONS Part I deleted and the word "sensitive" put in its place. However an attempt should be made to provide descriptive material to assist the AMS user to the maximum extent possible.
(2) The Region or Office OAC will assign a Region or Office AMS number. The 01 assig.ied number should be entered in the AMS as a cross-reference.
(3) The name and phone number of the Of Field Director or 01 Headquarters representative will be placed in the appropri-ate section of the form as the Action Office contact.
(4) The 01 Field Director will keep the Region or Office OAC apprised of the status of the allegation investigation and provide timely information necessary to determine the safe-ty significance of the allegation to appropri. ate Regional or Office management and for use in updating the AMS.
(5) The allegation will be considered closed when the investi-gation report has been issued and when no technical issues remain. Otherwise, the allegation remains open, reference is made to the technical report or 01 investigation report if either is complete, and a schedule for resolution of the allegation is placed in the AMS.
(
For allegations of wrongdoing received by 01, the 01 Headquar-c.
ters or Field Director will coordinate with the respective Office or Region OAC who will complete the items 2.b.(1) through (5),
above.
d.
For allegations of a technical nature received by 01, the Of Headquarters or Field Director will contact the respective Office or Region and follow the procedures as indicated in item 3.,
below, for the Receiving Office, Ol's review of allegations for potential wrongdoing shall be doc-e.
umented in the allegation case file.
3.
Receivino Office Upon receipt, of an allegation involving an NRC-regulated activity, the person receiving the allegation will provide the information rela-tive to the allegation (see Exhibit 1) to the OAC who will Initiate steps required to identify the Action Office and, if the Receiving Office is the Action Office, enter the allegation into the AMS.
The Receiving Office OAC should, in addition to determining the appropriate Action Office, coordinate with the Action Of fice, and receive concurrence from the Action Office before transfer of responsibility.
I 13 Approved:
June 20,1987
- _ _ _ _ = _ - _ - - - - -
NRC Appendix 0517 Part i MANAGEMENT OF ALLEGATIONS 4.
Action Office The Action Office shall:
a.
Complete that portion of the Allegation Data Form marked "Ac-tion Office," assign an allegation number to it, and enter the allegation into the AMS witt410 working days from the date of receipt of the allegation by the office, b.
Review and, where necessary, update the status of all open al-legations in the AMS on a monthly basis, c.
As soon as possible after the receipt of an allegation and rele-vant information has been reviewed and evaluated, make a pre-liminary determination of safety significance and the need for any regulatory action.
d.
Schedule the resolution of each allegation to be consistent with the licensing schedule and the safety significance of the allegation.
s.
Make a determination regarding the need for a board notification to NRR or NMSS. If the initial board notification is preliminary in nature, a follow-up notification is sent to boards when evalu-ation is completed, or whenever significant relevant information is identified during the course of evaluating the allegation.
This determination should be made as soon as possible in accordance with the Action Office board notification procedures.
f.
Develop and maintain a working file for each allegation, which will contain all related documentation. For those allegations comprised of multiple concerns, separate working files may be needed for each concern.
g.
Thirty days prior to the construction completion date (applicant's estimate) for each pending OL, each Action Office i
will forward to the appropriate licensing organization in NRR an evaluation of the safety significance of all allegations not scheduled to be resolved before the construction completion date, with a recommendatlon t.s to whether any or all of them constitute grounds for delaying issuance of (or otherwise restricting) an operating license. (See NRC 0517-059.)
i h.
Thirty days prior to a Commission decision on authorizing 4
full-power operation, a report similar to item g.,
above, will i
be prepared and forwarded to NRR.
1.
Protect the identity of all allegers and, when confidentiality has been granted, assure that the added controls in this a
i chapter are implemented.
l l
j 1
Approved:
June 20,1987 14
NRC Appendix 0517 MANAGEMENT OF ALLEGATIONS Part i 5.
NRR OAC in addition to the normal OAC responsibilities, the NRR OAC:
a.
Manages the AMS. Coordinates and evaluates requests for AMS enhancements and system improvements and authorizes RM to make the changes.
b.
Authorizes and requests thrt special reports be prepared from the AMS database for use by NRC staff and management.
c.
Is responsible for conducting programmatic reviews of the im-plementation of the policies and procedures in this chapter and appendix.
4
(
15 Approved:
June 20,1987
NRC Appendix 0517 MAN AGEMENT 01" ALLEGATIONS Part 1. Exhibit 1 EXHIBIT 1
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8 17 Approved:
.'une 20,1987
_.____._m.
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I i.
MANAGEMENT OF ALLEGATION 6 NRC ADDendix 051 PART ll PROCEDURES FOR GRANTING AND REVOKING CONFIDENTI ALITY AND g
DET"RMINING WHEN THE IDENTITY OF A CONFIDENTIAL SOURCE MAY BE RELEASED OUTSIDE OF THE NRC 4
A.
Gan g On November 25, 1985, the Commission issued its Statement of Policy or Confidentiality (Policy Statement) to provide a clear, agency-wide policy or confidentiality.
50 Fed.
Reg.
48506 (November 25 1985).
There, the Commission recognized that its inspection and Investigatory programs rely ir part on individuals voluntarily coming forward with information.
Some individuals will come forward only if they 'believe t'.Jir identitles will be protected from public disclosure; i.e., only if they are given confidentiality Safeguarding the identitles of confidential source, is, therefore, a significan factor in assuring the voluntary flow of such information.
The Polict Statement applies to all Commission offices and directs those offices to maki
- their best efforts to protect the identity of a confidential source.
The following procedures are to be followed in implementing the Commission's Polic!
Statement.
(
B.
Grantino Confidentiality 1.
Confidentiailty is not to be granted as a routine matter.
Rather confidentiality should be grantcd only when necessary to acquir-information related to the Commission's responsibilities or wher.
warranted by special circumstances, it should ordinarily not b granted when the Individual is willing to provide the informatior without being given confidentiality.
Consequently, if an alleger i providing information willingly, confidentiality should not be grantet and the Individual should not be advised of its availability Nonetheless, NRC employees should only reveal the identitles o allegers on a need-to know basis.
2.
If an explicit request for confidentiality is made, the request shoulc not be automatically granted.
Rather, information should be sough from the alleger to make a determination as to whether the grant o confidentiality is warranted in the particular circumstances at hand The following information should be solicited from the alleger ti assist in making this determination.
a.
Has the alleger provi: led the information to anyone else; i.e., I the information already widely known with the alleger as th source?
b.
Is the NRC already knowledgeable of the information, thereb-obviating the need for a particular confidential source; i.e.
why subject the NRC to the terms of a Confidentialit Agreement unless necessary?
19 Approved:
June 20,1987
NRC App;ncix 0517 Part 11 MANAGEMENT OF ALLEGf]ONS c.
Does the allager have a past record which would weigh either in favor of or against granting confidentiality in this instance) i I.e.,
has the alleger abused grants of confidentiality k) the past?
d.
Is the information which the alleger offers to provide within the jurisdiction of the NRC; i.e., should he be referred to another agency?
e.
Why does the alleger desire confidential source status; i.e.,
what would be the consequent;es to him if his identity were revealed?
f.
Does it appear that the alleger himself caused the condition or committed tho violation and so could likely be subject to civil and/or criminal prosecution?
Depending on the information gathered by the authorized NRC employee, a determination should be made as to whether granting confidantial source status would be in the best interert of the agency.
1.
When an alleger does not expressly request confidential source status, an authorized NRC employee may raise the issue of con-fidentiality in certain circumstances.
Such circumstances can vary widely.
Autatorized NRC employees have discr2 tion to raise the issue of confidentiality when, in their judgment, it is appropriate.
Considerations in making this judgment would include:
a.
When it becomes apparent that an individual is not providing Information because of a fear that his/her identity will be disclosed.
b.
When it is apparent from the surrounding circumstances that the witness wishes his/her identity to remain confidential; e.g.,
is the interview being conducted in a secretive manner or is the alleger refusing to identify himself?
Once the issue of co'1fidentiality is raised with the alleger and he/she indicates a desire f0r confidential source status, the same considerations that apply to an explicit request for confidentiality would apply hc. c.
Oce I.,
abovc.
4.
When granting confidentiality, the following points
.hould be discussed with the allegeri t
a.
The sensitivity of the information being provided b the source should be explored with a view to determining <mather the information itself could reveal the source's identit' L
b.
The source.*hould be informed that, due to the ught controls l
Imposed on the release of his identity within the NRC, he should not expect othr.rs within the NRC to be aware of his A pp roved. June 20,1987 20 t
NRC Appendix 0517 MANAGEMENT OF ALLEGATIONS part il confidential source status and it would be his responsibility to bring it to the attention of NRC personnel if he, desires similar treatment for the information provided them, c.
If inquiries are made of the NRC regarding his status as a confidential source, the agency will neither confirm nor deny his status, d.
The basic points of the standard Confidentiality Agreement should be reviewed if it is not possible to provide the individual with a copy to read.
5.
An NRC employee wishing to grant confidentiality must either be expressly delegated the authority to do so or must seek authorization from the appropriate Office or Regional official.
Authorization can be prearranged as circumstances warrant.
This might include a planned meeting with an alleger.
The Director, 01, the Director.
CI A, and the EDO may designate those persons within their organiza-tions who may grant confidential source status and/or further delegate the authority to do so.
Authority to grant confidential source status is to be documented in writing either through a standing delegation or an ad hoc authorization.
in special circum-
- stances, an oral authorization is permissible if confirmed in writing.
The standard Confidentiality Agreem'ent (Exhibit 2) is to
(
be executed.
The circumstances surrounding a
grant of confidentiality must be documented in a memorandum to the OAC.
6.
In those circumstances where it is impossible to sign J Confidenti-ality Agreement at the time the information is obtained; e.g., when the information is obtained over the telephone, or in a location not conducive to passing papers, confidentiality may be given orally pending signing of the Confidentiality Agreement within a reasonable amount of time, generally two weeks.
If documentation is nrit completed in that time frame, the EDO or the Director, 01, or the Director, OlA, will determine if confidentiality continues.
See part II, C.,
- below, if confidentiality is granted orally, this must be immediately documented by the person granting it and noted in the memorandum to the OAC.
7.
Office Directors and Regional Administra'. ors must be informed of each grant of confidentiality issued by their office pursuant to a delt,gation of authority.- These senior officials must also approve any variance to the standard Confidentiality Agreement and each denial of confidentiality.
8.
The OAC of each Office and Region will maintain an accurate status regarding grants of confidentiality made by the particular Office or Region to include copies of signed Confidentiality Agreements.
A confidential source will be revealed within the NRC on a need-to-know basis only.
Any employee with access to the identity of the confidential source must take all necessary steps to ensure that this information is not further disseminated. (See N R C-0517-054. )
21 Approved :
June 20,1987
NRC Appendix 0517 Part il MANAGEMENT OF ALLEGATIONS With regard to protecting a source, account should be taken of disclosing information which may reveal the source.
The removal of the source name and identifiers may be adequate, but circum-stances might exist where particular information itself may reveal the source.
The OAC is als responsible for maintaining secure files when files I
contain informa' 9n which would reveal the identity of a confidential source and ma, alng such files "Contains information which would reveal the identity of a confidential sou ca."
Each employee who has access to information which would reveal a confidential source; i.e.,
has been found to have a need to know, shall take all necessary steps to prevent disclosure of the information to unauthorized personnel.
For example, when written information which would reveal a source is not being used, or is not within personal control
[
of the NRC employee, it shall be kept in locked storage.
9.
In communications and contacts with Individuals who' have been cranted confjdentiality, NRC staff must make their best effort to l
.ssure that such communications and contacts do not result in the disclosure of the individual as a confidential source, Such efforts may include the use of non government return addresses, plain envelopes and rental cars as opposed to government-owned vehicles.
10.
If at any time for any reason confidentiality is breached or jeopardized, the appropriate Regional Administrator or Office Director should be informed.
The confidential sourcs should be advised.
The Director of the Action Office shall be responsible for reviewing the circumstances associated with the release of identity of the confidential source and wiii assure that necessary actions are taken to preclude repetition.
Such review and actions shall be documented in the allegation file.
C.
Revocation of Confidentiality 1.
A decision to revoke confidentiality can only be made by the Commir,-
j sion, the EDO, or the Director of 01 or Ol A.
The EDO and the
{
Directors of 01 and CI A may only revoke grants of confidentiality originally made by their respective offices, or in the case of the I
EDO, by offices reporting to htm/her.
In additicn, the Commission may revoke a grant made by 'any office.
Confidentiality will be revoked only 10 the most extreme cases.
Case for consideration i
3 include where a confidentiality agreement is not signed within a j
j reasonable time following an oral grant of confidentiality, or where a confidential source personally takes some action so inconsistent with the grant of confidentiality that the action overrides the pur-t j
pose of the confidentiality l e.g.,
disclosing publicly information j
which has revealed his status as a
confidential source or i
intentionally providing false information to the NRC.
j J
~
2.
Before revoking confidentiality, the NRC will attempt to notify the l
confidential source and provide him/her with an opportunity to i
Approved: June 20,1987 22
- 2
J NRC Appendix 0517 MANAGEMENT OF ALLEGATIONS Part il I
explain why confidentiality should not be revoked.
All written communications with a confidential source which require / request a reply are to be sent CERTIFIED MAIL-RETURN RECEIPT REQUESTED.
4 D.
Official Olsclosures 1.
Disclosure to the Licensee or Other Affected Organization if the information provided by a confidential source involves a potentially significant and immediate impact on the public health and safety, the affected organization should be promptly informed to assure proper and timley action.
In some cases, release of the information will compromise the identity of the confidential source.
In such cases, release should normally not be made unless the release is necessary to prevent an imminent threat, to public health and safety.
In such cases, the EDO shall be consulted and efforts will be made to contact the confidential source and explain the need t
for disclosure.
As the alleger may also be an 01 cenfidential sourca, the Director, 01, shall be contacted.
Consistant with the Commission's Policy Statement,
- however, disclosing information i
which would reveal the 10 entity of a confidential source will be made only following best efforts by the agency to protect or limit the possibility of disclosure.
(
2.
Other Disclosures 4
NRC employees may be directed by court order, or requested by an 1
1 NRC adjudicatory body, Congress, or State or Federal Agencies to provide information which may reveal the identity of a confidential source.
Each such request will be handled on a case-by-case basis.
4 Points to consider, howeser, are discussed below:
a.
Court Order i
There are conceivable circumstances where a licensee or other entity could obtain a court order requiring the NRC to divulge the identity of a confidential source.
If that happens, the NRC will seek to keep the disclosure limited, through protective orders or otherwise, to the minimum necessary.
l
[
b.
NRC Adjudicatory Bodies i
The second catet,ory of circumstances where a confidential source's identity might be disclosed outside the NRC involve a l
disclosure during an NRC adjudicatory proceeding. The Commis-sion, as the ultimate adjudicatory authority within the NRC, l
can require the NRC staff to reveal a confidential source.
l The Commission in a separate Statement of Policy on Investiga-tions, inspections, and Adjudicatory Proceedings has provided that any Licensing Board decision to order disclosure of the identity of a
confidential source shall be automatically i
l l
23 Approved:
June 20,1987 t
i NRC Appendix 0517 Part il MANAGEMENT OF ALLEGATIONS certified to the Commission for review. C FR 36032 (September i
13, 1981).
Therefore, the only adjudit tory board within the NRC with the actual authority to require that the identity of a confidential source be revealed is the Commission.
In making such a decision, the Commission will consider whether the information provided by the confidential source is reasonably available through alternative means, whether it relates directly to the substantive allegations at issue in the proceedings, what the present employment position of the i
confidential source is, whether a party's right to present rebuttal evidence or to conduct the cross-examination will be violated if he/she is not provided the names, and whether disclosure is necessary to complete the record.
After considering the relevant factors, the Commission will order release only if necessary.
The Commission notes in. this regard i
that, unlike the case of a criminal prosecution, the NRC may I
not have tht. option of dismissing a case to avoid disclosing a confidential source, as for instance, when the identity of the source is material and relevant to a substantial safety issue or a lic'ensing proceeding.
c.
Congress Disclosure to Congress may be required in response to a written Congressional request.
The Commission will disclose the identity of a confidential source to Congress only if the request is in writing and it will make its best efforts to have any such disclosure limited to the extent possible.
This might include assuring that the request is by Congress in its official oversight capacity; the hand delivery of requested information directly to the affected Congress person; and attempting to satisfy the request for information by not revealing the identity of the confidential source, d.
Federal and State Acencies if another agency demonstrates that it requires the identity of a confidential source or information which would reveal a source's identity in furtherance of its statutory responsibil-ities and that agency agrees to provide the same protections to the source's identity that the NRC promised when it granted confidentiality, the action office OAC will make a reasonable effort to contact the source to determine if he/she objects to the release, if the source is reached and does not object, the EDO or his designee or the Directors of Ol or Ol A are autho-rized to provide the information or the identity to the other agency.
If the source cannot be reached or objects to the release of his/her identity, the source's identity may not be released without Commission approval.
The affected agency may then request that the Commission itself release. the identity.
Ordinarily, the source's identity will not be provided to another Approved:
June 20,1987 24
r O
I.
NRC Appendix 0517 MANAGEMENT OF ALLEGATIONS part il agency over the source's objection.
in extraordinary circumstances where furtherance of the public interest requires a
- release, the Commission may release the identity of a confidential source to another agency over the objections of the 3
source.
In those cases, however, the other agency must agree to provide the same protections to the source's identity that were promised by the NRC.
e
(<
25 Approved:
June 20,1987
NRC Appendix 0517 MANAGEMENT OF ALLEGATIONS Part II, Euhlblt 2 CONFIDENTI ALITY AGREEMENT l have information that I wish to provide in confidence to the U.S.
Nuclear Regulatory Commission (NRC).
I request an express pledge of confidentiality as a condition of providing this information to the NRC.
It is my understanding that, consistent with its legal obilgations, the
- NRC, by agreeing to this confidentiality, will adhere to the following conditions.
(1) During the course of an inquiry or investigation, the NRC will make its best effort to avoid actions which would clearly be expected to result in disclosure of my identity to persons subsequently coming in contact with the NRC.
(2) Except as necessary to assure public health and safety and except as necessary to inform Congress or State or Federal agencies in furtherance of their responsibilities under law or public trust, the NRC will not identify me by name or personal identifier in any conversation, communication or NRC initiated document released outside the NRC. The NRC will use its best effort to minimize any disclosures made outside of the NRC.
(3) The NRC will disclose my identity inside the NRC only on a need-to-know basis to the extent required for the conduct of NRC-related
(
activities.
Consequently, I acknowledge that if I have furth' r e
contacts with NRC personnel, I cannot expect that those people will be cognizant of this Confidentiality Agreement and it will be my responsibility to bring that point to their attention if I desire similar treatment for the information provided to them.
(4) Even though the NRC will make its best effort to protect my identity, my identification could be compelled by orders or sub-poenas issued by courts of law, hearing boards, Administrative Law Judges, or similar legal entitles, in such cases, the basis for granting this promise of confidentiality and any other relevant facts will be communicated by the NRC to the authority ordering the disclosure in an effort to maintain my confidentiality.
I also understand that the NRC will consider me to have waived my right to confidentiality if I take, or have taken, any action sc., inconsistent with the grant of confidentiality that the action overrides the purpose behind the confidentiality such es (1) disclosing publicly information which reveals my status as a confidential source or (2) Intentionally providing false information to the NRC.
The NRC will attempt to notify me of its intent to revoke confidentiality and provide me an opportunity to explain why such action should not be taken.
27 Approved: June 20,1987
NRC Appendix 0517 Part II, Exhibit 2 MANAGEMENT OF ALLEGATIONS Other Conditions:
(if any)
I have read and fully understand the contents of this agreement-I agree with its provisions.
Date:
Name:
Address:
Agreed to on behalf of the U.S. Nuclear Regulatory Commission.
Date:
Signature:
Name:
Title:
l l
l l
l l
I Approved: June 20,1987 28
MANAGEMENT OF ALLEGATIONS NRC Ascendix 0517 PART lli GUIDANCE FOR INITIATION, ESTABLISHMENT OF PRIORITIES AND TERMINATION OF INVESTIGATIONS A.
General On January 10, 1946, the Commission approved the guidelines proposed by the Staff and the Office of Investigations (01) for initiation, establishment of priorities and termination of investigations.
The Commission concluded that uniform guidelines should be used by both the Staff and 01 in establishing priorities for investigations and that staff views on the need for and priority of an investigation were an integral part of the investigation process.
The following procedures are to be followed in implementing the guidelines.
B.
Referral by the Staff of Matters for investigation 1.
Regional Administrator and Office Directors, the latter through the EDO, shall refer to the Office of Investigations for possible investi-gation all matters where: (a) there is a reasonable basis for belief of wrongdoing, as that term is defined elsewhere in this chapter; and
(
(b) the staff determines an investigation is necessary for it to decide whether enforcement or other regulatory action is required. Matters for which there is not a reasonable basis to believe wrongdoing is involved or matters which may involve wrongdoing but for which an investigation would be unnecessary to determine the appropriate course of action should not be referred to 01 for investigation. For
- example, where a licensee discovers that a low-level employee deliberately violated a requirement or falsified a document, dis-ciplines the employee and takes appropriate corrective action which the Staff has reviewed, the Staff may conclude that further NRC i
action is unnecessary.
1 1
2.
All referrals to 01 shall be made using the "Request for l
Investigation" form (Exhibit 3).
A priority of h_1 h, normal or low 2
will be assigned to the requested investigation using the examples set forth below as guidance.
Each request to 01 arising from an allegation should be coordinated with the OAC.
OGC or Regional Counsel should also be consulted to review the legal basis for the referral.
Copies of the completed request forms shall be distributed as indicated on the form.
i 3.
As indicated above, the staff will recommend a high, normal or low priority for each matter referred to 01. The.following examples may serve as guidance in assigning priorities, it should be recognif%d that these examples are just that.
Judgment must still be exercised in each case to assure that the appropriate priority is established.
29 Approved:
June 20,1987 1
NRC Appendix 0517 Part lil MANAGEMENT OF ALLEGATIONS a.
Hg (1) Current manager, licensed operator or other' employee involved in deliberate violation of requirements having high safety significance, eA, continuing potential for unnecessary radiation exposure to employees or members of the public.
(2) Suspected tampering with vital equipment at a power reactor.
(3) Allegations of falsification of records available for NRC inspection or submittals to the NRC or deliberate withholding of information required to be reported to the NRC, where the situation involved presents an immediate and continuing health and safety concern, eA, (a) falsification of records having high safety signif-
- icance, such as falsifications which conceal a
repeated failure to perform a required test; (b) alleged withholding of significant design flaw or selsmic criteria information for an operating facility; or (c) level of individual involved in the alleged withholding of information or falsification is such that a serious question of the willingness of management to conduct safe operations is raised.
(4) Allegations of falsification of records available for NRC inspection or deliberate violations of NRC requirements concerning an area of significant safety concern for licensing.
(5) Allegations of wrongdoing where immediate investigation is necessary to ensure preservation and availability of evidence or which are in some other way time perishable.
b.
Normal (1) Alleg'ations of intimidation or harassment of QC inspectors or workers on safety-related equipment at a facility under construction.
(2) Allegations of deliberate violations of NRC requirements where there is no indication the violation is recurring or causing immediate and direct health and safety impact on the general public or employees.
(3) Allegations of falsification of records available for NRC inspection or delibe. rate violation of N '4 C requirements of safety concern in the licensing process.
Approved:
June 20,1987 30
NRC Appendix 0517 MAN AGEMENT OF ALLEGATIONS Part 111 c.
Low
- 0) Allegations of deliberate violations of NRC requirements, falsification of records or submittats to
- NRC, or harassment or intimidation of workers where the licensee is aware of the allegation and has already undertaken corrective action.
(2) Allegations of deliberate violation of NRC requirements at an operating facility where there is no near-term safety concern; ea, the reactor is in long-term shutdown.
4.
Program offices are responsible to the EDO for assuring that within their areas of responsibilities necessary investigations are conducted.
If the program office believes that a priority for a matter should be different than that requested by the Region, the Region should be contacted immediately to resolve the matter.
5.
Once a matter has been accepted by 01 for investigation, if the requestor of the investigation determines that the need for or priority of an investigation has changed, that information will be provided to the Director, 01, for his/her consideration.
C.
Initiation of an investigation by Ol 1.
Upon receipt of the "Request for Investigation" form, 01 will evaluate the request and conduct consultations as necessary with the requesting office.
01 will initiate an investigation if:
a.
The staff has found that the alleged wrongdoing has had or could have an impact on the public health and safety, the common defense and security, protection of the environment, or antitrust laws provided that these matterc are within NRC jurisdiction; and b.
The Director, 01, determines that there is a reasonable basis to believe that the mat %r involves wrongdoing; and c.
The Director, 01, determines that there is sufficient information available to support the allegation to warrant initiation of an investigation.
2.
If upon review of the request, there is a reasonable belief that the alleged wrongdoing is solely a product of careless disregard or reckless indifference, Ol will not normally conduct an investigation unless the requester indicates that the matter requires application of 01 resources because there are major regulatory implications and the Director, 01, concurs with this judgment.
3.
01 will seek Commission guidance prior to initiating an investigation relating to the character / integrity of an individual in those instances where the character or suitability aspects of the matter being 31 A pp reved :
June 20,1987
NRC App;ncix 0517 Part til MANAGEMENT OF ALLEGATIONS considered for investigation are unrelated ~ to a violation of NRC regulatory requirements.
4.
01 will notify the requester within 30 days of receipt of the request whether the matter has been accepted for investigation and, if so, the priority assigned to the matter and the estimated schedule for completion, if a matter is not accepted for investigation, Of will provide the requester with the basis for its decision.
Copies of 01 correspondence on scheduling and priorities will be sent to all those who received a copy of the original request as indicated on the request form.
D.
Resolution of Differences Between Staff and 01 1.
Following 01 notification of its action on a request for investigation, if the Regional Administrator has concerns about the priority or schedule assigned to the matter or the declination of 01 to investigate at all, he shall promptly notify the Director of the appropriate program office of his concern.
2.
The Director of the responsible program office will review disputed matters referred by the Regional Administrator and the priorities and schedules assigned on matters referred to 01 directly by the program office.
If the Director determines that an investigation priority or schedule established by 01 or the lack thereof does not meet regulatory needs, and the matter cannot be resolved with the Director, 01, he/she will promptly notify the EDO.
3.
The EDO will attempt to resolve all differences over the need for and priority and schedules for investigations with the Director, 01, and if unsuccessful, seek Commission resolution.
E.
Termination of investiaations 1.
The decision by 01 to terminate an investigation which has been initiated will normally be made outside the context of the investigative priority /threshhold system.
01 will normally continue an investigation to its conclusion if there is a reasonable basis for a l
I belief that the matter being investigated involves a deliberate violation of NRC requirements.
The decision to terminate an investigation will be a case-by-case assessment by the Director, 01, of such issues as whether the relevant facts necessary to resolve the matter under investigat8:n have been gathered, whether allegations of events or conditions hre so old that witnesses are unavailable or could no longer be e)pected to recall pertinent information, or whether continued inver,tigation would be nonproductive or otherwise not serve the agency's interests.
2.
As indicated in section B.S.,
- above, if the requester of an investigation etermines that the need for or priority of an investigation has changed, that information will be provided to the Director, 01, for his/her consideration.
Approved:
June 20,1987 32
NRC Appendix 0517 MANAGEMENT OF ALLEGATIONS Part 111 3.
For low and normal priority cases, 01 may close a case if its projection of resource allocations indicates that the investigation could not be initiated within a reasonable period of time whith will generally be six months.
01 may close a case following its initial l
evaluation if at that time 01 is able to make a projection of its resource allocations and the case would not be initiated within a reasonable period of time, ed.,, six months.
4.
Of will notify the staff in writing when it formally closes a case because of lack of resources to pursue it.
F.
Resolution of Those Matters Returned to the Staff By Ol Without Investigation i
]
Those matters which are returned to the Staff by Oi without investigation (see 1
E.3., above) will be handled by the staff as part of its normal process to resolve inspection findings.
This may include additional inspections, written requests for information from the licensee, meetings between the staff and licensee or proceeding with enforcement action as appropriate on the basis of
]
the original or supplemented inspection findings or such other actions as appropriate.
If, after development of supplemental information or reassess-ment of the original findings the matter warrants categorization as a high
- priority, the matter may be referred to 01 again for investigation in accordance with the procedures in this chapter.
C G.
Commission Notification Requirement for Certain 01 Referrals When the staff concludes that a material false statement has been made to the NRC by a senior level official of an NRC aoplicant or licensee and when the criteria for 01 referral are met, in addition to preparing a request for investigation by 01, staff will also prepare a memorandum from the EDO to the Commission providing the background and the basis for the staff's conclusion.
4 l
1 I
f f
l l
33 Approved:
June 20,1987
NRC A;pendix 0517 MANAGEMENT OF ALLEGATIONS Port ill, Exhibit 3 LIMITED DISTRIBUTION - NOT FOR PUBLIC DISCLOSURE Request No.
Region / Office year No.)
Allegation No.
TO:
FROM:
REQUEST FOR INVESTIGATION Licensee / Vendor / Applicant Docket No.
Facility or Site Location l
Regienal Administrator / Office Date A.
Request What is the matter that is being requested for investigation (be as specific as possible regarding the underlying incident).
o LIMITED DISTRIBUTION -- NOT FOR PUBLIC DISCLOSURE W/O 01 APPROVAL 35 Approved:
June 20,1987
NRC AppenG)lx 0517 Part til, Exhibit 3 MANAGEMENT OF ALLEGATIONS LIMITED DISTRIBUTION -- NOT FOR PUBLic DISCLOSURE 2-B.
Purpose of Investigation 1.
What is the basis for the belief that the violation of a regulatory requirement is more likely to have been intentional or to have resulted from careless disregard or reckless indifference than from error or oversight? (be as specific as possible).
2.
What are the potential regulatory requirements that msy have been violated?
3.
If no violation is suspected, what is the specific regulatory concern?
4.
Why is an investigation needed for regulatory action and what is the regulatory impact of this matter, if true?
C.
Requester's Priority 1.
Is the priority of the investigation high, normal, or low?
2.
What is the estimated date when the results of the investigation are needed?
3.
What is the basis for the date and the impact of not meeting this date?
(For example, is there an immediate safety issue that must be addressed or are the results necessary to resolve any ongoing regulatory issue and if so, what actions are dependent on the out-come of the investigation?)
LIMITED DIETRIBUTION -- NOT FOR PUBLIC DISCLOSURE W/O Ol APPROVAL Approved: June 20,1987 36
NRC Appendix 0517 MANAGEMENT OF ALLEGATIONS Part lit, Exhibit 3 LIMITED DISTRitUTION NOT FOR PUBLic DISCLOSURE 3
1 D.
Contact 1.
Staff members:
2.
Allegers identification with address and telephone number
- iff, not confidential.
(Indicate if any confidential sources are involved and who may be contactec' for the identifying details.)
F.
Other Relevant Information k
Signature cc:
01 1/
EDO NRR/NMSS/OSP as appropriate 1/
OGC Regional Administrator **/
e OE i
,/
if generated by region.
- / if generated by NRR/NMSS/OSP LIMITED DISTRIBUTION -- NOT FOR PUBLIC DISCLOSURE W/O 01 APPROVAL 37 Approved:
June 20,1987 L
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- t 38795 0
Proposed Rules Fe*,si nee-Vol $1. No 184 Theredet. September 12. inna Ths secton of tho FEDEmal REO' STER Done is Weabrtron DC os Septensber 14.
coata.ns r sces to the swc ce the 16sa assistance programs and appeal procedures, proposes issuaice of ruees amo Edward D. Hews.
repabors Tr.e cypose of eiese mohces OAfts: Comments should be submitted is to 9<=e interested persoes si Arter Meeger. federe/ Crep lanco"e corporgi,or' by November 21.19sa Comments d.
p t[ :nY[$ot IFA Doc. 64-216a0 Fded 641 ee a el am) received after this date will be t
r.na, considered ifit is praclical to do so. but rws s e s cooe wie * =
assurance of consideration cannot be snen escept as to comments recened
---m on r before this date.
CM REQUWORY DEPARTMENT OF AGMICULTURE COMMi&SiON Aeoassssa: Comments should be sent to the Secntary of the Commission.
Federal Crop insurance 10 CFA Part 24 Attention: Docketing and Senice Branch. Ui Nuclear Regulatory 7 CFR Port 449 Fitness for Outy Program Commissioo. Weshmston. DC 20555. or may be hand dehvered to the Offe.e of Attiect Nuclesr Regulatory I Amet. ne.1; Dec. No, to4all Commis sion*
the Secntary. Vi Nucleat Regula tory Commission.11515 Rockulle Pike.
ACTiom Proposed rule.
Fresh Mart et $weet Com Crop Rocknlle. Maryland, between the hours of 7.30 a m. and 415 p m weekdays. or i
insurance Regulations g,",","f, 8 ',','" ','
the,Pubhc Document Roon.120 L St,
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act Ncn Federal Crep Insurance require hcensees authonsed to operate
- ',h g,~
e Corporation. USDA.
nuclear power reactors to implement a a 4 weekda e Acftom Withdraw el of Notice of ss u p gr nual oposed Rulemaking.
,o,
,,,,,o,,, At,,,, c0,tt,ct reasonable assurance that nuclear toren Bush. Reactor Safeguards Branch.
suussaan The Federal Crop insurance power plant personnel are not under the Division of Reactor Inspection and Corporation (FClC) pubbshes this notice influence of any substarice.legalor Safeguards. Office of Nuclear Reactor fer the purpose of withdrawma a Notice illegal, or mentally or physically Regulations. US Nuclear Regulatory cf Proposed Rulemalms (NpR.M) trapatted from any cause, which m any Commis sion. Wa shington. DC 20535.
arrendmg the Fresh Market Sweet Com way ads ersely affects thetr abthty to Telephone:(301) 4:24944.
Crop Insurance Regulations by safety and competently perfom the;r sweet.sweieT Any swooessattow-estending the date for fthng actuarial duties. One maior element of a fitness.
changes FC!C has determmed that for duty program and the focus of this
Background
these regulations are subject to further rule,is to assure safery by creatina en On August 5.1952, the Commission reuew before the issuance of any environment which is free of the effects pubbshed for comreent a proposed rule proposed rule changes thus negating the of drugs. The r.tle would, with hrnited to require beensees to develop and r.eed for an entension of fihng date, exceptions. apply to all individuals implement wntten procedures von runtMen i=,onwarion cowTSct-granted unescorted access to protected contemmg fitness for duty (47 R
~
Feter F. Cole. Secretary. Federal Crop areas. and to any beensee or contractor 33980). Ses enty.three responses ersonnel required to respond to the contattting 310 comments w ere received lasurance Corporation. US Department ficensee e Techrucal Support Center of Arnculture. Washmaton.DC 0:50.
and considered dunns the Commission telephone (202) 447-33:5 (TSCl or Emergency Operatione Facihty debberetions on the proposed rule (51 sueet.a usistant seisonwatioec On
( OF)in accordance with beensee m 174?2). Subsequently, m recostLtion
%. dnesday March 2.1954 FCIC emergency plans and procedures. Under of tnitiatives and commitments made by e
pubbshed an NpRM in the Federal the proposed rule. testtng for the mdustry to deselop and self manage Register at 53 R 6655. which proposed impermissible drug use wouM be fitness.for duty programs. the to amend the Fresh Market Sweet Com conducted pnot to authortung Commission decided to defer Crop insurance Regulations (7 CR Part unesconed access to protected areas or implementation of the rule toissue a 449) to entend th9 date for for fihng
,,,,gnment to out actmties within the pobey statement to further encourage contract changes specified in the pohey scope of the proposed rule. randomly for such self improsement and to reconsider for insunne fresh market sweet corn such heensee and contractor personnel, the need for rulemaking after evaluatm3 after certam operational eg ents, based the empenence gamed under the Upon review. FCIC has determmed on reasonable cause, and to senfy industry program. The Commission's that the Fresh Market Sweet Com contmved abstention. In additiort, the Pohey Statement on Fitness for Dut) of Regulations are subtect to funher review proposed rule prondes for other basic Nucle at Power Personnel w as pubhshed which has the effect of negatmg the fitness for duty program elements such in the FederaLRegister on August 4.1986 need for estension of the date for contract changes.present fibng as the development of wntten pohcy (51 FR !?921) Ten respondents Therefore we and procedures. provisions for the commented on the pobey statement bel.ese that the proposed rule pubbshed tram ng of surentsors and emplo>ees.
(SECY-47-641. On Decemt>er 1.198?. the et 53 FR 6655 should be and is hereby, standards for drug testmg management Cemmission was bnefed by the Nuclear w it hdra w n.
actions. and requirements for ernplon ee Utihty Management and Resources
t t
28796 Federal RegistOr / Vol. 53. No.164 / Thursday. Septembe? O.1988 / Proposed Rates Council (NUMARC) and the NRC staff effectneness of utihty fitness for. duty 6ts consideration of pubhc comments on the espenence gamed to date and on programs, from assessms reported drug provided m response to this proposed the status ofimplementation of the related mc' dents. and f*om reviewing rule.
Commission's fitness for duty pohey similar rules bems developed by other The Commission seeks comments s&**
Cosernment agencies from knowledgeable persons cn the Discussion The Commission also considered scientific and techmcal basis of the whether the proposed rule should be proposed rule and the consequences of The Commission recognizes and appreciates the sigmficant efforts appheable to persons havmg access to drug use on the s1fe operation of a already undertaken by NUM ARC, the information requirirs protection auch as nuclear power reactor. The Commission lestitute of Nuclear Power Operations national security information, also seeks comments on the follow 1ng ONpO), the Edaon Electne insutute safeguards information. or propnetary
- 1. Are there practical alternatives to IEEll. and each nuclear pow er reactor information. The Commission beheves random testmg.not discussed he cin.
beensee m deselopmg and irnplementmg that determmations of thsibihty for that provide equivalent deterrence ar.d fitness for-duty programs for nuclear access to protected mformation based detection of drug use?
on the current 10 CR Part 10. or the 2.What practical attematnes not
{ow er plant personnel. Much prnpe:
8 proposed Nuclear Power Plant Access discussed herem, exist that could Authones tion Propam pobey statement determme physical and mental affo in e n an e on en in E * *" ' " N w hich nuclear power plant operations are free of the effects of alcohol and will pr vide a suitable mechamsm to 3.What rates of random testmg and P M eet at in nnauen from those ntesting provide an acceptable durfus. Nes enheless. the Commission's individuals whose trustworthmess may probabahty of detection and adequate s
esa tion of espenence gamed in the 13 months smce the pohey statement be in question.
deterrence? What should be the basis became effectne indicates that in considenna the trunimum for any future modificatioos in the rate rulemaking le now appropnate. Dunns requirements of this proposed rule, the for random testms? Chairman Zeeb and the December 1.1957 bnefing on the omminion has decided to requtre Commissioner Carr behete. In view of implementation of the pohey statement, certam propams that could be viewed the mihtery e expenence with testmr the Commission was mfo*med that as nehtfully bems left to the d,scretion cited m sectionlV of this notice tr.at a 14censees did not have ur.iform program M beenue management m structumg W pucent annual tuung frepno a standardri. there were sigmficant their prepams to meet fitness for duty more apprepnate to ensure that the differences m key propam elements, objectives, dealms with employees, and testmg program provides an adequate and that there were many factors that in utabl ihms their benefits For deterrent. They request specific made it unhkely that the nuclear example. the Commission proposes to comments as to whether a XIO percent industry could echies e umformit) at the require that bcensees maintam annual testmg frequenet (Altematne El desired lev el. For example. (1) not all Employee Assistance Propams and that or Altematne Ain 1 6J4 tal(2) m the hcensees were conducting random tests, individuals be tramed in the health proposed rule is the more effecta e some because of umon mtenention or hazards of drug abuse. The Commission testing scheme. ls there some other proh.bition by state laws. (2) drug seeks comments as to whether these attematne that should be considered?
testmg cutoff levels s aned sigmficantly, propam elemente should be tn the rule Data to support recommendations are some of which were inadequate. (3) or meluded as recommendations in requested, discipimary actions m response to implementmg guidance.
- 4. Are there effectne alternata es to posmve test results vaned partly due to in additinn. the Commission has the "Mandatory Guidelmes for Federal the deree oflocal tolerance toward the prehmmanly decided not to include Workplace Drus Testing Propams '
various fitness.for duty conditions and several matters in the rule. These issued by Health and Human Senices (4). tramtng and aw arness programs metters are summanned in the
()UtS) on Agni11,1988 (53 R 11970) needed to be improved by many Appendin to this Federal Register that the Commission should adopt as hcensees The current and apparently Notice. The Commission seeks minimum standards for fitness for duty contmaint lack of umformity m these comments as to whether these matters programs at nuclear power plants?
Ley pregram elements was the basis for should be added to the rule or mcluded
- 5. Are there any additional quahty the Commission request that a proposed as recominendations in implementing control measures or a ppeal procedure s rule be prepe ed.The rule is designed to guidance. in this regard. Pubhc Citizen that should be considered to protect the take into account esisting propams.
(a pubhc interest group) submitted a nghts of mdinduals bems tested to recttfy the shoncommgs as stated letter on june 4.1967 petillonmg the ensure that mdniduals are not abose, and estabbsh umform standards Commission to amend its regulations to mmdenttfied in the process as drug to promote the public health and safety.
require bcensees to report;(1) All users, and to proude a mechanism to The proposed rule takes mto account instances of drug and alcohol use by correct any errors? Specificalh. m ho the many positive a spects of euenne personnel while on duty.12) the details should have access to knowledge of the indastry programs while prendirig for of fitness for duty programs,(3) the results of unconfirmed initial test resuhs more umform program etandards. with results of rehabihtation programs. and (emplo)ee. immediate superuser. h:gher due regard to both pubhc and worker (4) the results of drug testma prostems management les els)? What procedores safety and the nghts ofindniduals in This letter was not noticed due to the are necessary to assure appropnate des elopmg this proposed rule. the NRC moratonum on rulemaking on fitness for prnacy?
staff considered pubhc comments duty estabbshed by the Commission s
- 6. Should the Commission proude recened in response to the 1982 Pohey Statement (31 R 1*921).
general guit. ante on potential i
proposed rulemakmq and the 1988 pohey llowever.NRC staff communicated with impairrients, such as alcohol abuse and statement The staff also considered Pubhc Citisen and mformed them of the presenption drugs? How should such mdustry espenence reponed to the Commission's intent to address the guidance be irnplemented in a fitness-Commission, tosether with lessens issvaa raised. The Commission will for duty program? Should any ranJen lestried b) the staff from esalualms the address this request m cuatunction with testmg program be espanded to
3.
i Feder:1 Leviater / Vel. 53. No.184 / Thursday. Septemb:r 22. 1988 / Proposed Rules 36797 encompass legal drug and alcoholill so.
relauwe safety significance of the wide would like to see a documented basis should the response to a positive test for venety of specific construction steps for this. Why not the whole site? Why,
alcohol be the same as for illegal drugs?
and crafts involve 1(2) the estent to not only control room operators? 7 is What should be the response to a which the controle desenbed above do may be the correct class of workers but I
,......s.6.: ;ar legal drugs?
or do not tend to provide adequate would his a rationale.
t How long should a person be barred from performmt activities withm the identification or mitignuon of mdmdual
- De rule portends to proude failures m performance m these stess scope of the proposed rule following and, accordmsly.13) the nature and reasonable asearance that workers are removal under the fitness for duty estent of any fitness for-duty program not impaired from a venety of pohey, and under what circumstances elements which shoud be opphed to substances. yet it is only focused on lone should records of this removal be these activities An esemple might be
///esoldrugs. I would hke comments on should remstatement be allowed? How retained to facihtate future employment the weldmg or reactor pnmary system the nature of the impairment suffered by abusmslegaldrug and alcohol.!f the decaions?
boundanes, structures and supports, and industry program is sufficient to proud safety related systems.as opposed to 4 Are the catepones of workers identified for lettmg apprepnate. or to balance of plant weldi.s.
a reasonable assurance that legal drugs Although fitness for duty programs and alcohol are not causing impairment some other population (whole site, are intended to prende reasonable of workers at nuclear powet plants, why control room operators ortly) necessary/ soeurance that individuals are not utmg the locallaw enforcement a gencies-to is it not sufficient--in contunction with sufhcient for safet)?
or under the influence of any substance.
9 Should tramme on theitems cos ered under 3. 4. and 5 of l 262:tal be or mentally or physically impatted from proude the assurance for tilegal drug?
prouded to all employ ees covered under any cauu that could adsersely affect Why ere alcohol and abuse oflegal safety. the specific program elemente druge escluded from our area of the rule so each employee can recogruze and procedures contamed in the cor cern?
drugs. Indications of the use. asle. or proposed rule apply only to dritss. in
- The etaff does an escellent lob in possession of drugs and impairment of meetmg the proposed rule's desenbar the effects of mantuana, a person coured under the rule and knew what acnon to take?
requirements that beensees provide cocaine opiates phencyclidine, and M. Finau). the Commission is reasonable assurance that its employees emphetammes and of ciuns empert are fit to perform their duties. specil.c wons to m put thor dennphons !
especially mierested m recearns measures for addressing alcohol. legal note that each oMe of the categones of comments on the estent to which NRC drugs, and other health problems. such drugs to be tested have obun able repulsuons on fitness for duty should as mental stress and fat gue, are left to effects. Given that the purpose of address other reFulated scuvines not the discreuon of each heensee.
random testtrig is detection and currently withm the scope of this Commissioner Roberts has the deterrence. it seems to me that resrirs proposed rule. Regulated actmues being followmg additions!commenta: After forcause would be the preferred considered fot rulemaking or a Commission statement of pohey include: reviewmg the proposed rulemaking attemeuve smce it can also offer
'Titness for Duty hograms",I feel a detection. and deterrence whde having a
- The construction and pre-certam kinship with Sisphus.1 must.
much better chance of bems found to be oI. erational testing of nuclear power then, repeat my objecuent to this
'# U'"""* t p ants pnct to the issuance of a heense ed we and the loadmg ol nuclear fuel.
proposal and request public comments maQamjo on them, used m academic. research. and The stated general objective of the the frequency of the tests, the mode of
- The operanen of nonpower reactors proposed rule "is to provide reasonable testeg and y et are atlent. other than for commercial apphesuons.
- Fuel c)cle facihues mvolved in the assurance that nuclear power lent a "do ood ' statement. on the details of personnel are not under the in uence of proce urn to ensun pmtecuon of the possession and processms of plutonium or urantum in highly ennched. low any substance, legal or illegal, or nghts of tese tested.How is the NRC ennched or naturat uramum forms.
mentally or physically impatted from soms to ensun that then nghts are
.* The utthsation of nucleat matenals any ca use, w hich in any way ads ersely protected?!f we rely on the uruons to effects their abihty to safely and -
protect their members, how are we somt in other actiaties such as radiostaphy.
competently perform their duties." As to assure there will be uruform proprem a
product treadtation. tediopharmaceutical one whe behevee in aero tolerance of standards"withm the industry?
productiort riuclear enedicme. uranium mdtmg actiuties. produchon and use of drugs or alcohol abuse.1 fully agree with I firmly beheve the prudent this objectin. However, the proposed Consutuhonal path leads to vanous sources, and radioscove weste disponi actmues-rule as wntten is insufficient m certain modificahon of this rule.
Whde fully supportive of programs to fundamental resppcts and I question address the national problems of drug w hether it cao accomphth this Options Considered objective. My spectfic comments are as la deseloping this propond rule, and alcohol abuse and to provide for the follows:
S anous options were constdered heshh and safety ofindmdual workers.
- I et 11 find no nesus made between cos enna the followma subjects:
the Commission's pohey on the the catesones of workers chosen for regulabon of fitness for duty programs testing and thetr safety related dut es.
- 1. Impairment omd Athobihty for persons invoked in the above "Ite rule would. with hmited The un of alcohol and drugs can acuuties will pnmanly be ba sed upon esceptions, apply to allindividuals directly linpatt job performance. The considerations for the safety of the granted unescorted access to protected effects of alcohol. which ts a drug are pubhc and fellow workers.
stees. and to any beensee or contractor well knowm and documented, and in the matter of requirements for personnel required to respond to the therefore, are not repe sted here. Drugs funestfor duty programs at nuclear licensee s Technical Support Center auch as manluans. sedstn es..
power plants undersomg construction (TSC) or Emergency Opersuons Facthty halluemogens, and high doses et and pre opersoonal teaung. the (EOF)in accordance with heensee sumulants could ads ersely affect an Commission requests views on:(1)The emergency plans and procedures "I employee s abihty to correctly tudge
3G M rederal Resiaise / Vcl. 53, No.184 / Thursday. Septerber 22. 1984 / Proposed Ruhs situatices and make decisions (NURIC/
A. Mantuana A study of the effects of manluana CR-3196.*Drus and Alcohol Abuse: The Bases for Employee Assistanca
- 1. Bockground. Frequen' emokme of haicanon on @cle dmme Programs m the Nuclear indotry,"
manquena is assocated mth a decime performance dersonstrated that those available from the Nabonal Techrucal in social mental penhomotor, and whe were tatoucated had worie informauon Serucel. The greatest perceptual skille. Man runne intotica tion composite drivvig performance theri impaire motor vehicle drmns skille such those who wen not intoucatei ne impairment occurs shortly after une or abuse and the nagauve short term as motor coordmation. eye tracking study slao showed that even small ski!!s. and perceptual functione doses of marituana trepaired drivirme effects on human performance (Schwere and Hewks.1945) Meninene ability (Kloooff.1374; Fehr and Katant.
(includm4 subtje or marymal inteticahon impaire seneory/ perceptual 198 0 impatrments that aie difficult for a performance such e heenne and vision Studies of the effects of manjuana on supervisor to detect l can last for several IMurtny,19 eel Monruena intesecanon aircraft pilot performance showed that hours or daya-can shorten attention spen. deene,,
marquana can produce residuel The problem mth determitung manual deutenty, and impair motoe behasioral effects 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> after trrpairment to that there are many steadmess IMurrey.19se: NUREC/CR-Ingestion. Simple performenee measure degrees of physical and mental 3196.1te3),
returned mthm basehne levels in a t'rpairment some of which canAct be Mantuana intoucaten irspaire relatively short time highly compicii detected by cumet methode, performenet of cosmtive and physical aspects of the task showed dencits 24 Furthermore. e pcsieve ursne test result tasks (Fehr and Kalent.190). Studies hours after insestion Wesavagt et eL does not estabhsh that sa in&vidual La have shown forms of cognitive 1985; Walsh.1947). Hargover effects of currently subiect to any physiological or impairment euch as interference mth mantunne indute sigmhcant Msidual psychological effects of a drug.The staat leemms impatred numencairessorung.
subrective and beheviorel effects at Crect measunments of currest and intnfennce mth the transin of least mne hours after smoking (i e, the impairment fren tests of body Dulds ar, information from short. term to lens term next moming)(Chait, et aL 19tk Walsh.
obtamed from tests of thud to brain memory and susceptibihty to diarreenen 1987),
tissue. fohwed by tests of blood earv.re.
or stress IMurrey.1966; NURIC/CR.
Relatively low emeunts of mantuana Althouta e potiuve nr;ne test result may
'196.1983). The le7n the dose. the combined with alcohol can have seneus not mecate ctrrem tepatrmuit. it can greater the perevived subleceve effect of d truptive effects on periormance proude resoonable evndence to support a "high
- and the gnster the effect on (Sutton,19a3. Ross and Ross.1985) On h
P Fstolofic tridenes, such as meressed some tasks, the effects of combmed the conclusion that the person was impaired or mart:.nalj 1:npatted. For heart rate (Blum.1964). Research has alcohol and manJuana have shown an y
these reasons the acnone taken by clearly demonstrated that the degree of antatorustic or less than addithe emplov ers m respaese to drug use er, linpaument in individual subjects is reaction between the two druga. Lew typicauy based on *rehabihty' dose related i e, the greater the dose, doses of manjuana combined with deternunanons rather than observable the greater the degree ofimpetrment alcohol produced an antagonistic effect.
eudence of tmpearment.
(Chesher.19ae). It should be noted that high doses of manivana combined with Rehabihty determmations an based the potency of street samples of alcohol produced addius e effects. The upon a well. founded assomption that mantuana contmuss to nee, and is effects produced by these drugs w hen the use of the drug or alcohol results in typically two to four times isnd for some used smgularly and la combination impaired motor and mernal functiemmg' 14 times) st:4ter than that used in most prot.ce quahtatively and quanutatnely The assumption that the oss of illicit resea rch (Cohen.1986). De irnplica uon d fierent effects (Chesber,19861.
cngs and the misuse of alcohol can is that impairment from mantuana ta Another study concluded that both cause s'smficant omthe-job impairment hhely to be more acute than that marquana and alcohol had sigruficant is supported by the scientinc htnature*
rep rted in the hiersture.
effects on dinintperformance. and the pe pndmes og the studies cited hnm There are sigruficant d Iterences efrects were parucularly detnmental sasest the likel) effects of substance between casual and heavy users of when both druss were combtoed.
use on tob perfor nance at nucleet mantuana. In one s tudy. casual users of Mantuana effecta had a more rapid power plants new wne refereed man)uana made five times as many
- onset than those of alcohol and wen errors on a divided.attenuen task whea somewhat less severe for most ta:La e perts in the 6 eld Pnor o P' lbt they were smokans an ad bbiturn dose of (pech. et aL 19ael.
I and so repreunt acceptable mantuana as they 6d wben they were Combming alcohol with marijuana e spenmen'ai techmque, with fir >dmge smoking the placebo. Heavy pers did can sagtuficantly impatt cogrutae and that are IMy to be s ahd.
not show any increase of errors m the psychomotor task performance. Stu&es ad libitura dose coo &uon. A strnaJar of airplane pilot perfoemanoo m simulate The followmg provides a surnmary of study cornpartna casual and heavy users thshi demonstrated that pdots made the research hterarvn on drug use and showed that heasy users displa)ed sigruncant maior errors (becom4ne lost impairment for the fhe drug types for more hostihty, poorer work adjustinent, or stalltos) and mmor errors f alutude which random drug testmg is required and worse mterpersonal relabona than and hes&ng deustions) m performarwe.
lan a njua na. cocaine, opsales, d d the cesual users. lMurray.1946).
even though they knaw they were urider phenencbdme, and amphetammes) The De efrects of s,anguana mtoa2 cation the mfluence of marqu4na and recently puthshed *Secornd Tnenrual on social mterschon s ary. Some attempted to cornpensate for the effects Report on Drug Abuse and Dng Abuse subjects becccne withdrawn; other (lanowsky. et al. irt, Rosa and Roas.
Research to the Congnse " from the subjecta roare aggreaan e. Manjuan.a 1943). Similar drivmg susclator stu&es Sectetary. Depart:r. sat of Health and intaucahon generally affects social showed mape periorinance decretsents Human Seruces. pubbded la 198?,
behauor and interection la a vansty of (abibty to s.anener.negouste curves.
contains a sumrr.ary of recent research measurable forma. a fact with 6sune followsnt anodee car, passiet i cir, fin &nca which are cons 4stuit wath those imphcauona for crew as welj as etc.)(Straley, et al.1941; Moskowita desenbed below.
mdividuaj perionr.ancs.
1945). Performance decnments are also
i -
Federal Resister / Vol. 53. NS 164 / Thursday. September 22. 1988 / Pr: posed Rules 34799 noted for handsteadiness, esecution of use or intoucation. Mantuana can accumulating that manjuana may also mos ements, and body swey induce acute memory impatrment that have long term health effects which (Moskowitz.19Hl. A battery of directly affects learnmg through a directly affect performance, such se cognitne tests also resesled dysfunction of normal storage and impaired memory (Murray 1966) 14ng.
performance decrements that wem retneval mecharusme (See discussion, term advern health effects due to additae when manivana and alcohol Welsh.1947).
chrome use. such as physiological were combined (Chesher.1986).
- 2. Physical Signs of Abuse. Symptoms damage, an incrosemgly evident Based on es aluations of s venety of of manjuana un am chioruc fatigue and (Cohen.1906),
actual enet simulated dnving lethargy. chreruc dry trntating cough.
Cultural and socioeconomic f actore performant.e tasks under the influence chronic sore throat, chrome may influence the definition and of manjuana. one study noted that conjunctivius (red eyes). or dilated identification of advern effects.
subjects intrcucated on manjuana pupils (Blum.19N b especially those related to comples appeared to reshze that they were
- 3. Toleronce end Withdrowol.
emotional or cosmtsve functans (Fehe impared and cornpensated for this Tolerance to carmabis is comples. it la and Kalant.1964 For esemple.
impairment un task performance know that tolerance to impaired performance due to manjuana w henever they could. Such t e tr a h y droc a nn a binol (DiC) d e v elo ps intostcation is more likely to be compensation is obviously not possible with prolonged use. Novice unre have a neogmaed in a control room operator in unpredictable or emergency attual one moderate degne of tolerance which than a janitonal worker.
(Smiley 1966).
actually decreases with repeated uu.
Cannable use to usually combined One study notes that when the subject Tolerance then mereaue w th heavy with tobacco and alcohol, end less is intoucated due to mantuana, esen use. There la no definitive endence that fnquently with cocaine, phencyclidine though the subjective feehng of hems chronic unre requtre tneressins amourtt (PCP), and other drugs, When combmed "high may no longar be pruent.
of U1C to memtem the same effects, with other drugs, the effects of cannabia performance decrements may still esist.
E.apenenced usere do withstand higher on the user can be influenced by the.
possibly lasting seseral hours. Dus an doses than noyices, though, and it is other drugs: cannabie can also effect the operator may be trnpatted without evident that caroruc maniuana users reaction of other drugs in the s> stem reshame that h:s or her performance is develop tolerance to the effects of DiC (Fehr and Kalant.1953b stal beeg effected by manjuassa (Arareil and Hollister.1986. Blum.19N).
Manjuana is known to impatt human intouca tion (Blum.19M).
Withdrawsi spntoms after manjuana judgment.short term memory and Factors such as dosage, degne of intoucation are mtid, such a tasaitude or impairment, and age and expenence of mild headache. Withdrawal spnptoms psychomotor functions such as dnving an automobile (Murray,1986). Research the operator must be considered when after chroruc manjuana use is halted in the comptes psychoacuve and generalizing from chmcal results to (e 3, headaches, stomach cramps, behavioral effects of manjuana has work settt igs (Fehr and Kalant.190).
feelmga of lassitude) are attnbuted to Other factors for consideration include psychological dependence (Murray, produced somewhat limited and the type of task to be performed and the 19en).
quahfied conclusions. it is known.
enuronment m which it is performed.
- 4. Discussion De studies to date hownn that manjuana can Studies of the long term or chrome have focused upon the observable short. sigmficantly impatt performance durms effects of mantuana use en behavior are term effects of manjuana intoujestion.
Intoucation. Impairment due to sparse. Howes er, one study notes that Dese studae of mantuana intostcation hangover effects. chrome uu. and heavy chrome carmabis users eshtbit show sigmficant eflect on cosrutive and withdrawal en also possible.
beha nor labeled as "amous ational physical task performance The fin &rige E Cocaine 5> ndrome". Charsctenstice of are not ennrely conclusive; there are emotisational syndrome include apathy. Inconsistencies, for instance, on the
- 1. SocAground. Cocame is a central utmulant reduced dnse and ambition. tmpatted find.ngs regardtrts memory and leartuna. nervous system @hanoral and abihty to certy out comples tasks.
nia is attnbuted to the methodology of Cocame has marry be Iclure to pursue long term plans, the stu&es so well as the unique pharmacological properties which are reduced tolerance to frustration.
charactensti,:s of cannabia, whach is a similar to emphetammes (Fischman.
&mimshed commurucation skdla, compteu psychoactive substance.no -
NIDA Research Monograph s50,19H).
neglect of personal appearance, and melonry of stu&es suggest. however.
Cocame prtmanly affects brain slutaish mental responses. nese that the more comples a physical or functions. Cocame can induce feelmas l
charactenstics are not spectflc to cognitive task becomes. the greater the of suphona, rehese fatigue and chrome cannabis use, they are Sund bkelthood that detectable mantuana boredom, and produce effects which are
.uth a nurrber of psychoactive drugs, intoucation will sigmficantly affect or similst to local anesthetics (Washton pnmanly those of a sedative.h>pnotic impatt performance. Certainly, the and Gold,1*). Clien coceme e recent riture, and may be labeled "chroruc perforn ance of both routme and elevation to the statue of a major dryg of cannabis intoucation" (Fehr and emergency.related taske in a nuclear abuu. cocaine psychopharmacology Kala nt.1983).
power plant would usually quahfy as and stv&es of the general behanoral 1.asting effects of man}uana use may
- comples, effects of its consumption by human i
l impair the tractsfer of new information Long term studies of chronic beings are not as well developed as into long. term memory storage (Fehr maniuana un are lese conclusive.This studies of other drugs of abuseliones, and Kalant,190). Dere la incressms is attnbuted to the general Lnadequacy NIDA Reperch Monograph sto,19M).
eudence that long term. chroruc use of of reported data in chnical stu&es: poor Methods of consumpuon and amounts of maniuana may lead to advern health sample sites: and a lack of adequate dosage very widely. Cocame eIfect in the tndmduartCohen.1966).
&fferentiation between mtoucauon.
consumption has nsen dramatically in Howeser. empt ical endence haking the withdraw al and residual effects. nere the United States throughout the 19ece.
effects of chronic use to decreased is also en absence of before.and.after Cocame la heted as second amons the perfonnance is not as well deseloped as longitudtrial stu&es or regular unre top 20 controlled substmas a C4. se research on the acute effects of recent (Fehr and Kalant.1963). Evidence te a percentage messasa of 253 percent for l
g
- t 30800 Federal Resister / Vcl. 53. Na 184 / Thursday, September 22, 1968 / Proposed Rules ercertency room admissicas la e g yest lt should be noted that current routes of tremors, palpitatious. shnted speech.
penod IFrank.1Wk Cocame is a edaarustronon (mtrevenome, neoal, dysarthna, thtret enoretje, reydrisis.
powerfal drug. smale doses have been smokedl and dose concentretione are increased body temperature with known to induca seizures (Washton and much more mienee m effects than aweatmg. headeches, dittmes s. nauses.
Gold.1947).
chemot occa leaves and mey precJude and dierrhes (Siegel,1967L
- 2. Effects on Per an accurate companson other then
- 4. Tclercnoe and Wi&decwol.
pnmary ph)siolo,formance. The cal effects of cocaine anec&tal observetiene.
Tolerance deselope quickJy lit cocaine are cardios ascular: heart rete. blood Tests which meepered subjecie' hand-users. The effects on the ceritral nervous pressure. and body temperettre are gnp strength ud reaction time under the eystem which are sought for the cocastte ognificantJy raised fouomas ineestmaa mfluence of cocaine showed no "high* are rapidly lessened la frequent I
1 (Dyck 194*k The effects caused by sigmficant enhancernertt or decrement 6n or regular cocaine users (Washton and cocame are releutely short in dureuom.
performance (Fischman, NIDA Research Gold.1987). In a recent study, the Cocame heightens mental stueulaboa Monegraph sm 19N).
subjecuve euphoric effect increased in (Jones. NIDA Research Monooroph a m Substantial data eust th*4 mtensity to e peak one bout after 1964). Many coceme users betene that demonstrate cocaine's similentice to intravenous cocaine injecuoa. than ecaniusa and psychomotor tank amphetaminee ist that performance in decined toward the bonhne et four perfor=ances are hei ir. fluence of cocame. ghtened under thenoe eleep depnved eebWe le nether hours despite the presence of coastant Studsee do not erthenced nor impaired mth noemel support thta contenuon (Fischman, dosager, these druge are effectrw.
plasma cocaine lesele. Bla rapid I
tolerance deselopment u acute in NIDA Research Monograph am 19NL however. in retumitre sleep depneed Subiecus e mood profues of indmdaale sabiects to pre-depnvebon perforenerve' persons wbo use cocair.e on a regular be sia. Tolerance des elopment la under the mfluence of cocaine re u),d levels. For eternple,inhaletson of ey to heightened confusica enajety.
96 me of cocatne ellowed a simp-quantified as an esponaauel process based on the Ondmas of the study fnendhness. vigor, ela tion, arousal and deprived subtect to rerum to P*
( Ambre, et s? 1944L This acaste positis e disposiuon. t e. moods depnve non performance leve4e toleranca development accounts for the charactenstic of stimulant or (Fischman. NDA Research Monograph a='phetarnne use (Eschman, MDA em 19NL progreaane alterauco of the cecam Research Monegraph am 1964).
Cocause is chen used with other druge concentrabonletfect relabortstiip ut Cocame intoucation drstnaccally such as alcohol opistee, or CNS ndmduals (Arnbre, et al.1988k affects vteson. Studies have depreesants this polydrog use can aMect Smm of ddraal fra demonttreted that neien to hnpeired complex perforenance, however, epcetfic cocame can occur es es with relatively dunng cocaine intcrucabon: subjects performance effects have not been
@ dows ham M prenat m h reponed meressed sensittvity to tight, adequately studed ( ch.19er).
uur) symm. Due to acute tdenece halos around bnght objects, and Cocame see with a on may maak developmaat. Inenasms the frequesey d;fficulty foevsms the eyes (Siegel alcohol's effects, Le, a pmon may feel or eine of the doses fadn to prodeae the 1987) Dunr* cme study which meneured sober and alert under the tidluence of destred effecta. De euphonc effects are drmns performance of rubrects while cocame end alcohol though he or one ceaWy npW by dysphaete and intesicated on coceme 100 percent of may be egruficantty impatted (Stone, et gW smauoes of,,feehas bad the subiects reported lepees of ettennon 41,19M: S+esel 19E7).
(Ambn, et at,19esh while dnyme end ignones rolevent D,ym r,le opnp'ematic of
%drawel fouemns complete ttmuh. such as cher gM m trsffic e,gnels withdrewal or ebetmence from cocaine emanori of cocam use a marW by (Siesel1967). Cocame can increase abuse. Die is coupled wtth tmia%ty.
disturbesce and changee in sleep imtabibty, hnerescitabthry, and startle ertuery, hperoomnolence, eptoodic pattems. One erudy suspeers that there re s pon s es (De vis.1965, Siegel 19s").
unconsciousness. and attentional cheeses an madequately esplemed,by Swdden sounde, such as home or ettene, d)ofunction and stame dunrg the initial the tenn "psycholeccal dependeree caused colent respontee ta inteticated phase. Cocame smokere in one study (Jones. MDA Research Monograph om subiects (6 e., repid steenns ce besking nported taipeired drmas dunnt thie 1964L neee mthdrewal sympsoma pow w hde drmns an automobile),
tirne: sevecel weev tervolved in seperate e strons nesauve tacennve that makes it Studace have demonetreted that colhaione reoniting ta ma por infurwe very ddficadt to quit some cocame se cocame mtoncation mierferes mth the (Camn and h3eter,1see: Sieget.1str).
lone se the drug a avedoble (lones.
I acquisinon of tww behevior peneme
- 3. Pb NIDA Reeeeech Monc graph am 1984:
Perchohvoo/Syrne of Abuse,eni end bebaviorel eymptom, jonee ia WeehIon and Gold.1957).
th a t teq uire leernme (Fischman. NID A Research Monoerept am 19eek of cocatas abuse are marked by Further see foUowing mthdrewel can irr:pairment in inrmns bee been tmtatnhry, deanesed or dysfunctional prcdec4 tmtabihty, paranote, delusional evidenced in tae first 16-15 miestee atiention. restlesenese, kneevigdance, and conteeed thinking. and other ef ter mtravenous adretmetrobon of paranoia. and balluamenome (Seepet, unpleasant effecte leadmg to e cycse of cocatne: these effers see seen only in 1947k Chrorus or habitual use produces. ceasing and resuming tts we of constrm the shon terve arnmediately sher unacceptable imtability, persnoid and knowti as the "run"(lones m Washton a drrurustra tion (Fischman.1984: Welsh, delusional thinking, and other and Gold 19t?k ne nature of cocame 198th vaples sent effects (lonee. NTDA abuse m the workplece will preoomebly i
ne behef that cocame enhances work Research Monceraph em 19641 be cychcal mthtn mdmduele out nme perfonnawe beasse inca tadian Coc4me peychoeve may ocer with (DJont tn Washion and Cold.19 sit I
woriere chewed exa laaeas and prolonged high< lose cocame one
- 5. Discussion. Acute tolerance supposedly worted hardar to amt (Fischmen. N!DA Research Moncigroph deve;opment and nnte and unpleasant awpponed by recent reeeerdi. ne s E 1984 L withdrewel symptoma pese a two-fold swbrectwe terceptnee of wortas baidae Acute physical sywpome of cocame problem for cocame esert meressing is presee1. )tt there is eo smaa enreble use mcfude morsend blood penem amownts of coceme ere reqW M imorovemseg ta perforvi. ansa (Ptscheea.
end heart toto hy;wesemnon, biened eismtom the e.phorre 111gh* which N1DA Reecorch Mceugraph am tacet usica encnamed muecle tension, beceme, harder to actneve: and
Feder-1 Resister / Vcl. 53. Na 184 / Thursday September 22. 1968 / Proposed Rules 36001 ce:sation of coceme use is a ddficult the opium poppy and synthette druge 3, FAysico/ algns o/ Abuse. Opioid use and vannful proceu which coste eenoes that poneu &stinct chormcal may produce side effects of dmwOness.
doubt.s upon termma addiction to structuns. but sinular pharvascologscal consupe bon. nauses, eomiting. and cocaine u merely psychological chstactenstice to natural opiuas orthootstic b: potension (Woolf,in dependence.~
products. The terra "narconce'* La used Bennett. Yourskie, and Woolf.1963).
Acute tolerance development hit ders to desenbe this class of draa lWoolf. La Characteristtee of epioid pers include accurate studies of cocaine effects on Bennett. Voutskis, sad Wootl.1983).
pupillary constnction. depression, cegnitive and pnchomot6r N
- erformance. Afany smale ouse studits Opioids are used both le medical spa thy, or letherry. no.like symptome bave been conducted. yet their treatment and personal (rectunhonall are common eymptoma of opioid a pplicability to regular users (e 3, teasons. Opioids prunanjy affect the withdrawal, eg. wstory eyes, nausea i
multiple use on a daily besielle Cantist Nervous System ICNSL Opioide end vorrutti:3. mascle crernps. loss of Queshonable. Cocame has been much are among the moet effeceve drums appeute, and other eyinptoms (Blum.
less studied then other druge of abu e known to reline pair 6. Common effects 1964).
such aa mantuana or herstn. This le include mood changes, meetal cloudmg.
- 4. Tolercate cad W/fAdMWo1 partly due to the pharmokinetics of the ce more commonly, euphone. Natural Selecuve tolerance may develop with drus itself, and partjy due to the opioid druge tacJude opunt, herota.
opioid use, tolarante may deselop to mattention given to the drug umul the codeine. mad snorphiae. Syntheuo one effect of an opioid but not to othere 14te 1970s, wbea cocatse became very opioida include hydromorpbone (Woolf,la Bennett. Yourahta, and Woolf.
popdar.
(Dilan&d) osymorphoes (Numorphank 1963). Toleramas decreasse espidly Cocaine is a relautely faa4-ecces drug osycodone tia Pocoodam), hydrocadone followtag ceassuon of the drus. Chronic ud is quacAJy metabchaed and escreted (in Hycoden), methodone, propomypheme users may abstain from opioid une foe from the body. Peak eflects are uualjY (Darvont noper &se (Domecoll. and ebort penode of time to rega4a the "bsh" espenenced to to 20 trunutes after other synthebe vaneuona. Thoush these whlch the maestion, and tetal effecte fut no mo's vanous opioida have subde ddlerences tolerance y test due to acreased than 60 to 50 mmutes (Walsh and in the duranon of effects, withdrawaJ All opioids are ph)sically arid Yehay 19rl. Cocame e effects are p atterna, and absorpuca. the s.mdar to empretammee in that it pharmocolegic charactensuca of then paghologicauy aedicuve. Allproducs withdrawal syrnptoma mth incaudul sumulates the CNS and produces drugs can be desenbed for the vroup as ddferences in r>pe and sevenry. The feelings of cuphone. It hee been shown a whole (Woolf. in Bennett, Vo rakaa, degree Io wbeh ad6ccoa occure venes that exame does not sieruflcantly and Woolf.19&3). Opioids are Angastad among the opioida. Withdrawal i
er. hance performance not does it always intrannouly, orally, and by huoa.
Woma cas W dm For taMasca.
Herom overdose ranks first amoria the withdra wal frors morptJoe produore the j
$"eehovrever, top 20 contreued substancas based as fo!!cwtag symptoms is order of severity dec g
acute tolerance development definitely Mahm! HMH of unugency room and progneeson (4 to 10 weekel aftet coreplica'es the coe:centrabon/dr.ug nim. e Et { cant increase anace comeauon oNng var many was, a
e ffect eque tion. makag "normai.
C ne com bonsand utmme yawmag. nausa, vomsung, I
dosases and consequent aflecke of Percodan (llct! use) are hated as 5th and diarrhea, aweeung, cold / bot flasbes.
cocaine dd$ cult to define. As with O rank. M achmg Wa. muscles, and been amphetaminea, cocaine ne appears to
- 2. @ete on %rmcma Them am Winsa. tnmoc, mW opeen.
return sleep-dernved subjects to normal many known effects of opioida. Opeoide eleveted teeperature. goose desh.
1 pre depreivation performance levels, produce mental s.laudes, prcuate faulty 61sted puptie, bistree vstion, kish blood Cocaice causes paranote and juds nent. reduce hunger, induce feehess pressure restjeserwes. satety, auressaenns Cocaine abusen tend of euphons. reduce the abibty to trntability, incregned resptration. and tow ord wolence. euspicious-ess. and concentrate, reduce su dnve. produca irtsomrue (Wootf. sa Sennett. YourehM.
- 4ranoia. Ttere are senous impdiconona drow smess. produce spathy, reduce and Woo 4f. Ige 3 L he unres elcocame m the wortplace at acustty, and reduce aggreseive dnves
!! en optold wer to adecsed and i
a H in el Social mierecuen is (Woolf to Bennet, Vourskje. and Woolf.- tolerard of the eNects of cee op.oed. be tresumably worsened by cocaine see.
1963).
or she wsil uovaDy he tolerant of C8hcal"rvns of cocaine use by a Cegmtrve and ps chornotne w ork n create withdra wal and recstreng performenee are ge)neralj impelted by another if cow op+oid is subeututed for y
the effects of anothee then withdrewat ue sy mptores audi na trntabilary sag narcotic.hke druga. elthough the symptoms wsil cease unut the neceed lassitude todowed by the peeviauely dureuon and rutent of the impetnnent opioid to withdrewn (Wootf. la Bermtt.
a i
raentioned symptoma of chcorue use.
depends on the type of opioid the dose, Yourskie, and Wedf.1943).
Thus. whde Lt.e ur. mediate e(fects of the and the npenenes and dmg tastory of S. Ascussion. The opioide are a taree drug on the central nervous s)eten may the user. Ingestion of low to moderate clase of drugs pnmenly denved from the 4
not necessardy cause impairmeet, the amounts produces a short.llved feehng poppy. Opio d drugs are either natunt t
oserau effects on the in&vidul and his of euphone fouowed by a state of or spithetic. Opioids eneet CNS cr her mteracuco with othere an hkely ph) steal and mertt:1 relsseuon w+tich funcuons. pnmanly actarig as a pain i
to create performancs problefes in the persists for segeral hosts (Walsh and r clear power plant sertmg.1he Yohay.1984 relieg er. or, m larger de'ves, a a
hallucteogen. Cepuve and tenauoral effects of cocame during all l'w of otbee dmes with opio4de con ps) Aoenoter performence an Senaretty phms of memntonicauon. hangover.
produce addrtve eNects: coetbining impatred dottrig ervoid mtoucaton.
i dependence, and withdrewel-iirectly alcohol eth epioede produces marked Opioids are physiceHy and l
a'id mairectly impact perfortnasce, sedation and reeparatory depeoeson due psycholegieelty ed&ccet, with severe C Opiatn t the nedente etfacts of these drvre on witi 4rewl eymyeome d'ies the CNS. the can ind to abstention. tuurt op to 4-10 weeka
~
- 1. BxAtroed Optetes. or orionda, uncor.sciousnese ce deeth (WooW. Le (Wootf. in Bennett. Yearebs. and Wootf.
enccmpas: maruni drv(s densed insu Beanett. Vestebs, aud Woolf.1sisBL 1983).
i l
36402 Federal Resister / Vcl. $3. No.164 / Thured:y. September 12. 1988 / Proposed Rul:s Peticular attention should be given to may lut up to 72 hours8.333333e-4 days <br />0.02 hours <br />1.190476e-4 weeks <br />2.7396e-5 months <br /> Tas second 3Jhysico/Sisaso/ Abuse PCP licit use on the job of opioid based products. such as pam rehevers or other phase is charactensed by pand mal intoxication is mark td by &ffievities in, utzures. coma, and death due to prescriphon and over the. counter drugs.
coordmauon: severe confusional or MrfM** Nepes can impair on thedob respiratory depression followtes agitated state:inenphcable mood performance especially when combmed au.fficiently high dous.De secoad changea between lassitude and entreme with other druss such as alcohoi phase may last up to 7 days or longer.
(Moskowitz.1985).
De third phase is charactented by agitatioru moods such as suspicion.
schisophrents which may last a month anger, or terrort and erratic of violent D. Phencychdme or longer. De fourth phase is scuona (Baleter, NIDA Research r
I 1.BacA round Phencychdma charactenzed by PCP. induced Monograph sN.1906. Holbrook. in t
commonly know11 as PCP. was first depression. especially senous due to the Bennett. Yourakis, and Woolf.1943).
introduced m 195?. lt is now a major high hkehihood of suicide at this time
- 4. Toleronce and WnMroivol Animal drug of abuse and is hated as eth among (Holbrook. in Bennett. Yourakis, and stu&es have shown tolerants the top 0 controlled substances based H.1983L Perfoneance irnpainnent development followmg continuous use on na'tional estimates of emergency at any of thue luels is highly probable. of PCP (Balster, NIDA Research t
room admtssions (Frank,1987). PCP has Clinical cases have documented the Monopaph eM.19a6). Tolerance a venety of effects on the central severe debthf a tma physical and develops in human subiects with mildly nervous system lCNS). makms an pwchological effects of NP abuse and frequent (daily) un (Holbrook. m adequate classif cation of the drug the entremely unpre&ctable behavior Bennett. Yourakia, and Woolf 19s31.
&fficult. lt le best understood as a that the drus causes. Persone under the although impbcations of long-term use hallucmogen (Holbrook. in Bennett, influence cf PCP may precipitate hfe.
m m yet fully understood (lam. et aL Youra kis. and Woolf.1983). PCP can threatenmg situations due to the y
gg gg cause CNS stimulation and depression disonentmg and halluemotenic effects FaPh m M-with a great deal ch enabihty of PCP intoucation (Holbrook,in Animal stu&es have shown dramaut dependine upon the dose and type of Bennett Yourakis and Woolf.1983).
withdrawal s)Tnptoms followmg the PCP. PCP mtoucation berms several Stutes have demonstrated that PCP termmabon of PCP use, such as rnmutu after msnhon of the drus and can also theit beF evieral effects m users voca brauons; hyp eractmty: la ssitude.
i.sually lasts up to a hours or more similar to barbiturates or other tremors, and m one case. convulsions (Walsh and Yohey,190). PCP is well seda tive/ane stheues (Balster. N1DA (Balster.MDA Renarch Monogr. oh an knovtt for produems unpredicable side Renarch Monograph eM.19661. lt is 1986).Dese symptorns appeared 8 thin effects followmg intoucauon. such as obvious that heavy users of PCP would a hours of abstmence and were most i
acuie psychosis or fits of agitauon and exhibit motor impatrment. Task uvert at 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> (B41 ster, NIDA excitabiht). Intoucauon in low doses of performance requirms motor Rewarch Monograph sM 19461. PCP 6 to to rns of KP resembles an acute confused state (Marwah and Pitts. N!DA coordtretion. such as dnnns an has not been reported to produce A
automobile, would be signheantly physical dependence eten with chronic i
Fesearch Monograph eM.1986L Htsher d stupted by PCP (Balstet, NIDA use in humans. Ho n n er. psychological doses m excess of 20 mg can ehcil senous neurological, cardiovascular.
Research Mor.ograph s64.1M6). In fact.
dependence is nported frequently and ps)chotic reactions. In fact. PCP-several fatal accidents involvtrts NP.
among chronic users (Holbrook in j
6nduced psychosts is similar in effects to intoutcated dnvers highhshted severs Bennett Yourakis. and Woolf.1963) chnical schizophrenia (Marwsh and coor&anbon impatrment, acute Pitts. N!DA Research Monograph sR confusional state, and an inability of the S. Discussion. PCP is a comples 19A61-intoucated driver to thmk abstractly or hallucinogerus drug with daerse. and make reuunal decisions (1.4mer and often dangerous or lethal. behaw al f
effects on beans. De understandes of stud es of t be a ff cts of PCP Ms physiologic end ps)cholog.c "8
l gee in humans due to the volauhty and unpre&cta iht) of the side effects of in combmmuon. PCP signincantly eHecu on humans a stiu nlatuh new.
n KP. Also. WP a opulanty as a drug of erthances the effects of clanical -
gg gs well k3ew.n. howeur, that KP A:
abuse is relataely recent. Howner.
deprenant drugs, tecludma barbiturates an unusually dangerous psychoactae l
there are su.'ficient chnical stu&es.
and ethsool(Balster and Wessedet, substance with unpre&ctable cnmmal cases. and behanoral 1963. Bal ster.NIDA Research behanoral effecu.
l
{
obsenations that conclusively Monognph sR 1986L Un oN wM Wterm advern health effects of L
PCP up are sieruficant. Irreursible 1
demonstrate PCP's erreuc and sene
' '{y'y'""j' '"
snemory loss, personahty changes. a nd behaucral effects.
E' l
. E7ects on Ferformance. De nas an ad&use efrect on PCP thought daarders have been bebauoral effects associated with PCP intoucauert. and may emplam some documented. Spontaneous recurrences use are venable and often dependent behenoral obtenations of PCP d
h%%Wmph upon both the person and the intouca uen (Balster, N!DA Research Numerous fatehties due to PCP l
i ermronment. Clmeal studies h.ss e Monogteph *R 1946L ed idenufied four phases of KP abuse that PCP users ha v e reported unique Walsh and Yohey,19671 Obuously, I
may appear m successne states De tritoucating effects of the drug unhke h hmsbes of PCP fint phase is termed acute PCP toucity, those of other divgs of abuse. Howner, intoucation, chtoruc use. and Behauoral effects mclude self admmistrabon stu&es of KP rneal combataeness. cata orus, convulsions.
that pattems of abuse sirhdar to I]
d',8 *' h 8',"["' I'b n,, h be i
and come, all of which are dose related.
barbiturate and alcohol abuse dosage assumed that any use of NP wdl Visual daturbances. particularly intake is sufficiently high to caus, o gnificantly impair the abuser e short.
estoruon of s:se. shape, and estance marked behavioral effects (Balster, term, and perhaps perma,nt cegrutae percept on are common.The first phs se N1DA Research Monograph an 1986).
and ps)chomotor capabihues i
l l
[
4 e
g Fedetal Register / Vcl. 33, t.J.164 / Thursday. S:ptember 2.1968 / Proposed Rules 36803 E. Amphetamines CR 3196.1M3). High dous of development is rapid (Caldwell.1980).
- 1. Bachround Arnphetammes are amphetammes, however produce sa Chronic use of the emphetammes leade i
central nervous system (CNS) etaggersted sense of welj.bein stimulants. De term "emphetamme"is entryy. testjessness, urgency, g, highto development of a tolerance for the stimulant and appeute srppressant genenc and apphe, to the group of ovendeauon. sad gross temporal effects of amphetammc., even when s)mthetic compoundo denved from distotuon lCaldwell.1980),
adaurustered in low theraMutic doses.
ephednne (Holbrook in Bennett.
Corruuve and psychos otor tasi Chronic abuse leads tv high tolerance Yourakis. and Woolf th1). T. samples of performartce decnments due tv (Holbrook in Sennett. Youreksi. and common trade name emphetamines er, amphetamma use on a regular casis are Woolf.198J1 Benrednne tracerruc emphetemmeh highly Itkaly: "runa" or cycles euntlar to Amphetsmees ase psychologically Deterdntie (destreamphetamme); and cocame runs of abuse and abatmence addictive. Though no physical 4
)
Deso t yn (metha mphetamme). Th, are also charactensuc of amphetasune withdtam si symptoms occur following behacoral effects of amphetaminee er, abuse. Behavioral eflecta due to thsae abrupt discontmunhon of use, similar to cocame. however, the two c)cles of abuse would daectly tinpact psycaological cAanges. such as spathy.
j t>Tes of stimulants differ as that ceptuuve and psychomotor task long penode of sleep. trntabihty, ampt.etammes have e longer duration of performance. Secondary effects of depression, and d4sonentatioru may be behanoral effect stul greater tonicity emphetamme abuse such as hangosers, prominent for useral months. Parano.a than cocame (Holbrook: see Bennett.
rebound depressions, sad tasoauua li Vourakis. and Wooll 19s3),
dincuy tmpact cogruuve and may follow the first sesen days of withdrawsl following the abrupt Amphetamines are found in licit and psychomotoe task perforreanca, cessation of heavy use; delusions may j
ilhet forrn in generet, emphetamines Amphetaeune abuse among truck persist for up to a year (Holbrook in stimulate pulse; heart best; blood driun is ated as one esample pess ure. res piratiori; perspire tion; a nd.
(Cald = ed.1980).
Bennett. Voupkis. and Woolf.1M3).
at hieher doses. umase body Because of acute tolerance 5.Discusaeon Amphetamices temperature and basci metabohem rate de"lopment, there an fewer stimulate the CNS and card osascular i
splem. Short. term th)sical and simp;e (Ca'd w ed.1mo t.
performance decnmenta enpenenced by cennitive task pericrmance is l
a E*ects en Wormance.
resular usere of ampcetammes than by he:ghtened to a retner deerte by the wie l
Ampnetammes are widely used to initial users. One study resesled, of amphetamines Comptea cegnitae increase alertriese and fight fatigue.
howes er, that after the estabbshment of task performance is not Peightened by Studies base shown that in therapeutie tolerance and sustained drus levels the use of emphetammes. Small and doses. ernphetafiuries menase alertneas. throughout a 24-hour penod, drug moderate doses of so phetammes decrease faugue, elevate mood, and cessauce produced the follomne enhance cerruute and ps8homotor task frequeritly produce euphorsa. Motor priormatice effects performance performance on specitic and simple actaity to tacnesed and physical impairment miually decreased as the tasks. such as utilance, but these i
performance of simple tasks to drug level La the subject decimed.
performance enhancernents are lost as
)
improved. 5:eep patterne are d4strubed followed by secreased impairment se the
'he complesity of the task meresses and total sleep time is decreased adserse effects of drug withdreweL-(Chnwood and Nik sido.19t').
IHolbrook in Bennett. Yourekas. artd hyperencitabihty and/or dehrtum--
Significant performance decrements Woolf.1%31. Usere of small doses appeared (Dhn wood and Niksido,1987). occur as a result of scu'e telerance espenence a heightened sense of well.
- 3. Thyesco/ Signs of chuse. With high development, hangover effects, and bems. sharp attenus enesa. as incresed desee. gestromiestinal funet on may be withdre w si syynptoms, nus, enany acuity of refleses and idasha.auon altered. and nauses, eomities, diarthee, short term gains in ectn.tive and task i
(Cald well.1901 and cramptrg may occur, performance are outwevehed by the j
The effects of amphetamirw on Card ovescular signs of hoevy en adverse perforWance effeeis due to 3
ceslutne sad psychomotor task knclude headache, hypriens>on, pallot, reevlar use of emphetamines.
l priormance are med documented.
palpitatione CNS signs of heavy vee Secondary eMeets of amphetamme A mphetamunes improve shoes.terie mckde hyrernflenis, reedeHness. _
abuse such as "runs" and withdrawal ph)sicalperforuarice is a venety of telke tivenees, insomrtle, nelence, and "craones' mey adsereely affect areas. such as osdance performance increased hbido lCaldweit.19ect Kg6n tegnitae and psychomotoe task j
(the ability to attend to sensory mput) dose may result in emphetemme performance If used freqvently, rmotor perfcrmance lemimirans rurutas, ps)chosie whnh reteenbles e true i
amphetamine addiction is hkely, i
etc ) leamma or acquisition of motoe paranoid schisephrenis in the chnical Chrona users of amphetaminee are skil!s. and reachon hme. With sense. Arcphetamme ad&ctices is 1.kely to develop tolerance to the CNS contreued doses, the adverse effects oss prc+eble mth contmued or frequerrt use l
ph)sical performance were staamal (Holbrook in BenneLt. Yourskis, and enects of emphetamines as well as ps holoccel dependence. Withdre = al (NURI4/CR.3714.1M3L Ssople short.
Woolf.1963).
symptome are psychologieel and term coerutne performance, such as Eudence of stimu.lant intombeaucri $n produce e sanety of adverse behaviceal performma repetita e tasks which ehot the form of h)perescitabthty and effects w hich directly impact cognita e i
fat que or beredom: simple math tests:
detenoration of dnsing ski!!s occurs and psychomotot task performance.
sercal ebihty tee's leertting of mual with incressmg doses (Chawood and Similar to co<4tse abuse. the nati.re of mform.auore arid enhanced ability to Niksido.19f') Aggression atd stolects amphetamine abuse in i8 e workplace read and uriderstand a foreisa lang6. age are potenttal side effec.ts of Egbet dotes will presumably be cycbcal withia irrtrosea with coritrolled doses of sitmultants. H Shly tosis dans can m.:Lviduais oise time LHariL 19s')
INutEC/CR-3lm 1683L Testa of induce tallucmeuon. debrium. and cegruuse tasks tsqmns relatively more delusions (Ohnw cod.1971. Chnw ood F. S ummary comples skille s.s:A as calcuha did not and Nik aido,1987).
Une clany of the (We date.....i I
show performarke changee under the L To.'ercace c>td WitMrowal $Udas the preca6na cLwuseaa cas dtreedy l
mfbence of aspetamtnee (NURI4/
to cocame amphetamme talerance and md rectly effect or impair on tne9ob I
(
l l
36404 Federal Resister / Vol. 53. No.164 / Thursday. Septemb:t 22. 1984 / Pre *osed Rules performance through intostcation.
A. Analysis of Blood Plasma urinalysis. While chnical studies usms l
haneos er, dependence, or withdrawal ne analysis of blood has some uhva have been conducted for a Cfects.
sismficant advantages over unnalysis.
number of y ears (Caddy.1964). saliva Emphasis should be placed upon The mam edvantage is that there is a testing currently does not represent a esammirs all phases of drug use m the much more & rect relationship between viable attemause to urina.ysis lWalsh werkplace, smee drug seekmg behavior, blood levels of a drug and impatrment, and Yohay.1987). Analyses of sahva for admmistration. acute and chronic since levels in the blood are more purpons of detecung maniuana up, for mtoucation, hansont and withdrawol
&rectly reflective of effects on the CNS.
example, have fourid that such things as phases of drug usate may all have in the can of alcohol. of course. legal food consurnption and mode of angestion detnmental effects on mdividual and hmite defiriing probable impairment can dramshcauy affect the abihty of tea m performance (Walsh.1967),
have been totablished in state law.
assan to detect manluana use (Hawks.
1 The present abihty to predict the Equivalent standstds for other drugs are 19s2). Also, thue to rarely a luge tehancral consequences of drug use is not generally available, but en analysis enough volume of specimen for I.mited. the abihty to accurately pre &ct of blood can identify the entreme cas,g confirmauon psrposes, the specific behavioral performance of w here there is no doubt of impairment.
C. Anal)sie of Hatt an individual under the influence of a riowever, current data are mouff1cient to ce:tsm drug is mmtmal(Walsh.1947),
estabhsh cutoff lavsla to dist cruish One drug testma technique involves One appheable measure of drug.
between impaired and untmpatted the use of hair. Hair can be und to induced impairment in the nuclear in&viduals (Consensus Report. Nov. a, identify where there has been a past industry may be intury rates. As one 1945). Blood testa are useful in post.
h story of drug use,la fact it can researcher states. A common but accident analyue tf the avbjects can be prende mformation on drug use over a
. incomplete and poorly understood sampled quickJy. Another mmer much longer penod than can unnalysis thre ad that passes through inNry repons advantage of blood testmg is that testa (Baumgertner. Black. lones. and Blahs.
is the frequency with which alcohol and can usually deal directly with the drug 1942). However. hatt analpie has not of mterest. rathe? than one of its been validated entensa ely enough in th.:ss are involsed (W,alsh.1987).
metabolites (m urtnel, and may thus clinical stud es to make an adequate A rwiurheity of vanables avoid some of the problems with cross asussment ofits suitabihty for general i
c:mWcates the crut dosage /
re s cuen.6 drug screerung. (Walsh and Yohay, m.patrment relationship; the type and There are proolems with testml blood 1967)/' (Puschel. Thomasi h. and Arnold t
potency of the drug. patterns of or plasma.however.One of the most 1943). This is a very expensive test.
consumption. the m&vidual'a physical significant is the higher level of which would prohibit its use for a large and ps hological charactensues. the iritrusiveness (Dogoloff and Angarola, volume of testa, especially the trutf al enuronment m w hich the drug is used.
1965). W drawmq of blood involves screerung tests. A more appropnate and group mteraction. However, three pain and treama for some: concern appheation may t e for obiecuve gererahrations may be made regar&ng about AIDS would hetehten the artsierv.
&agnosis of a patient's drug history.
}
tr.e drug dosateltmpatrment though unnesonably. The collection of relat.cnship: high doses generally hate samples would be more espensive.
D. Analysts of Speech greater behanoral effects than low requinns tratned me& cal persortnel Another technique insolves the j
deses, well.leamed tasks are less (Welsh and Yohey.1987),
analysis of speech to determme tht state 4fected by drugs than novel tasks. and Nre are also particular substances.
of a person's intoucauon. Since druge
]
meta anon regardes the task is an such as cocame, with such a short half.
affect the neurotransmitters end.
i i r;ertant factor (Walsh.1947) Further.
hfe in thA blood that the chances of receptors m the breta. the speech of the 1
t*e sNd:et coric!voisely demonstrate identifpris users through blood tests are alcohol or drug var is affected mtam tehavicral effects of drug use substeaually reduced (Washton and accordmsly. The measure of impairment 13 41 epair the user m a sanety of Co!11sg71. Also, the concentration of te dern ed trom the"time and frequency natra e. psghological. and social rnetabohtes tn unne la sometimes higher of spchen numencaldmts.This 9
performance areas.
than the concentrahon of the drug in technique is antended to be a measure of A cleu telanonship has been plasma, as in the can of amphetammes -impairment of a subiect at the hme of 1
i deanonstra'ed among drug us, (Nelson and Moffat 19m in etarrunation. and should evcad i
heaspecific desagel, general behauoral AirThetammes ond /tslosed Su.mulants) challenges based on invasion of pnvecy, l
effec's, and impatrment. it la obysous and cocame IWashton and Col 11947).
It is not a test for pnot un of drugs t
j from the research that up of any og In general druge and their metabohtee where measurable impairment no longer i
i thse fa e drugs or tnes of drugs alone can ha 6dentthed over a longer pened of eusts. Smco the impamng effects of i
er m combmauon has the overwhelmmg tt tie through unnalpie (Washton and drugs are usually of bnefer duration i
rotential to tmpair workere tn the Goli198?h than the desactable tools in unne, the perictmance of thett duues.We B Analpie of Sahva epportunities fer detection of drug u,n quesuon is not whether drugs impatt N ad m of uh b ncWeg are soroewhat less than with unnelpis.
corsiderabfe attenuon performance. but how they de so under L Analpis of Other $pecimens ga en circumstances.
R a diotmtr une a s s a y (RIA) proc e dure s i
Il dl:erntaes to Urmc/pis for tee ~
absa aust also there la a g"jW ds op n al stages.
5 The Com'mssion censidered
' "[y *f ofbls u of Foe esemple, breattahsers are being techniques for analptne blood breath, uhva s. v' J some of the dev eloped for testmg for manjuana j
sala a. fegernails. and bes'inwave mtrusas J embarrassment of smekmg Ce.tershied tests are being patter *: and cencluded that there is no developed for body fluide rangmg from uaWe s.bsutute for unnalpia in the sweet to mucous from the ops.
near future. e;ther techrucauy of o
Techniques are bems developeu to practicauy.
a.. u,, %. m,, w g..,,,,,,, a. m.*....a s.,,,
analpe brammase patterns and i
e erw.
e e to.e. i m I
i Federal Redst:r / Vol. 53. N2,184 / Thursday. September 22, 1988 / Proposed Rules 3"05
> tre eye movement. Anaylsis of Guard personnel are down from to The Federal Aviation Administration 4
Mr: nails is also being considered.
percent in 1983 to 3 percent in 1986: this (FAA) prohibits flight crowrrembers
'i w r. a revie l of the ltterature
.aC :es that the techtdal basis does decrease is attnbuted to a random drug from being under the influence of testing program (Bureau of National alcohol or drugs. Teste must be taken not yet exist to support a legally defensible. wide scale use of these Affairs.1987). In all three cases the within four hours of acting as a techniques either for screening or reduction was measured by the rates of crewmember when there is a reasonable confirmatory purposes. Since urinalysts confi:med positive tests during random basis to suspect a violation. The FAA testmg appears feasible *in the short run.
drug testing and the observec' leeresse has suggested that random and other ttchruques will not be considered In rates followed the implementation of scheduled drug and alcohol testing may at this time. The Commission will the random drug testing program. This be needed for flight and certain ground contm e to momfor oevelopments in r attera is consistent with what would crewmembers to protect the public other testing technologies to determine be expected if ru.d:m drug testing was safety (December 9.1986. 51 FR 444331 when and if they offer an improvement to have a strong deterrent effect.
A DOT proposed rule that would require over unnalysis.
Although other factors, such as drug random testing of airline employees education programs. negative press involved in flight operations and III. Roa km Testing and Ahernorte.,
associated with drug abuse, stringent mamtenance has been published in the RatJom testmg (unannounced drug disciplinary action, and a better Federal F rgister (53 m 8386).
testmgimposedin a statisticall random selection (hinng) process' may be The Us. Coast Guard (USCC)is the rnrnner) serves *wo purposes: tection affectmg the results, available data pnmary mantime law enforcement and deterence.it would appear that any ndicate that there are substantial agency for the U.S. It has proposed reductions in drug use associated with regulations prohibiting operation of a be d.in st r d o t ap on the mplementation of a random drug vg e mto ted(F b a 9.
completma a iest is immediately el ible ng program.
for anou.er unannounced test woul The De artment of Transportation opera tors, intoxication is defined to Se satisfy entens for deterrence. Several (DOT', ha been the leadmg federal 04 percent by weight or more alcohnt in potential alternahves were considered, agency in implementing drug testing the blood or when the effect of alcohol includine employee awareness. other programs for pnvate sector employees or an illeest drue on the operator's t>Tes of testmg (preemployment, subject to federal regulatory junsdiction. manner or benavict is apparent. For announced enodic, for.cause t(c.).
None of the agencies in the Department recreational operators, the only reliance on chavioral observations and currently requbes random drug or difference is that the applicable the Employee Assistance Program, alcohol testing of private sector percentage is 0.1 percent. The USCC.s vanous secunty measures, and employees, but such requirements are preparing a notice of proposed combinations of these alternatives.
being actively considsred through rulemaking cove ing use of dangerous One goal of the Commission in proposed rulemaking.
drugs by merchant manne personnel.
proposms this rule is to bnng about a nuclear power plant workplace free The Federal Railroad Administration The option being considered is a from the 6ffects of drugs. Such a (FT.A) has detailed regulations covenn8 requirement that individuals applying workplace would ensure, to a large alcohol and drug una by railroad for licenses, certificates of registry, and measurs that impairment of function employees whose working hours are merchant manner's documents provide from drug use would not adversely regulated under the Hours of Service the results of drug tests before issuance Act (15 U.S.C. 61). Under the provisions or renewal (See entryin Unified Agenda fp'r
' ea o
e a po p ant of 49 CF'R Part 219. ernployees are of Federal Regulat'ons published on ns Octobec 28.198h $2 FR 4058:1.The effects of drug use would also help pr hibited from using, possessing, or proposal also addresses the need for assure the reliability of the nuclear being impaired by alcohol or controlled power plant workforce to properly substances while on duty. Blood and tandom drug testmg.
The potenuafaltematives to random perform activines that require
"#*' "*EI *I'*EIOY' '"volved in artpulous adherence to rules and railroad accidents are to be taken and ur announced dnig testmg are many and rocedures. Random testing appears to pruerved. Railroad comparues may -
.aned. They include the following:
- Take no alternauve action:
e an effectae means of achievmg this require breath or unne testa from
. Testmg before employment or goal. De Commission concludes that employees when there is reasonable badsmg:
unannounced random testing is a strong cause for suspecting prohibited use of
. Penodic drug testmg (announced deterrent to drug use. js a neceses alcohol or drugs. Railroads are required testms):
elernent of an effective fitness.for uty to administer a drug test to new program, and that no alterna tive or employees covered under the Act.
. "For.cause" drug testmg:
. BehavioralObservation Program:
combination of attematives would The Federal Highway Administration a MedicalScreenmg:
provide an acceptable level of both (FHA) prohibits interstate comreercial e Employee Assistance Programs deiection and deterrence.
truck drivers from using amphetamines.
(EAPs):
Systernatic data on the efficiency of narcotics, or any habit.formmg drugs.
- Access Authorization Program:
random testmg are only available from and also requires that they have no
- Workplace secunty measures: and the vanous programs implemented by current climcaldiagnosis of alcoholism
+ Employee awarensss and education the Department of Defense. Illicit drug (49 CF"R 391.41). FHA la prepanns a programs.
use m the Army has been reported as notice of proposed rulemaking that will Although systematic data do rot esist droppmg from 29 percent in 1980 to 11.5 propose a comprehensive drug control to compare lhe efficacy of these percent t-1986 (Raeren 19871. In the program applicable to all drivers in approaches. the literature and the Nr.vy, rates have been reported to have interstate commerce (See entry in findings of the staff's data gathennt dropped from 47 Jercent in 1981 to Unified Agenda of Federal Regulations acuvines do suesest see +&;es around 4 percent in 1986 teited in C &
published on October 28,196h 52 FR asid disadvantages for each. Dese are EN. June,1986). Ratea amotig U S. Coast 40610),
discussed below:
m
36800 Federal RIsister / Vol. 53. No.184 / Thursday. September 22, 1988 / Proposed Rules A T4e no Alternauve Action encueh to guarantee a "clean" sample.
Should the testing be announced.
The first alternative to random drug New testinit techniques are in the immediate, pronounced disciplmary testmg to be consicated is to take no process of being developed that may be tetion could be taken without concem allemative action. This is clearly not a capable of identifying previous (several that the action is inappropnately severe.
56able allemative. Statistics 8Vailable months) drug use. However, these becease any employee who cannot on drug use in the workplace indicate techniques have not yet been refmed.
remsm drug. or alcohol. free for an that a significant minenty of workers Consequently the ability of announced test most likely has a severe base or are currently abusmg drugs or P'"*PIOY*'"I '* detect substance substance ab9se problem and displays alcohol m the workplace (Neunter.1985),
abusers currently is inmitro. nsen so, an obvious disregard for the safety of While the exact statistics very trom or.e licensees rep rt that. typically,e percent the public. co. workers and self.
s:urce 'o another a middle raoge of m te of 8PPliC8nts for employment or it is apparent that announced, estimate is that appmuimately 10-25 unese rted access to a power reactor penodic tests would not idenhfy some percent of American workers abuse are tested positive-drug abmts that penodic or random drues and alcoholin the wor'cplace.
pnman duhantage to using.
unannounced testmg would identify.
While the incidence of drug abuse in the prumploymmt tutmg as an altemative and that the deterrent value of t random drug testing is tb it it in no nuciear mdustry can be expreted to be low er. based in part on the oxisting way address., substance abuse or announced testmg would only be short.
term. Announced, penodic testmg would depuducy problems among the Le less effective in detectmg abuse of secunty measures at power plant sites cnd the relatnely aggressne fitness.for.
w rkforce subuquet to employmt.
drugs that are rapidly metabolized. such duty proarams that charact enzr. the Apphcants who pass the preemployment as cocaine. it is expected. howes er. that mdustry, the potential for drug abuse testmg and become employees may an announced. penodic pregram would still exists. The fact that approximately nnu face inung again. The deturnee idutify some regular users of two. thirds of the power plant licensees fact r. tmphen n random dng tuuni presenption drugs, and users of r!owly E ##' * i' ' 'e t.Prnmployunt metabolized drugs auch as manjuaria, have not implemented random testing 5b when programs. some because of union ft 2r et7o to ee Because announced. penodic tesurg ng d al mten ention or prohibition by State currently expenenema chemical E ""'
hws suesests that significant dependency out of the workforce and is reducuens m the abuse of drugs by nuclear utibty workers could be realized thus a necessary part of a total fitness.
i when the preventive and deterrent for. duty program but is riot sufficient in itself*
random tests at identifying and effects of industry wide random testing deternng the occasional drug users.
programs are realized.
C. Penodic Drug Testing (Announced None of the industries surve)ed in Testing)
NRC's review of other regulated B estmg Before Employment or
' 3*8 Periodic Testing appean to have fm industries or those c'esenbed in Testmg before employment or badging if any, advantages over random testmg.
literature have adopted this approach.
Penodic testing, whether announced or D. For.cause Drug Testmq is conducted by many employers to ensure that tridividuals who cannot meet unannounced. may be perceived by employees as less disertminatory than A foxaun tuung program hu fitness for. duty standards are not placed random testing in that, on a given date several positive features. In a prgeh mto sensiuve lobs. Considered by c// available employees are tested. !n a implen'iented program. when ture n ir.dustry as the hrst hoe of protection random testmg program. some caun for a supuvisor or cowkn e, sumst drug problems, preemployment employees are selected at random and suspect tb.t an employu is unfit er 6 testme is specifically used to c' ctand tested. Because it may be impractical to theq,loyee has been insolved m an on.
emp identify the nature of drug us if any. by test the entire body of employees on any ob accident, tneimployee is ea en a job applicants, ard to identify abusers given day, utilities may opt to use a complete physical exammation which pner to hinng. Although screening has random testmg program. Under rendom includes drug testmg. This exammanon focused on drug abuse, most large testme. some employees may may identify health problems other than irdustrial comparues now include tests coincidentally be tested more frequently drug abuse that hase diminished the for alcohol as part of preemplonnent than others, and the utility may be employ ee : ability to perform. 'fety.
ten s (Willette.1986). Individuals with required to prove that the selection related responsibilities. The l
r ve results generally do not receive process is truly random in reponse to a examinshon ein also include testing for foraer consideranon for employment legal challei.re lf testing is announced legal drugs of potential abuse such as
(.\\f cClella n.1984 ). Preemploymen t erd scheduled at regular intervals.
alcohol. over.t.'e. counter drugs and testme is currently the most prevalent however, all employees we'uld be tested. pruenphon n,ea.
l t>pe of drug testmg (Hansori,1986).
equally, at least theoreucally.
A for-cau.e cmgram may have fewer Virtually es ery nuclear power unlity Further,if selection for random testing legal problema ihan a random testing currer.tly ei.1ployees this type of testmg.
is truly random, an employee could.
program beceur ere a a specific l
Preemploy ment tesong has some strictly through chance. not be selected reasonable r aw fe d e indmdual test.
disadsantage. As part of a cornoany's for testing for an extended penod of in a random inw; vrupun ~ a icyal hiring policy,it will certainly t - known time. As a result, employees with justification.t diat we as a pnehii y I
t to most appbcants. This knowied substance abuse prob' erns may not be that impattt- ) mmyces are ptnut removes any element of surpnse,ge detected in a timely manner, and their who represa r.t 4. tr ential nat to m:.
i essentially makmq it an announced test abu." problems may meresse in seventy safety of thems! eses, their co-workers and therefore, allows apphc.;its to be befoie iney are detected in the random or the public. Ilowever, when a tw.
prepared for the lest. A sophisticated or testmg program or the behavioral cause test is conducted. the emeloya in "street smart" drug abuser may be able observation program. Penodic testing question presents an inda.di.h.
2 to noid detection andless frequent could ensure tJint all employees are suspicion ofille1151 conduct. Arther if users may be hkely to abstam ions tested with adequate frequency, the motivation for testirig is the
Fed:ral Register / Vol. 53. No.184 / Thursday. September 22,1988 / Proposed Rules 36807 insestigation of an accident, the utility pres entative. Therefore, with the from duty the emloyee whose job has a clear responsibility to do exception of post. accident testing. the perfonnance may adversley affect es erythmg possible to identify the cause value of for.cause testing is highly of the accident to ensure that similar dependent on managers and co-public health and safety.
accidents are preverited in the future, There is a body of legal precedent in workers' abilities to idenfity employees
}',*
e'h vior nt s to who are impaired and an organizational 7,;
n v
, 9n,,
support of for.cause testing from various culture which allows managers to The pnmary disadvantage is the mdustnes with safety concerns, require testing without disruptme reliance on supervisors' be,havioral fr.cludi3 railroads, transportation emplo)er/ employee telationships or
,,....___,...._a.
compa.v s. and the aviation industry, incurrms adverse consequences. Thus, in'$~b~i'd"N'h"nI[n'5ir b[n'b to Some of the leadmg cases supporting enhance :1 supervisor proficiency in fel7ance cha'vioral N
b n
for.c ause testing include: Schmerber v.
behavioral observation through training su erv so California. 384 U.S. 757 (1966). (blood and expenence, and strong support from assessment skills can be undermmed by tests for alcohol on drunk dnsing company management is important in the fact in the course of a regular work arrest): Division 2n Amo/gamated the administration of for.cause testing.
d.su 3ersha e ! e. I ny.
Transit Union v. Suscy. 538 F. 2d.1:64 While for-cause drug testing is an 9
9,
,ihey (7th Cir.1976), cert, denied. 429 U.S.
important element of a fitness for. duty have received through training. If 1029. (blood and unne testing of bus program. it does not appear to be an training is provided on an annual basis dra ers after an accident upheldt acceptable alternatise to random only, the skills can become rusty and Shoemaker v. Hande/. 795 F. 2d 1136 tesImg.
heighten any reticence the supervisors (3rd Cir.) cert. der,ied.107 S. Ct. 577 may have truttally experienced in (1986). (unne and breath test for E. Behavioral Observation Program utilizing these skils. Also, while the' hcensed jock eys upheld): McDonne// v.
behaviors displayed by an individual Hunfer. 80J F. 2d.1302 (Sth Cir.1987).
Behavioral observation programs are intoxicated by alcohol are obvious and Itestmg of pnnn guaros):of RLE4 v.
intended to enable supervisors to detect recognizable to most observers, the changes in an employee's behavior and vanous effects of the wide spectrum of Burnley.
F.2d (9th Cir..
decided February it.1988) to initiate the appropnate corrective drues currently abused may be less action. usually a referral.o the familiar to supervisors. further A random testmg program can be Employee Assistance Pro espected to be a stronger detenent to mitial evaluation and for. gram (EAP) for dismmishing any confidence in cause testmg.
recognizing impairment. or allowmg chrome drug use than would a for.cause Supevisory refenals typically occur impairment to escape notice (Wnch.
testmg progra i. When drug tests are when a job performance problem 1988).
administered to all employees on a random basis, a chtoruc drug uur can becomes apparent. In these ecses. the supervisor is responsible for identifyia evna an nt supW. sory e spect, sooner or later. tn be identified and documentine ^e lob perft Nnce N
~
I" natum. 5 through the progrma. Some 12erature on decrement. In '
Jn. he or s.se meets supervis r,...ae include (1) the chronic abusers indicates that they can with the empi
,1
'a desenbe the a desire to help the impa, red i
effectively hide their drug or alcohol problem. to refer s employee to the employee, rather than expose him or her problems from supervisors and fellow EAP. and to indicais that continued to potential disciplinary action. (:) a employees for a considerable length of impaired performance is likely to lead to belief that the formal system (f. e., the tirne. On the other hand, an occasional disciplinary action or termination from Employee Anistance Program (W dra user could hope to escape being employment. "l?ie supervisor is should be used only as a last resort. and datected by a random drug test.
discouraged from trying to diagnose the (3) the attempt on the supervisor's part especially if bo:h the tests and the
'mplo> ee a drug use are infrequent. In root cause of the problem or from trying to counsel the impaired employee to provide any counseling (Trice &
(Hoffman & Roaran.1984). The either case. if supervisors are highly Beyer.1984: Hoffman & Roman.1984).
Ponibility that an employee could lose proficient in observmg probable ne EAP counselor takes the nis or her job, nuclest safety impairment, the drug. abusing employee responsibility for these tasks and for -
responsibilities, or unescorted access may have littla expectatien that he or refening the employet to appropnate clearanace if found to be unfit for duty she could be impaired on duty and avoid resourc:es (the e sme procedure is may make supumon in the nucleu a for.cause test. Knowing that fellow followed when an employee self. refers industry just as reluctant to refer the workers are d3ciplines for on the.iob to the program). lf the employee's job employee as supervisors in other impairment also car be expected to performance does not improve then industnes in similary circumsiances..
deter employees from being impaired on disciplinary action is taken.
A number of program components l.
the job.Therefore, for tause testmg The training that supervisors receive, that can encourage supervisors to make l
might be mort effective in deternns usually from the EAP staff. in observing referrals have been identified irtthe users from bems impaired on the job employee behavior may allow them to literature. In addition to a clear than would a random testing program detect problems that may be missed company policy and strong management alone.
altogehter by a drug screening program support for the EAP. the importance of There are two principal disadvantages or that are obvous to everyone once the thorough and ongoing supervisory of for cause testmg as a substitute for problem has reached severe proportions, trainmg has been consistently random testms First. for.casue testing.
Whereas a sophisticated and "street emphastred in studies designed to as discussed above,is likely to be a less smart" drug abuser may be able to avoid identify factors that increase EAP offectise detenent against chronic drug detection from drug tests. he or she is effectiveness (Cregoire.1979; Morgan-use. Second. lf manage ~rs are unable to unlikely to be able to maintain lanty.1982: Martin. Heckel. & Long.
{
identify impaired emplo> ees. for.cause satisfactory levels of job performance 1984). Providing consultation services by tests will only be administered after a on a day.to-day basis. As a witness to EAP eounselor for supervisors and gross indicator, such as an accident.
the employee's daily functionmg. the continued program promotional efforts shows that the tests are warranted:I e, supervtsor represents a significant P g. posters and notices in company the test will be after the fact and not opportumty for identifying and removing ne vsletters) have also been suggested u
368CR Federal Resister / V:1. 53. N:.184 / Thursd:y. September 22. 1988 / Proposed Rules as a means of encouraging su ervisory C. Employee Assistance Programs referrals and supervisory referrals.
referrals (Hobson.1981).
A prehminary rniew of the literature When the employee self refers.he or sha While an effective behavioral pertaining to Employee Assistance may contact the EAP counselor directly observation program is an important Programs (EAPslindicates that EAPs or seek assistance from a supervisor to anani of a titness lor. duty program.it can play a significant role in assunng make the contact. nt EAP counselor does not appear, alone, to be an that persons with unescorted acce is to then meets with the employee to assess acceptable alternative to random nuclear power plants are 61 to perform the nature of the pro,bleas and to testmg.
their duties. ne maior adu alenes of d'termine wbet twources are needed to F. Medical SCnenmg the EAP popicah is that tM EAP can nsone it. ne counselor may provide respond to a brosd spectrum of fitr.ess.
the requirird assistance in some cases.
A method currently used by one for duty probleru. such as psych @gical kt on inquently will refer the bcensee is a medical evaluation for stnse. that cannu be addressed in a emdoyu to exisung nsou ces in the fitness of randomly selected employ ees random drug test! sg program alone.
commumty.ne EAP counselor to establish a basis for the collection nere are several disadvantages to this maint.nns contact with the emple n and testmg of urine, approach, however, that suggest that the during the problem resolution phase and The employee l' 'nedically evaluated NRC may now want to rely on EAPs often acts as a coordinator between the in three areas: chemical use or alone to atsure a workplace free of the employee and his or her supervisor dependency, physical well.being. and effects of alcohol and drugs.
while the employee receives inpatient ps)chological well being. Chemical use EAPs have been defined as "systems treatment and when the employee or depenetney is estabbshed by using to provide professional care to nturna to work.
eye evaluetion techniques covenng such employees whose job performance is or
^8 d'scussed previously under the items as pupil size. pupi! reactior, to may be adversely affected by Behavioral Observation Program.
hght, and the abihty of the eyes to alcohobsm.d:ug dependence emotional supervisory referrste typically occur cons erge on an object coming toward problems. family ddficulties. legal when a job performance probhtm the nose or to track an object from side issues, sottrug disorders, and armilar becomes apparent. De EAP counselor is to side and around the face. In addition, personal problems (nat not only threaten responsible for diagnosing the root the condition of a patient s skm. nose tne employee a effectsveness on the job cause of the problem and for refernns and mouth, coordination. and ref;ex but also tend to trigger a whole range of the employee to appropriate resources response are evaluated. Some of the health problems"(Blair.1985) nus, the (the same procedure is fo!! owed when evaluation is quite similar to field EAP attemative is relevant of the entire an employee self. refers to the programl.
sobriety tests conducted by locallaw range of fitness for duty p oblems.
If the employee s job performance does enforcement agencies. Physical well, he EAP bterature descr bes several not improve, then disciplinary action is being is reviewed through a complete program e.'ements necessary to the ta en.
evaluation of vital signs,includmg blood successful mlution of employee Although the hterature suggests that pressure temperature, pulse, respiration' personal ps ablems (McCaffey.1978; an EAP can serve as a valuable toolin and Feart rate. A medical history survey Sonnenstuhl & O'Donnell 198&, Foote &
assunna that employees in the nuclear is also conducted t jetermme the Erfurt.1981 Philips & Older.1981:
Industry are fit for duty the pnmary current medical ans of the employee.
Roman.1981: Bierman 1982: Walsh.
benefit of en EAPlies in the potentialit Psychological well being is determined 1982; Gam Sauser. Evans, & Lair.1983 represents for assisting employees to through a question.and. answer session Wrich.1988). The "ideal" EAP ba s been overcome personal problems that are evaluatmg mental awareness, desenbed as including:
not alcohol or drug related but that may depression. paranoia, self.es. tem.
- Management support for the EAPin interfere with lob performance. For anuety and job stress. abnormal the form of a wntlen pohey statement example, the psychological stress personality traits. and major hfe desenbing the program and explicit associated witn mantal or Gnancial changes' wntten procedures for implementmg the difficulties can, impair performance of There have not been sufficient data program job responsibihties but will sbviously not be detected with drug testing.
collected b) the hcensee to estabhsh the
- Support for the EAP and effcetn eness of the medical screening cooperation from employee unions.
ne EAP staff is typically responsible approach. There has been a relatively
- Clearly defined job performance for conducting employee awareness standards, training. and for trainmg supervisors in low rate of testing and of those few actually submittmg utme specimens for
- Well. trained supervisory etaff and behavtoral observation techmques, testmg. less ihan one half tested knowledge of the EAP among nere are regarded by the NRC staff as employees, irnportant elements of an effective Positive.
- A recognition by management that Progra m.
l It would seem that a strong behavioral performance problema can result from The EAP Sterature typically discusses observation program with highly trained many different causes, program effectiveness in terms of the and preficient supervisors would have
- Program staff who provide problem benefits at.crued from program advantages over infrequent medical diagnoses, appropriate referrale, implementation compared to the costs of screenma because the supervisor would Ireatment coordir.ation. and fellow.up, the program. A riumber of studies have haw opportunities to observe more
. Comprehensive treatment documented benefits along several people more frequemly. It would appear l
resources, dimensions. nese dimensions include l
that the medical screening attemative
- Health insurance cc erage tha't la reduc.d employee turnover (Gam.
would be less effective than rando.n compatible with the EAP or company Sauser. Evans and Latt,1981). reduced I testmg at detecting and deterring provided treatment funds.
training and employee replacement 1
t occasional use of drugs,
. A program evaluation process, costs (Starr & Byram 1985) reduced Medical screening does not appear to
- An adequate budget.
employee utilization of insurance l
be a currently viable alternath e to Employees typically gain access to benefits (Foote. Erfurt. Stra uchy. &
tandom testms.
EAP struces through Iwo routes, self.
Garzardo.1978), reduced costs
Federal Rigister / Vcl. 53. No.184 / Thursday Septernber 12. 1968 / Proposed Rules 38809 associu sd mtb loadental abeence have entmo treatment for dng or
%e background Investigations and (Caeta. Lynn. & Crey.1982) and alcoho! abuse problems how been psychologics! assessments, of course, do reduced dreabdity paymente (Shese, rehabilitated end can be constdered not deter drug abun and would not 1964). Altbouph the NRC canaat he reliable.
detect individitals who develop p-tmanly eeneerned mth abese cost While #iew eve diMas on the substanes abuse problems af:er they savings to the industry these data EAP oppmech a)orre. the ments soggert have been granted access. ne suggest that implernestaties of an EAP that EAPs would periorm a vital tole in behevrorel observshon component of can have ergrtr6 cast peeeuve e5ects an assense fitnees for duty in the nuclest the proposed program is designed to employee ava21abiltty and so may industry. An EAp's nbty to sodress improve the probstnDty that onreliable irnprove plant safety mdarectly by potentiel employee impsument esveed and untnretworthy persons are detected.
contnbutitut to adequete staffes.
by problems thet att not a(cohol or drug Background investigations, Of greater relevance to the NRC's related rustiftee cmfirl cMmison. ki psychological asseesmeots, and concern with pubbe safety are data is also apparent that an EAP can play a behavioral observation programs, pertaining to reductions in on.the-job significant function in detecting although sometimes controversial La accadents. Rowland Austm of General substence abuee problems that reef terms of effectiveness, are wellaccepted hfotors repoita. 3Ve have found that otherwise contume usdaid throu1gh a for sensitive positions in vanous those wbo participate to the employee drug testang program. es the EAP.tremed assistance progress se a group, rad =
supervroor een beve frequent laduatnes and types of government their es.the.ioo occadenta upward el se opportunrty to identify on-the. job reliance on the access authorization service, ne disadvantages of so'e percent"(1963). A study done by the irnpevinent end a dimmiehmg job Firestone Tire and Rubber Company perfoneance approach, however,inc!Jde a relatively f,$h mj as IL Access Authansahes Program companson to that provided by random d
weak deterrent to drug abuse in p
(cite d in /ourno/ ef Aneeracian laaumnos he NilC is considerms pree uleation d
e and k of any 19%-aSL AT&T fcund that ellig of an ocesse eethertzetsen progrom to E
partscapants in EAP. :o had been 8owere the tirantmg of uneocorsed accees
'N'C '* ' "" ' * '"
- f d"8 ""'
mvolved ta accadents to the 2 years to senployees m noeleer power pients.
!. Workplace Seennty Meestnes before part:cipauon and only 5 were The proposed proersm.ceMarned ta e invoh ed in accidents after participata.ca pokey etatevnent swued ler publ+c m appmach to anunng dat (Caeta.1982). ne U.S. Posd Service cornment ce March 9.1988 (33 FR 75M employees with unesconed access are slso reports that the rate of ca.thedob wonki regtars backaround fit for duty includes such techniques as accideots has been sagn.tficantly reduced inveengetions. peychological se rches t ofppro*c pla since implemerdation of their EAP a necemente (Le. testmg and
, d v, n,, g g edom IBusine:s insurance.1983). To the extem intemewet. and aa ongoeg behener=1 8]
- yusa that accidents in the owclear induatry observvtion geogram for employees mth are related to irspaired employee unescorted acwes. The behertorsl inegal dmgs ensite to a gnstu degne performance the eustence and use of observaties prograce that would be than wrth random drug testing. because an EAP by troubled employees may impienmeled. ebould the proposed these security measures directly detect directly improve the safety of pland pebey statemern becorse effective. le the ponession wiule random drug testmg operations.
sarme behavieret observsuco peogrem only asusses neent use. De Data are not cunently available (bat that would be implemented in disadvantagn an that it cannet directly aness the effectiveness of accordance mth1hve preposed fLtneve-establish use of drugs, and it cannoi EA%. m reducing druJt abuse with for. duty rule. The requirement rn t)ns address otber types of fitness for duty ollectnf
- a sures. Therefore, the proposed rule for liceneees to conduct a conenns. nuefon. workplace neunty reistne enecuveness of EAP's and suitable inqvity so determme if a person measures. althouci troportant elements random drug screerung programs oc has a history of fitne,o-for duty to an effective prograrn, should not be
- d. rect measuns of drug use cannot be problema se competMe mth the considered an adequate substitute for compared.
backgreemd rnwetQeben that woeld be random drug testmg.
There are several disadvantages in conducted under the acties relying on the EAP eppmach alone to authornetten progrem.
). Employee Awareness aad Edscat>on l
assure that emplores in the rmedear The pregram under coesiderstwin Programs industry are fit for dory.no pnmary weidd expec1 the licensee to determine Any fitness.for. duty program based disadvantage of the EAP approach alone whether the mdtvidual considered is not solely on errployee awareness and is its reliance on supervreers' bdravwrai onfy reflairie fis. 61 for dutyi but also education abouit the deletenous efIects i
obsen atton skills to identify petsons can be trussad with acrees to madeer of drug abuse is likely to be ineffecme.
unfit for duty and on their willitiguen to facihbes. There are a nand>er et Behavior is netonousiy resistant to l
confront trovbled employees. (See advantages es weH as disadvarnegee to enange en the basis of knowledge alone.
related drseussion on Behavioral this approach when cornpered to Consequently, this approach is not likely Oberser atic n Programs.)
implememtng a randosa divg testing to provide a powerful deterrent to drug There are two additeonei
- proaram, abuse. As an adnmot to other fitness.
disadvantages of the EAP epproech The unique benaGt prended by the for. duty approaches. however, emplo) ee i
used akme. First, the deservent effect accen a ethonsattaa protra.a se that the awareness and education can contnbute thought to result from rendern drog beclarmed torretarstaons and to a drub free workplace, screenine will be absent. alshe gh Fece p syct dog real s e====ase s see in tended An employee awareneu and i
of supervisory detectaon in some cases to detect as mdmdsel with a history el education program is a necessary may serve a sirnaler deterrent hecdon.
or potennal for, drug or alcohol abuse or component of drug testine and emplo> ee 1
i Second. as EAP withoet random foilow.
other prublems that aught mals bien er anistance prograins (EMO ewe.s l
up drue teseng hacks aey obpretive her unSt for doey bedore she parame sa must be mformed about the rationsie for means of enswing that evnployees who granted unescorted accen, drug testn g and about procedures for l
l 36810 Federal Regist:r / Vol. 53. No.184 / Thursday. September 22. 1988 / Proposed Rules making refenals to the EAp. Ernployee excretion from the body, and the vanous rates of testing of the workforce.
awareness and education also provide frequency of testmg.
The DOT proposed anti drug program further evidence of the senousness with
- De perceived probability of proposes that each employer annually which management views fitness for.
detection is related to the frequency of test. randomly 125 percent of all airkne duty issues.
testtng. the "publicity" given positive employees involved in fliiths operations in addition to these benefits, an find'ngs and sanctions imposed, and the and memtenance (53 FR 83681 employee awareness and education abuser's knowledge of the rate of At the upper end of the scale. the program can be developed to make use metabohem and actual probabihty of individual U.S. Navy commands of the troubled employee's co workers detecuen.
to detect potential fitness.for duty For example, the probabihty of typically t::t randomly at a rate of 20 to problems. With training in behavioral detecting the use of mantuana, since it is 25 percent each month f approximately observation. co. workers may be able to metabohmed slowly. is much greater 300 percent per year). The evidence from spot unusual behavior even before the than for alcohol which is excreted in a the mihtary expenence shows that there employee : supervisor notices it. !n matter of hours. Chronic users of is an incressmg detenent effect frem addition. co workers may hear of drug manjuana would probably have the incressma the frequency of testmg (Stoloff.1985). Incressmg the rate to as use. alcohol abuse or other employee greatest probabihty of detection-high as 700 percent of the workforce problems that would not be detected by An individualingestin the supervisor until the problem iad dosa 8 of manjuana (a g.,g a "typical"contmues to show incressmg deterrence.
one cigarette) become so severe that pubhc health and once each month would have a However. most of the deterrent effect is safety had been jeopardard. Although probabihty of detection of about six reshred below 20 percent.The nuclear co-workers may be reluctant to report percent if the workforce were randomly workforce may have different unusua! behavior or potentially tested using a cutofflevel of 100 ng/ml charactenstics than the mihtary damagHg information in a pubhc at a rate equal to 100 percent dunng the workforce.ne same factors that bear manner the availabihty of a year. By selecting persons for testmg on favorable rehabihtiation outcomes.
~
confidential hotims :an encourage them daily at that rate, approximately 63 djscussed in Section Vllt.C., may also lead to detenence at lower testmg rates.
to report and provide management with (ercent of the workforce actually would in addition to the need to conduct e tested. Lowerms that cutoff level to an opportunity to investigate the random tests at a rate that will provide problem. Knowmg that his or her co-20
"" lhe p a
ty both suitable detenence and detectier.,
w orxers are tramed to identify aberrant
, de e,
behavior also may serve to deter an chaonic or heavier use (i.e once each employee from substance abuse, week or 2 or 3 cigarettes each month)
" '" E""I ' '" IY
'I'""'"
IV. Rate of Rardom Testa would raise the probability of detection g percentage of b popWa a
d to near 63 percent if the workforce were p,(,n age ofinEluals sied ore ne purpose of random randomly tested using a cutofflevel of (unannounced) testmg is to provide 100 ng/ml at a rate equal to 75 percent than once each year.
reasonable assurance that employees
""U3 0 ' '
p b ilities ne selection of a sampling strategy is g 0n ul
,e, go, guided by several objectives The tw o are fit for duty by identifying current drug users and by deternna drug users monthly use and 50 percent for chronic pnmary objectives. deterrence and detection, have been discussed abose.
from further use or potential users from
'I
y, 'nt ib p
forc An effective testing strategy must assure initial use. The frequency with which an y,;
mdmdualis tested is relevant to both the probabihties of detection would be that all workers subject to the rule are the identification and deterrence goals about 9 percent and 72 percent contmuously subject to testmg at a rate j
suitable for deterrence. ne strategy of the dru,g testmg program. Generally.
"[*((yhualingesting a "typical" should not be overly burdensome lo the more requent the testing. the greater the deterrent effect and the bette* the dose of cocame. i.e 50100 mg. once either the licensee or the employee. The detection capabihties. However, very each week would have a probabihty of strategy shoofd be cost effective and frequent testmg may result in detection of about 1315 percent if the ea sy to administer. Specific individuals unacceptable economic or social costs, workforce were randomly tested at a should not be tested overly frequently Althoulth there is no research upon ra te equal to 100 percent duttng the (unless they have had a confirmed which the lestmg frequency may be year. lf the workforce were randomly positive test). The strategy should be based. it seems reasonable to assume tested dunna the year at a rate equal to nondisenminatory;it should be that 75 percent. the probability of detection administered fairly across all
- Any form of unannounced testing for weekly use of cocaine would be individuals and categones ofindaiduals would provide some level of detenence, about 7 percent. lf the workforce were to minimin negatin effects on e nere would be little deterrent if the randomly tested at a rate equal to 125 employee morale. While it can be testmg dates were predictable and the percent, the probability of detection demonstrated that different catesones drug user knew he was not immediatel would be about 18-23 percent.
of workers may be rnon inclined to drug Y
susceptible to another test.
With less frequent testmg (e g 10 to abuse le g., males versus females.
- Testmg each day would provide 20 percent of workforce each year) the younger versus older, contractor more of a deterrent than testmg once probability of detection for an mdividual personnel versus utihty employees).
each week or month, especially if the becomes unacceptably small even for considerations of perceived fairness daily activity was highly vlaible.
relatively frequent use. it should be suggut that au categonn of worken be
- Deterrence is related to either the noted that those utilities cunently using tested at the same rate.
actual or perceived probabihty of random testma report between one and in selecting from among the vanous det.rction.
two percent positives associated with strategies, however, some cornpromise
- The actual probabihty of detection among the vanous obiectnes will be is related to the t
.g am m 4
necessary. For example. decres sms the frequency of use.ype of drug dose, c.iw a, o.nm,%,na,p m,,g, g, g testmg rate reheves some of the burden
.i a.m.. r, rate of metabobs.n and coasamt4 on the beensee and the mdmdual
Feder:1 Resister / Vol. 51. No.184 / ThtMr. September 22. MB6 / Nw. reed Rules e
38t11 worker. However decreasmg the rate e A model that teeted at the rate d too far jeopardnaa the deterrent and (e g ) 100 percent per year d se
-Testing totes for the untested t
detecuon objecaves of the program.
populatum Jar the ftrat pened and population of100.125, and 300 penent A stra'atry that combines a high per year of the sosalpopetation.
testmg rate for workars not yet tested la contansed et this rate c( testmg b
-Testmg rates for the actual tested subsequent penode for those not yet PoPulauon of to and 30 poucent per a gnen calender penod. with a relaxeu tested. However, the rete el tesnns of year. (See Table 2 lor these testmg rate for alreadymested workers the already tested pop +M m wiatons )
(those with negauve test resuks),
reduced to a lower rate dant g In Tabke 1 and 2. estimetes were prondes for a reasonable balsace subsequent penods of the teet ng year.
based on en eesusnptron of1.000 among the prograra obtectnes. Several Versations of the model were considered workers in the population subject to attemauve models weme comsadered.
usmg:
- A model that tested et a flat rate of teatmg. Estimates beoed on larger 100.125.150. 200 and 300 percent of the
-Monthly. qurterly, and semi-aanval penede for adjustang the tested o ke
[
population for the year (see Table 1).
populamen, essentially equivalent to thoee ebown in the tobles.
Tasta 1.-Paossestrries AS$ocrairo Wm1Yastvous SAMPuNo RATES beentow o# tierio es=ose icos I irss i isos l 2aos i 3oes
~
Al leut orw.e -
02r.
On c2r O t3
- C os 4t ni v a _ -
c E3 o ri 014 0 8r o ss ai en:inre ic 0 2e 03s c a4 O sc i e so o os e t3 0 19 '
012 l c sa Tasts 2.-PPC9aBluTIE.5 ASSOCATED WrTH VAAOUS $WUNO STAATEGJES 8 Sete 1 l Saas 2 l Case I l Case 2 l Case JCase a l Case 6 l Cass t l Came r i Case a i Case 91 Com obatmW of tog senected 2T
- so 1001 2o0/
10ot
.3Q/
too/
106/
124/
taS/
Sco/
19r8 ic/S tos'Q to.'O '
10/W 3o/Q 10/Q 30/Q 30/ W m,
g.y W M 4L f 3r 0 13 026 0 C2 all.
Neemr 0.o0 0 09 O tt 0.0r 0.Gr C oe Neerg At east orre O &3 04r e ra 0 90 C at 8eostr c o3 t.0o 0 91 0 02.
0 90 '
0 93 Okt Sessar Ai Watt t=<e 8026 o 8o 0 71 0 57 0 18 e es 0 12 022 023 0 36
'o21 c 3o 1 00 tetai eet'.s 1 Coo noiser=
1.000 l 2.00o l 1.020 } 2.032 l 1hS2 l 2.053 l 1.043 l 109r l t28a l 1308
$ e AOsutted We Wye of iCQ/iQ pu.gae 10C'% fr*. for wttfeG/10% for tered, other FV ss-i tidCSie TEtet CrCler1 tW e E Cale Q e A htted broar u. su.veo ~rm
,=
i N wa ier se inese evee e-c we 43 ter eew 1 es ce? kr case e 8D 464 f$.det sese Gaasecped terup F44hci2 Osae4 ofi &ie.-v-An evaluation of the ehemattves indicated that strate 1 pes can be inonth) of tbe already tested population.
pertest rate, and subetmobally increases deseloped that actneve en acceptetde (For a total population of 1.000, this the percerW o( the workforce sampled would mean 2 tdditjeoal testa in the balance among the prettern obrectives.
second month increatmg to about 20 durvig the year (frors about 83 percent For example. Case 9 m Table 2 would additional tests in the 12th mordh for the of retestmg done on partscular to about 91 percenth Further. the aswunt has e the followtas charactenstscs and ads antages:
previously tasted population) A testmg indinduals se not exceesive, givea the rate of 30 parcent per year for need to retam some detertent eUect.
- Test at a rete equal to 13) percent /
Individuals already tested al a ca.te of
> ear for the hrst month. (For a 100 percent or mioie would penvide a even for the already tested populktion.
populatsoa o(1,000. about a3 tests) modest level of detection and detenence While Case e of Table 2 ochieved as
- For the part of the populatsoe that whue rehenng some of the burdue frein acceptable belance amons the program remams unterted at the end af a anzth.
the indiniduals a=bo ha ve been tested objectives. at may not be the only test at a rate equal to 100 partent/ year method Mudi does. To allow a of the enure populaties. (nas is, and found free of dnage at the time c(the test. Howev42. it thouJd be scand thaa reseanable annount af fles.itubty a cont.oue at 63 lests per snose se the the deterrent effacJ potenuaDy wel be Coeurus mon proposes, se coe pmgrani amplamentan== the succesovejy redeced emessed reduced for the teeLed popaalation. A testing rate af10 parcers pet year was alternetne. to state perfornience beeed populauon)
- For the pt el the populeben that judged so low eaJ a deteaars eUect objectwas rather than a specsfic has been tested prior to the snart ela was questamable.
methodoiogy in the ruta. /utris.ove /s of the rule es proposand wo 6Jd remare gn eo mertth test et a rete e9ead to N This strategy remelas in ord a few randose tests to be adsuarstered ta a t
percent per year (2 % percent per mare total tests tbas weting as a f!st irao way thas at least so pr:rcent of the
36812 Feder:1 Resister / Vel. 53. No.164 / Thursday. September 22.1988 / Proposed Rules individuals within the scope of the rule exercise. Hence, a positive confirmed levels for initial screening tests of are tested each year, that testina is test result indicates only that an manjuana are appropriate, as discussed performed throuah the year and that indiddual has recently ingested the below. De Commission has decided not testina rates f or mdividuals already drug. A positive result does not provide to take ex.ception to the cutofflevel for tested with negative results not be lower information about frequency of drug use. initial screenmg tests of manjuana for then 30 percent per year (2% percent per pattern of use, drug dependence, the aske of consistancy with the federal month) for the remainder of the testmg legitimacy of use. or whetbar the nmon
- . idthnes.ne Comnussion mvites year. Altemative B of the proposed rule was irnpatted when the unne sample commenta on this matter.
would require random tests to be was collected (Manno.1986). Similarly, ne Commission understands that all administered at an annual rate a negative test result only means that a of the testlevela set by HHS are subject equivalent to 30 percent of the person a unne sample did not have the population subject to such testmg.
drug or drug metabolite in sufficient to change as warranted by advances in Other approaches were also concentretion to give positive results technology or other conditions. Any considered including:
(Manno.1986). It does not necessanly changes to the HMS Guidelines
- Occasional, unannounced, mass provide information about whether or subsequent to final NRC rulemakmg of testina.
not the individual has ever used the drug fitness.for-duty programs will be
- Testing as a part of the annual or whether someone curently uses the considered an appropnate rulemaking medical exam.
druginfrequently(Hawks 1988).
taken to amend the NRC rules,it should
- Testing "windows" of a few months Because of the numerous factors that be clearly understood that the dura: ion associated with an annual influence both the concentration of a Commission regards the HHS event such as a birthday.
drug or drug metabolite in the unne and Guidehnes as mmimum standards.
However, these approacher were the levels ofimpairment expenenced by IJcensees. at their discretion. may considered to provide too little individuals at vanous concentrations implement programs with more sinngent assurance that testing would be truly (see preuous discussion under section 1.
standards te g., lower cutoff levelsl.
random. and individuals would not be impairment and rehabihty). It is not Considerations relatmg to the cutoff subiect to testing through the calendar possible within the current state of the levels for each drug are discussed
> e a r.
art to set cutofflevels that relate to a below.
V. Catofflevels precise measurement of performance impairment. Research has been trutisted A. Marijuana Metabolites The selection of cutofflevels for and sometime in the future it may be -
declanns the results of a drug test to be possible to address determination of An inue frequendy reind whm "positive" and to take somepersonnel impairment based on aerum analyses.
testing for manjuana metabolites is that action is as much an issue of pohey as in determining the cutoff levels a true positive test may result from science. Whereas the technologies of the specified in the proposed rule. The NRC passive inhalation. The cutofflevel of test may permit very low cuoff levels considered what levels of the drug 100 ng/ml for initial screenmg tests was under ideal situations, a cutofilevel set would probably be found several days set by HHS to ensure that tests would slightly higher than the lowest that is after use and the sensitivities of the not result in positives due to passive technically feasible provides generally various analytical methods available.
Inhalation. !t should be ncted that there adequate sensitivity to identify abusers For example, the longest tune reported is some disagreement on the level at while providing a sufficient buffer to (actual times ar* shorter) that a "heavy" which passive inhalation is a problem.
withstand challenges.
user of manjuana would display While some authonties believe that a Prior to implementmg a program to detectable quantitles at a cutoff level of cutofflevel of 209 ng/ml may be a test unne for dms of abuse. it is 100 nn/ml would be 2 weeks; should the problem. others beheve that a cutoff important to understand what cutoff level be lowered to 20 ng/ml. the level of 5 ng/rnTwould not encounter information unne testi provide and how "detection time" would be increased to significant passive inhalation problems.
the results can be interpreted. Stmply 4 weeks significantly incressmg the Recent studies indicate that only under stated. unne test results provide probability of detection and deterrence, the most extreme conditions (proloneed information about the concentration of For an occasional user of marijuana, the exposure to high concentrations of particular substances in the unne. De longest detection time at a cutoff levei of manjuana smoke) would passive concentration of a drug or drug 100 nalml would be 3 days:lowenna the inhalation lead to a positive result at 20 metabohte in the unne does not provide cutoff level to 20 ng/ml wouM extend ng/ml (Cone. F.J., et al 1987).
much information about the detection time to 10 days. For Assay reliability at 20 ng/ml has been pharrnacologically active drugs in a cocaine, a typical dose of SG-100 mg te sed as another potenttal problem.The person a system nor does it provide would be detectable for 37-45 hours at a information about impairment (Hawks, cutofflevelof 300 ng/ml. Heavy or earh F.nzm MpW Mmmana).
Technique W) tute wne capaW of 1982). The concentration of a drug or occasional use would not result in drug rnetabolite in the unne is significant 6fferences in detection detecting 50 ng/ml of manjuana influenced by several factors: these
- penode, metabohtes in unne with 95 percent include the dose of the drug taken. the The NRC also considered the cutoff confidence (peat. Finkle, and Deyman, route uf administration, frequency of levels established by the Departments of 1962). improvements have been made m use, and the time lapse from drug use to Health and Human Services (HHS).
the EMIT' test, however and a number i
unne collection (Manno.1986. Hawks &
Defense (DOD). and Transportation of clmical studies indicate that false Chiang.1986). The concentration is also POT 1. The NRC has concluded that the Positives are ncdonger a problem at 20 Influenced by several factors unrelated cutoff levels desenbed in the ng/milevel(McBurney. Bobbie, and
(
to drug use such as amount ofliquid "Mandatory Guidelines for Federal Sepp.1986). In fact. some studies show recently consumed. time since previous Workplace Drug Testing Programs" an unnecessanly high level of false void, time of day (urine is more issued Ly HHS on Apnl11.1988($3 R negatives when higher cutoff level,s are concentrated in the morning than later 11970) should be adopted. Some used (Kogan Rasi. Pierson, and Wilson, in the day), and recent dehydrating authonties beheve that lower cutoff 1986).
I 1
f i,
Federal Register / Vol. 53. No.184 / Thursday. September 22. 1988 / Proposed Rules 3681S l
l One approach to this issue is :o by regular compulsive use (Maddux and combined approach to drug and alcohol l
establish a relative lengthy pened such Desmond.1986).
treatments la most effective, as the as 90 days or longer, dunng which the Substance abuse appears to not fit the recovery process is similar across the l
idv+=1 a net permitted unescorted usual medical treatment model of a various substance catesones (Cole, et access while he or she successfully disease that is responsive to a singular al.1981: Waldorf and Biernacki.1981; j
completes treatment. Another approach the recovery resear(ch indicates thattreatment episode Senay.1964). Rather.
McClellan.1154). Current research is to estabbsh a shorter penod of supports this belief; The behauors sufficient duranon (e g., two weeks) to there is no one point in time that an sesociated with dependence and relapse l
permit the individual to be referred to individual can be considered "cured."
to alcohol and opiates are highly sim:lar the E.AP for assessment and However, attempts have been made to (Rounsaville.1986).
development of a treatment plan.With identify a point in time smce treatment Many studies are available that this approach. return of the person's at which an individual can be unescorted access authontation address the occurrence of alcohol depends upon the judgment that the considered fully recovered. For example. relapse on both a short. term and long.
the Amencana Medical Association has term basis.The short term studies.
individual will not pose a threat to plant developed enteria for recovery that defined by tracking of post. treatment safety by a medical professional include three years of abstmence from quahfied in the analysis and treatment the pnmary drug of abuse and no abuse individuals for a penod of two years or of substance abuse disorders.
of other substances. Other investigators less. indicate that relapse rates for Drug abuse "careers" very to a great have recommended five years of alcohol are quite high. For example, one extent between individuals: furthermore, abstinence as a reasonable benchmark-study that followed 685 post treatment research indicates that a relapse to As will be discussed below, however.
individuals found that 63 percent were substance abuse can occur at any time longitudmal studies have failed to abusing alcohol when contacted at the after an apparently successful treatment isolate a threshold for length of two year mark. A second two-year study episode. Therefore, treatment programs abstinence that determines permanent found a 67 percent relapse rate need to be tailored to the individual. To (Vaillant.1983).
recovery.
ensure that utilities carefully assess the Consequently. recovery is most The relapse rates for opiates are nature of the individual's substance accurately desenbed as a process rather dramatically similar to those of alcohol.
l abuse problem and develcp plans for than as a state. Recovery can be defmed One study found 67 percent of opiate appropnate treatment and future as the process by which substar.ce dependent individuals to be readdicted employment, the proposed rule would abuse and related behaviors become within the first six months fo' lowing require removal for a minimum of 14 decreasingly problematic for the treatment (Maddux and Desmond.1966).
days. A discussion of these issues in effected individual. Alcoholica in a follow up study of 2.009 post-l greater detail follows.
Anonymous developed their 12 step treatment opiate addicts. 56 percent to 77 percent had resumed daily use at one l
A. Substance Abuse Careers "C
'al year post. treatment (the vanance nbers t
The treatment and recovery hterature
- ' "' d" du indicates that an individual a pattern of "recovery alcoholics " recognizing that ytnat S m $*n b!$ "
they are always at risk for relapse ent oup substance abuse can test be viewed as (Senay.1984: Maddux and Desmond.
1982).
l a cycle that includes be h recovery and 1968: Wesson. Havassy and Smith.
A comparison of the longitudinal relapse (Senay,1984; Tims and 14ukefeld.1986; Maddux and Desmond, 1986). Because recovery represents a studies (i e studies that have followed 1986). The cycle, which has been process rather than a state, and because alcohol and opiate clients for a penod of desenbed as the "substance abuse an individual's progress through that rive yean or longer ahn the imual career" by Maddux and Desmond (1986). process cannot be predicted by elapsed tnatment episode) agem shows a time since last treatment. revocation of sigmficaMmdanty in panuns, ranites from no use to recreational /
an employee's unescorted access for an For the malonty ofindividuals.
soc al use, to problem use. to arbitrary penod of time following a muluple episodu of nlapu an dependence with the inability to confirmed positive test result alone followed by penods of abstinence abstain. Pattems within this cycle vary would not et;sure that that the (Maddux and Desmond.1986; Simpson not only from mdividual to individual, individual would remam drug free.
and Marsh.1986). However, the most but over time m a given person.
Substance abuse careers differ in terms B. Relapse Rates cntical fmdmg sug. gests that while multiple episodes of the abstmence/
of the type and number of substances "Relapse" has been defined as the replapse cycle tend to occur. relapse used, whether they are used "return to substance use, following a does decrease as the pened of sequentially or concurrently, and in period of voluntary or enforced abstinence increases (Sitnpson and terms of the intensity o.'use, whether abstinence, at a level ofintensity Ma rsch.1966).
episodic or continuous. Little to comparable to that attained before Although there are fewer studies of understood about the sources of these abstmence"(Babor Cooney,14uerman, other drug types, what research has d.fferences. Research has not yet 1986, pg. 20). Relspse to the use of been conducted sup. gests that relapse prouded a valid set of predictors that alcohol and opioids has been patterns to other substances are similar would allow individuals to be screened for susceptibihty to substance abuse.
extensively studied. Far less information to those for alcohol and opioids. A is available on the substance abuse further study conducted by Hubbard Those individuals who meet the diagnostic entens for dependence will careers of those who pnmanly abuse and Marsden (1986) compared the ma nJu ana, cocaine, phencyclidine, or relapse ratest>f four drug categones:
most likely expenence successive cycles of abstmente. occasional use, daily use, other categenes of drugs (laffe.1984).
herom. other narcotics, cocame, and because abuse of those substances is a other non narcotics which include and treatment. "Dependence" refers to relatively new phenomenon.
amphetamines. sedatives, barbiturates.
both the altered physiological state it is noteworty, however, that the and the rr.:.sor tranquilizers. The study resulting from contmued vu of a alcohol and drug treatment community reviewed the post. treatment history nf substance, and to the behauor indicated has recogmzed for several years that a 2.080 clients, randomly selected from 41 l
1
3816 Federal Reeister / Vol. 33. Nc.184 / Thursday. S;pt;mber 20 1988 / Proposed RulIs different treatment facihties The effectiveness of treatment is well charactenstics, some or most will be representine the full spectrum of documented although it remains unclear applicable to licensee employees.
treatment modahties (i e. methadone as to why treatment works. Numerous In summary. it appears that the
=
re aintenace. dete xtfica tion. thera peutic longitudmal studies have shown that prognosis for rehabilitation among communmes. inpatient facilities, out.
pre treatment levels of substance abuse licensee employees may be rivite patient drug free counsehng). The timing are generally higher than those of post.
positne. The NRC believes that the cf relapse was similar for all four treatment abuse (cf-laffe.19M).
utihties should emphasize these factors categones. Two. thirds of those who Consequently, the goal cf the NRC to where appropnete to secure the stealest relapsed did so within the first 90 days ensure fitness for duty will be enhanced probabiitty that an employee mil after leaving treatment. A mdely cited by treatment.
remam drug free and not place pubhc study that reviewed relapse rates over Of particular importance to the NRC health and safety ar nsk m the future, d
ss kers.
ho es,and h on is the suggestion by the treatment D. Development of the Treatment, atuature that the enucal factor in Follow.up and Future Ernployment Plans addicts are ahke in having relapse rates preater than 50 percent in the first three
. 8 "$8,',g,,8 but he unt P
Durma the penod that unescorted r.onths post treatment, and 60 percent relapse within the first year post.
treatment contact (Simpson.1984, access is withdrawn followmg the initial
..ea tment (Rounsaville.1986).
Senay,19M). In fact. se.eral large. scala Imding of a substance abuse disorder.
in summary, the literature suJtgests treatment follow.up studies have shown the hcensees should carefully assess the that patterns of relapse may be that the treatment outcomes for those nature of the individual's substance consistent across drug t) pes among participatmg in euch diverse treatment abuse problem. and develop appropnate s.bstance. dependent mdniduals. it is protocols as outpatent drug. free treatment. follow.up and employment critical m the mterpreta4 ion of the counsehng, methadone maintenance, plans. The goal of this process is to relapse and recovery literature to and therapeutic communities are assure that the individual mil regam i.nderstand. however, that the pnmary statistically indistinguishable unescorted access only after determmation that the he or she is fit for facus of study has been the senously (Rountanlle.1988. Simpson.19M).
duty. and that the nsk is mimmel that Juf anctional alcohohc or drug abuser.
Althouen the evaluation of treatment the mdividual mil nose a future threat The reasons for this are several. First, effectiveness m regarded by the to pubhc safety.
akchal and opiate abuse have been the research commu.ruty as m an Prompt response to an initial focus of the commuruty based treatment evolutionary stage several factors confirmed positive test result m the form s3 stem, and a high percentage of the associated with positive outcomes have of a treatment and employment plan is indaiduals who elect to participate in been identified. Th e most powerful likely to be effective in resolving publicly funded treatment are also determinant appears to be the substance abuse problems amena the rec:pients of public assistance.The individual's commitment to treatment types of persons granted unescorted employ ed and educated middle class and the recovery p xess (Simpson.
see,,,hRC recca'nizes that the with employer. paid medical benefits 19M: Tirno and Leuweld.1986).
The hat e is pically sought treatment in Secondly, the therapeutic process itself evaluation of a substance abuse prn ate facihties or mth pnvate can directly impact the treatment problem involves numerous factors pract:tioners Pnvate facahties, outcome.To be effective the process unique to the individual, and that this ur. fortunately generally do not should incorporate the indindual's task is appropnately left to the trained part:cipate in published research.
commitment to change. sustain the udgment of a medical professional Hence, most of the research literature is commitment, and translate it into action qualified in substance abuse disorders.
r based u;en the publicly funded client.
(Simpson.19M). Third, the length of time Consequently, any individual recening dnd may not directly apply to the t) pes in treatment has also been identified as a confirmed positn e test result who is cf indniduals employed in the nuclear a factor, mth longer participation in retained for potential return to industry. As will be discussed below.
treatment bema positively related to unescorted access, will be referred howeser. there are a number of factors treatment outcome (Simpson.19M: Time immediately to the EAp for assessment oh'trea inent for nd
'i veness and Holland.19H: Hubbard, et al, of the substance abuse problem and d l unescorted access that are not present formulation of treatment, follow.up and for seriously dysfunctional substance in addition to the various factors future employment plans. Since the abusers. Thus. although relapse to associated mth treatment, there are success of this effort is contmgent upon substance abuse is hkely for dependent several personal charactenstics of the reliabihty of the assessment. the indniduals and can occur at any time patients that are associated mth a NRC expects that each utihty will post. treatment, there is evidence to positive treatment outcome. These engage quahfied individuals for sureest that early detection of a factors melude a stable fatnily evaluatmg substance abuse problems.
deseloping substance abuse problem background. an intact marnage or Additionally, the assessment process and treatment may present relapse relationship, a stable and supportive job should utilize assessment tools that emorg nuclear workers, situation, rninimal involvement with the specifically identify the nature and crimmaliustice system, and lirmted atent of the indnidual's substance C. Treatment Effecta eness psychological problems. Higher abuse problem. The diagnosis should Within the context of the substance socioeconomic status is also a predictoe, directly inster the development of the ebuse cycle treatment remama the most Those clients with the least severe treatment, follow up, and employment I:kely means by which the successive problems, and the greatest social and
- plans, c)cl. will be broken. As mintioned psychological assets, tend to have the To be most effective. the treatment abose treatment may also serve riy best prognosis (Goodwm.1984 plan should be designed to meet the pres ent relapse in those individuals Rounsaville.1986). While the typical specific needs of the individual. eivine whose substance abuse peobletns are worker mthm the n.: dear mdustn consideration to the vanous factors stnl in the dn eloping stage.
cannot be assumed to ha e allof these discussed above. Individual attention is
Fed:ral Restist:r / Vol. 53. No.1M / Thursday. September 22. 1988 / Proposed Rules 30817 especially criticalin the light of the testing. intensely at first. with gradually access to protected areas, and to sanous possible meanings of a decreasing frequency as the patient hcensee or contractor personnel confirmed positive test result.The NRC progresses through the entical 90 day required to respond to the licensees' recognizes that a positive test can and one year penods and beyond to Technical Support Center (TSCl or indicate any stage of substance abuse achieve a high confidence of full Emergency Operations Facihty (EOF).
Mcmg the substance cycle. For example, recovery, should also be emphasized in The rule would apply to these letter an appropnate treatment plan for a all follow up plans. Follow up testmg categones of personnel because of the "recreational" user might requtre the will also serve to assure that the goal e f potentialimpact on public health and completion of the EAP a'ssessment and public health and safety continues to be safety that could anse from human add.ttonal designated hours of drug met.
failure on their part. The rule applies to education. Treatment may not be ne employment plan should be based all persons with unescorted access to recessary. Instead. it may be more upon any limitations that need to be protected areas because:
cffectae to place an ernphasis on placed on the individual being returned fc!!ow up random drug testina (e g a to work.The plan should help the a Current programs are implemer.ted in accordance with the Commission's n eekly rate initially, gradually tridividual's supervisor understand what decreased to monthly for at least one his role is in the follow up plan, and set policy Statement (51 FR 27321) which
) ear) and penodic EAP contact (e g.,
conditions for full restoration to duty, apphes to all persons within protected sufhciently frequent over an appropriate where appropnate.To test and evaluate arus at nuclut powe@nts.
genod to achieve high confidence that the indiv. dual's substance abuse
- Such persons could introduce and the problem has been resolved). llnde, disorders, develop the plans. and obtain sell drugs m the workplace.
,
- Any such person under the th:s approach, the employment plan assurances that an individual does not uot.ld mclude a return of unescorted constitute a potential bazard to safety mfluence of any nbstance could cause access authonzation at the end of the (in the case of a "recreational" user),
a safety hazard. if not to the general tw o a eek revocation pened, with should be accompushed within two public, to him or herself and to fellow r :nimal risk to plant safety.
week s, workers.
At the other end of th spectrum. an
- 8 M C###"IP'#f#'*####
- m r a
o rev on eppropriate treatment p or an mdiudual expenencms substance abuso enod to be used by the utilities m the
- b'##"*
dependency will be mo're complex. In foHowing manner: Each mdividual This section is mtended to facihtate this case. the EAP would likely make a receivmg a (trat p sitive test result will proper management of fitness.for duty referral to an mpatient facility, and de be referred to the EAP for assessment of programs by establishing clear program individual would not be allowed to his or her substance abuse problem. The goals.
reeam unescorted access untilintensive assessment will direct the development rehabilitation is completed. While of the treatment and employment plan, Although fitness.for duty programs several studies have suggested that which should be designed to meet the are intended to provide reasonable emphasis should be placed on the length individual a specific fitness for duty assurance that individuals are not using of trest-ent and ru>t on the treatment needs. Finally. the procesa will be or under the influence of any substance, or mentally or physically impaired from d
e t) pe. these same studies further suggest
((o P g kpm nt of a an cause that could adversely affect s.gnificantly poorer outcomes for pE ser:ously dyshmet2onalindividuals who 7requency f EAP contact and follow up sa ety, the specific program elements race:ve an assessment only, without random drug testing.
and procedures contained in the proposed rule apply only to drugs, additional treatment. or who receive Section by Section Analysta Specific measures for addressmg abuse detouheation only. without addinonal The generalobjective of fitness for.
f alcohol, and legal drugs (prescnption ce 2nselms ISimpson and Marsh.19861-duty programs is to provide reasonable and over the counter) are to be Wre extensin treatment mvohement assurance that nuclear powerplant developed by asch heensee. Other
.ppears to be necessary for these personnel are not under the mfluence of factors that could affect fitness for duty minduals.
any substance. legal or illegal. or such as rnental stress, fatigue and illnes:
Licensees should place emphasis on mentally or physically impaired frorn-are also expected to be addressed by de development of a follow up plan-any cause, which in any way affects hcensu programs.
Assarances cannot be made that plant their abihty to safely and competently In this regard. the proposed rule does safety is maintained unless the perform their duties. To accomplish this not specifically address the offsite sale mtudaal s progresa is monitored once objectn e, the Commission is proposms or possession of druas, the offsite use of he or she has regamed unescorted to amend its regulations by adding a dmgs determmed by means other than dccess. The relapse and recovery new Part 20 to Title 10. Code of Federal chemical testmg. ettempts to introduce 1 terature stresses the importance of Regulations.The fouowing section by.
alcohol or drugs ensite, nor what actions af ter care and follow up monitonng to section analysis of the pnneipal secuons should be taken for drug events in the pres eat relapse. Occause the critical provide additional explanatory owner controlled area. lacensee's are perind for retspse falls dunng the first 90 information, expected to take prudent measures to l
dais. frequent contract by the EAP.
identify and corteet such problems.
j possitsly weekly, will best assure that 8'Ch#8 #8 2 SC#F'-
These measures, at a mmimum should i
the individual continues to remann This section sets out the include for cause testing. utilization of wbstance free. llowever, because most Commission's proposal as to the the access authontation program, and mdiuduals who relapse do so within the employee and contractor population to appropnate investigations and searches, i:rst iear. the follow up shou.J also whom the regulation. includmg random Furthermore, licensees are expected to proude for contmued EAP contacts testmg apphes.
properly manage their programs and fo!!owmg the first 90 days with To ach2 eve the general objective, the include elements such as audits and decreasms frequency to perhaps one Commission proposes that the rule analysis of records to pruvida IteA. k contsci per a*.onth. Follow up random apply to all persons with unescorted on program performanca, i
l
<r 36818 Fed:ral Register / Vol. 53. No.184 / Thursday, September a
- 22. 1988 / Proposed Rules ne specific requirements described m the Program Elements and Procedures impairment due to the use of drugs. are142 CR 2.12(b)] Licensees who fmd that permitted to perform important tasks.
sections of the proposed rule are not such as manipulatirig control 42 CFR Part 2 apphes, should inform the
=
intended to p*ohibit any licensee from mechanisms or conductmg maintenance Commission and propose a stiethod to aLpung ara enforcmg more stnngent on facility equipment or systems. Tests accomplish the goals of the atandards, would be required.
requirements set forth in the proposed rule.
Section 2620 51'ritten poheyprocedures.
- Immedintely before the initial
~
This section requires the granting of unescorted access to establishment and implementation of protected areas or assignment to Section 26.27 Monagement cctions cnd written policies and procedures to activities within the scope of this part.
sanctions to be imposed.
e On a random basis. The understand what is expected of them Commission specifically invites This section requires that ensure that all persons clearly management:
and what consequences may result from comments on a rate of testing that Siolation of company policy.
would provide a suitable deterrent. Two
- Complete a suitable inquirb i e.
alternatives are proposed; others would venficaton of employment history. to Section 26.21 Policy communication and be considered.
determine if any person was eser owereness framing.
- For-cause: and removed from activities within lhe scope
. As a follow up to venfy abstention.
of the proposed rule or denied This section requires appropriate For-cause testing is required af ter trammg to ensure understandmg of the accidents involving actual or potential unescorted access due to not beir g fit for duty.
policy hcw the program will function, substantial degradation of the level of and the hazards associated with abuse safety of the plant. This is the level of
- As a mmimum. remove from of drugs. This section is intended to event characterized by an "alert" activities withm the scope of the ensure that all persons understand and emergency classification-proposed rule for at least 14 days, and support the proFram and its implementation.
This section adopts the "Mandatory during any suspension penod. refer for Cuidelines for Federal Workplace Drug assessment and counselmg. these Section 2622 Troimng o/ supervisors h,'p[8 INea and}ku positive test. Treatment. follow.up at:d persons hanne their first confirmed m t C## '"C-
an This section requires appropriate Semees as mmimum standards for future employment p!ms must be trainmg of managers and supemsors to procedures for collectmg and testing of developed, and any rehabilitation specimens and for ensunng the integnty program deemed appropnate must be ensure they understand their role in the of the testmg program.This section also initiated, dunng such suspension penod.
implementation of the fitness.for duty adopts the HHS standards for Assurance of fitness must be obtamed program.In addition, all persons are "Certification of Laboratories Engaged prior to return to duty.
required to be tramed to ensure that in Urine Drug Testing for Federal
- Remove from activitics within the the) are sufficiently skilled to detect Agencies." Licensees would be scope of the pmposed nale for a conditions that anse from abuse or permitted to conduct preltminary tests to minimum of three years. those persons presence of drugs. and to ensure that the reduct the number of specimens having a second confirmed posite.
proper action is initiated This section includes training in forwarded to a contract laboratory for initial screenmg tests and confirmatory
. Not assign to actinties within the behavioral observation techniques scope of the proposed rule for a tests.
w hich are also expected under the This section requires, through the minimum of five years. those persons proposed Access Authonzation Prosram HHS guidelmes. that a medical review determmed to have been mvolved in the policy statement 153 FR 7534). The NRC officer review and interpret positive.
sale, use. or possess on of illegal drugs will ensure that the expectations in the confirmatory test results.
within a proteeted area, d
pe en ng d str guide ne and Section 26.2 Dnp/oyee Assistance
- Permanently deny unescorted the requ:rernents in this proposed rule gmms f P/:
access to those persons who, havmg are compatible pnor to publication of This section requires licensees to -
t ten restored unescorted access after the above three or five year penods. are any final rule in the Federal Register, maintain an EAP designed to achieve subsequently found to be involved with Section 26.2J Contractors.
early intervention and to encourage self-illegal drugs.
referral. This section stipulates that This section requires that contractor confidentiahty shall be extended, except Section 28.28 Appeals.
personnel be subject to. and abide by, a where safety considerations must.
fitness.for duty program. Furthermore, prevail. In this regard. any licensee -
This section requires that there be an contractors are required to not assign receiving direct or indirect federal appeal process m accordance with due any personnel previously removed from financial assistance in any form, which process and fundamental fairness any other nuclear power plant without may include revenue shanng or tax considerations so that adverse Imdmcs the knowledge and consent of the beensee.
exempt status, may be required to as a result of the required testmg maintain confidentiahty of drug abuse program may be subject to further Section 28.2d Chemico/ testing-patient records in accordance with 42 review at the instigation of the person This secuon requires that chemical CFR Part 2. Although this law is found to test positive for prosenbed testmg be conducted to deter and detect intended te ensure that an alcohol or substances. Rather than dictate what drug abuse patient in a federally that appeal procedure should be, the drug abuse. The testmg is required assisted alcohol or drug abuse program Commisson has hmiteditself to because the Commission is concerned is not made more vulnerable than a proposing that there be en appeal w ch the possible impact on pubbe health and safety if individuals, whose person who does not seek treatment, the procedure and notes that the grievance rehabiht) is questionable bemse of determination of whether fedtral procedures contained in collectne assistance is provided is much broader ba gainmg agreements may be suitabh-
Fed:ral Reitist:e / Vcl. 53. No.184 / Thursday. September 22, 1988 / Proposed Rules 36819 Section 26 29 Protection of such as a possible failure in program Chnhet. C.B.1986 The Effects of Alcohol infor= tion.
design or implementation, and Mantuana in Combmation A Review."
This section requires the licensee to The NRC developed a list of data that 1co Drugs. and Dnwns. Vol 2. No. M.
er.sure that personal pnvacy is appest to be appropftste based upon protected to the extent possible, informed reviews by appropnate Cluovet. D.H. ed.1986, NTDA. Research consistent with the need to carry out the professionals in other organizauona. To Monograph 64. "Phencychdme: An fitness.for. duty programAccordmgly, ensure consistency of data and to Update." Department of Health and Human specific exceptions to the information facihtste analysis, a draft form Services.
disclosure prohibition are provided. This accompanin the p"vtad + T%e Cohen. S.1986. -Effects of Long Term Maniuana Un" Alcohol. Druss. and hst of eteeptions is considered to be Commission may request the data on an Dnvmg. Vol 2., No. M July-Deumber.
inclusa e and no cther disclosures as.needed basis.
1986.
shculd be made.15 disclosure of the Section 26.73 Reporting requiremerts.
,';',$,k*"l8 4s,,,"0 '
information is necessary for emergency 8
mechcal purposes. it is assumed that the This section requires licensee to Abuse Research. The Second Tnennial individual. or his/her representa tive inform the Comtnission by telephone.
Report to Congresa from the Secretary, can provide the basis for such release, within 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> of discovery, of alj eaj a d a
at u " $'rsius.
Regardless. It is riot the intent of this significant fitness for duty events' dlon b, prousion to in any way create potential includlag-Deltas Tetts.hydrocannabmot and sta y,,,g
' Alcohol Druss and Dnving.
harm to anyone through nondisclosur,
- Sale, use. or possession of illegal during a medical emergency. It should drugs within the protected area.
Vol 2. No. M luly-December.19ees Dans. M.19M. "Cocamr Escitatory Effeds be noted that 42 Cm Part 2 may prohibit
- Any acts involving the tilegal sale, on Sensonmotor Reactivity Measured with heensees that recerea federal financial use or possession of a controlled Acoustic Startle." Fsychopharmacology, assistance. ficm dJsclosing information substance (onsite or offsite) by any so(1-2L 31 36.
to another bcensee regardmg the nature person licensed under 10 CTR Part 55 to DuPont. R L "Cocame in the WoQau: N of a person's problem. If that person operate a power reactor or by any
^8[g],'d Coe
/ ic o$s sougnt assistance on his own mitiauve, supervisory personnel assigned t S::t::n ;621 Recordiseepmg I
- "".d*""
- ***P' *I S' Hona ook Cudford Press.New York /
part. "Ihis meludes the resulta of London.
y,
confirmed postuve tests on such DuPont. R.L 1964. *Cettmg Tough on This section heensees to retam Cateway Drves: A Cusde for the Famdyl*
persons.
records to facthtale inquires to Washtngton DC:N Amencan Psych.atne determine if a person had been made Written reports are required within 30 Press.
inel:gtble for assignment to activities days documentmg such notifications Fehr. K.O Kalant. H ed.1983. "Canna bia within the scope of 10 CR Part 26. This and speedying actions taken.
and Health Hazards: Proceedess of so section also requires hcensees to collect. Section 26.80 A udits.
ARF /WHO ScienV.c Meehng on Adverse cen pde and analyze program Ifeelih and Behanoral Consequences of performance data and to take This section requires licensees to Cannabia Up." Add 2cuon Researcn audit their fitness-for-duty program.
Founda uon., Toronto.
apptcpriate ac: ions to correct any program weaknesses so identified. The including those sections implemented by c'oc, ',$'I n
man a." See coHechon and analysis of data is contractors, and to take appropnate Ctabowskt l ed 1984 NIDA. Researth behe ed important for the following actions in response to the audit findings, Monograph 5a ' Cocaine: Pharmacology.
BIBLIOCRAPHY Effects. and Trearment of Aben."
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eifecta e program based on current Aguresk 5 L HoWater. LF.19se' "Dnies of Abuss"Data Colleenon Systems of DEA and Recent Trends."/oumo/of informanon, fitness for. duty prograrn DQs Ano/ytical Torico/qry Vol 11. No 6.
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Alcohol Abuse m the Workplace' A Guide the Fmnsic Fapert." See Clouet. D.H ed.
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No. 3.
52-55 COSA 1986."Alcohol and the Dnver."
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Surveillance a nd Informantaa 116 Afi/itary Flom. M C Brown. 8, Adams. A.I lonea.
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.4 cc c/ s O. i s o d g p p,n pg,,
Assistance Programs.-. Reaping the Testma For Druss of Abuse." Research Cresoire. K C 1979. ' anuary. "An Evaluation Benefita." Connecticut. Univ. of Sloon Monograph 13. NLDA. Washmston. DC:
l of Seseral Aspects of a Consort,ium Afonagement Review. Vol 25. No. 3. pp. 69-U S. Cost. Pnntms Office.
Employee Assistance Propam 73.
Dessenotion Abstrocu InternationoA U StapletorL I M. Cuthret S, a Linnoila. M.
Hawks.R.L(ed11981"ne Analyst of Cannabmoid in Biological Fluida." N[DA Nebra ska. Lncoln. Vol 39 (7 8) 3567 0966L Effects of Alcohol and other Research Monopsph 42. KHHS Pub No.
Hanson. O l.1947. "Drug Abuse Testang Psychotropic Druss on Eye Movement:
(ADM)a -1212. We shmaton. DC; U S. Covt Programs Caming Acceptance m Relpance to Trame Safey./oum/of Pnntirig O mce.
Work p! ace " Chemicaland Engmeenns Studies on A/ cobol. M5h 426431 Nc= s Vol. 64. No 22. pp. 7 14.
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Kotan. M la Ratt. l.A; Pierson. D I:Willsort Han k e R L Chams. C.N 1966. "Unna Benefit Analysis for Employee Assistance N l,19% ApnL *Connnnation of Syvs Testmg for Drvts of Abuse." Research Props ma." Personnel Administrator Vol Enzyme Multiple 1minunoassay Technique Monegraph 73. National!nstitute of Drug
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(EMfT) d a u. and Roche Abuscreen Abuse.
Tims. Frank M., and Sherry Holland.1984. "A Radioimrnunoa ssay (RIA) (1231) Un ne Cannabmond Immunoassays by Ces Hoffman. E.; Roman. P M 1964. May.* Effects Treatment Evaluation Agenda: Discusanna of Sapenisory Style and E.spenmentally and Recommendation."N/DA Chromotagtsphic/Maes Spectroreetne Based frames of Reference on Af0NOCRAPH 83.
(CC/MS) and Bondedfhase Absorption /
Oreanizational Alcohohsm Propems."
Trice. H M4 Beyer. I M,1984. September.
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Job. Based Alcohobsm Propam."Corre//
Danoils. M. Cuthne. 54 La ter. R,1986.
' Patient Vanations in Alcohol Treatment U he" Vork State Schoolo//adusttrole "Mechanisms of Drsa laduced Itnpairment Utaastion." Buamese a Health. Vol 4. No.
Lobor Relations /ourno/ of Studies on -
O'Hanlon. I F deCier. l J. eds. Taylor &
of Dnyms "Ist Druss and Dntms.
5 pp 1S-Is A/cohol. Vol. 45. No. S. pp. 393 404.
Hubbard. Robert L S C. Craddock and United States Senate Comfrussion on anc a
1 Ebrateth Cas anaugh.1964. "Treatment Commerce. Science. and Transpor1ahort P,
p Outcome Prospective Study (TOPSL Chent Weshmgton. DC 20510.1987. Apnl Hewk e. R L Chiang. C.N. NIDA. Research Charutenstics and Behaviors Before.
Tronsporterion Employee Sofety and Monograph 13 Unne Teeting for Drugs of Dunna. and After Treattnent."N/DA Rehobilitation Act of1987. Report Together Abuse. Departinent of Health and Human MONOCRAPH ssl.
with AdditionalandMinorrty Views.
S*rvicer kennedy R S. Turnage. l.T. and Lane. N r.
Calenda r No. 97; 100-143.
Manno. l L 1946. "Interpretation of 11984) Application of a Portable WestermarL S T, Gilbert. LM, a Unnelysis Results." In: Hawk s. R L Merocomputer Mento/ Acuity Botteryfor Shrowebury. N J. (1981. September). A Non.
Chiana. C.N.19as NIDA. Research Faness for. Duty Assessir.ent in Poner Invasive Method of Quahtstne and Monograph 13 Untie Teshes For Drugs of P! cal Operations Essen Corporehon repcrt Quantitative Measurement of Drugs. The Abuse. Department of Health and Human presented at 1988 IEEE Fourth Conference Lorynegoscope. 91.1536-1547.
SWces.
on Human Factors and Pown Ptants.
Weethiemer. C. (1963). Amphetamine.
McBurney. Ll; Bobbie. B A; Sepp. LA4 1986 Mor.terev CA lune M 19e4.
Barbiturates, and Accommodation.
"CC/MC and Emit Ansi ois for Anal)ses t
Masi. D.1967, March. "Company Responses convergence. Archives of Ophtho/mology, for Delta 9.Tetrahydrocannabmol i
to Drug Abuse from AMA e Nauonwide 132 134.
Metabohtes in Ptasma and Unne of Human Sun ey.
- Personne/. Vo* so. pp. 44.a WilkmoorL IM i (19e6. July). The influence Subjects." /vurnalof Analytical McClellan. K 19% October-December.
of Drugs and Alcohol Upon Human Eye Tosteology Vol 10 "WorkSaeed Drug Prostems Tn. county Movement. Proceedings of the Royal Moscowits. H 1945 "Shiba Performsice at Employee Asiistance Prettam. Akron."
So:icty of Afedicine. op. 47S 4M taw B:ood Alcchot Lavett ' /ournal of Ohio fournol o/ Ps rchooctne Orvss. Vol Willetie. R L toes Drug Tesung Programa in Studies on A/cohol. Volume so. No 8.
f t. No a pp 285-)o3.
Hew hs. R L and Chians. CE Eds. Ursae Page 11-15
3k822 Federe' Register / Vol. 53. N:.184 / Thursday. Septemb r 22. 1988 / Proposed Rules O Hanlin. I F. Brookhuis. KA, Lou werene.
Vaillant. C.1983 The NaturolH,ssory of collection of information. includms l W. Volkens. ER 19no. -Performance Alcohohsm. Harvard Uruversity Press.
Testine as Part of Drus Resistrenon."In:
Waldort D., and P. Biemackt.1961. "The suRRestions for reducing this burden, to Drvas and Drmne O Hanlon. l F deGier.
Natural Recovery frorn Opiata AddactJon."
the Records and Reports Management II eds Tavior & Francas. 1986.311-330.
/ournalof Drug Issues.11.
Branch Mail Stop P-530. Division of Peat. M A.. F.nkte. B S Leymert M E.1982.
Wesson. Donald R Barbare E Havassy, and Information Suppnet Services. Office of In: Itav ss. Kl ed.1942. NIDA. Reoeeren David E Struth.198tL "Theones of Relapee Administration and Resources Monoetsch 42.Pe Analysis of and Recovery and heir impbcations for Management. U.S. Nuclear Regulatory Cannabinoids in B4otoescal mids.*
Dn:g Abun Treeur.enV N/DA Aesearch Commisstort Wsehmston. DC 2a555:
Depanment of Health and Human Services.
Monortoph af1 Radlow. R Hurst. P M.1965.
- Temporal and to the Office ofInformation and Relanons Betwwn Blood Alcohol Backfit Analysia Regulatory Affairs.Offies of Concentration sad Alcohol Effect An Expenment min Human Subsects?
Because this rulemaking modifies a Manatement and Budget. Washington.
DC 20503' Ps> cticpha rmaculoey. Vol. 65.
pnor Commission position by adding a Ross LL and Ross.S M. 1985.,200- r;6.
new rule, a draft backfit analysis has Regulatory Analysis Alcotiol and Drue Use in Avsano L" Alcoho/ Heonh and been prepared pursuant to 10 CFR 50.109 Rescorch Word. S.ar.mcr.1965. Vol 9. No.
in which a prehminary finding is made An analysis of the costa and benefits 4 pages M-4t.
that the rule will provide a substantial of the proposed rule is included in the Verebey K.1987.'Cocause Abuse Detecuon increase in the overall protection of draft backfit analysis described above.
by laborators Methoda? t/c Washton.
public health and safety and that the Environmental Assessment and Findiot A M. Gold M S-eds.1987. Cocaine A direct and indirect costa of of No Si nificant EnvironmentalImped 8
a n a Honobook. Guilford Press New implementation are justified in view of the increased protection. As noted. the identification of Proposed Action: De P. /leir st/tution of Unescorted Acteu finding is preltminary and the proposed rule would require hcensees Dabor. Thomes. F Ned L Codney, and Commission requests comments on auti orued to operate nuclear power g, chard I. La uermart 19na. "ne Drug appheation of the backfit rule to this reactors to implement a fitness for. duty Dependence Spdrome Concept as an rulemaking as presented in the draft prograri whose general objective is to Orsanising innetcie sti the Esplananon analysts.
provide reasonable assurance that ano PNdictaen of Relapse? N/DA Aescorch Under the backfit rule the Commission activities associated with nuclear power Macemph r1 has two options with respect to backfits lant operations are carned out in an Cute S. E Cole. W. Lahman. and W. Jones.
last. "The Combined Tree"nent of Omg it bebeves are needed. The Commasoon environment which is free of Ihe effects and Alcohol Abusers. An Overuew?
can make the required findmg of of drugs. Under the proposed rule,
/omolofOme Asues. st.
substantialincrease m overall testing for impermissible drug use would i f ubbard. Robert L. and Mary E. Marsden.
protection of public health and safety, or be conducted prior to authonzing 19as. Relapse to Use of Herosa. Cocaine, it can decade that the rule in question to unescorted aceses to protected areas or and O'her Druss in the First Yest Aftet necesaary to provide adequ4ta assignment to other activities within the Treatmeni? A/DA Research Monesresh protection to the health and safety of the
'C d
I' d ly f
- I pubhc and thus not sublect to backfit sucilice see ad ontractor rs nne 14ffe. lerome IL 1944. -Entua ting Drut analysis. Although the draft backfit aftu certain operauonal events, based Abuse Treatment: A Comment on the State ofit:e Art?N/DA Asseon:AMonograph analysis adopts the first option, the on reasonaMe caun, and to unh
, II.
Comfrussion also desires comment on conunued abstentiorv in addition, the MaJdus. James F, and David P. Desmond, which oI these two options is the more proposed rule provides for other basic 1w "Relapse and Recoury tn Substance appropnate for this rulemaking, fitnese for. duty prottram elements such
.pse Careers N/DA Asseo/th The draft backfit analysis is available as he d v Io en f n p li
..f w e:h **2 M Clellen. k m4 -work. Baud Drue for inspect on and copymg for a fee at P
E
, e the NRC Pubhc Document Room at 21:0 trainmg of supervisors and employees.
Nrams? /0eolo/Psychoocen e Ortys.
L Street NW. (lower level). Washington.
standards for drug 1esting, management 38 Roun'saville. Bruce l me.'Chnical DC. Single copies ma be obtained b7 actions, and requirements for employee Impacations of Reispie Researca? N/03 wnting to the U.S. N clear R*alatoiy assistance programs and appeel Research Moneymsa erg Commission. Washing:en. DC 2 M55.
Procedures l$ tion 7o Paperwork Reduction Act Statsmeet The Need for the Proposed Action' Ab etment The Nuclar Regulatory Commission ouicerse ResearctcN/DA A,secrea Uls proposed rule amende recognitas drug abuse problems to be a Meoemca est.
5 peon. D.1%e. -Nabonal Treatment informataca collecuan requirer,ents that social, medical and safety problem S ilem Euh.ation Based on the Drug are subject to the Pacerwo '. Reduction affecung every segment of our society.
Abuse Reportina Proersm lDAJtP)
Act of 1980 (44 UIC. 3501 et seg 1. This Given the perusiveness of the problem.
F llomos RewarcA,'N/DA Assearch rule has been submitted to the Offlee of prudence mdicates that the Commission hlanagement and Dudget for review and consider measures that would contmue s$nfson$and herry Marsh. was "Relopeeapprovalof the paperwork to reasonably assure that the effects of end Recosety Amoeg Opeode Addicts 12 requirements.
drugs do not adversely affect the publ.c Years Afur Treatment." N/DA Research Pubhc reporting burden for this health and safety.
Moncsmth art collection of information la estimated to The Commission recognizes and Empson.D.and S Sell.1982. Effecuveneee of Treatment for Drs Abwe. An Ouruew averase 8 hours9.259259e-5 days <br />0.00222 hours <br />1.322751e-5 weeks <br />3.044e-6 months <br /> per responsa. includmg appreciates the significant efforts t
of the DART Research Prograin." Advance time for reviewmg instructions, already undertaken by the Nuclear I
Sr4cs /Or Akcho/ cadSuptance Abun.
searching existing data sources, Utihty Manseement and Resources I
gathenng and maintaining the date Council (NUMARC). the institute of T As Fra nk M. and Carl C. luekefeLi 19M.
needed, and completing and reviewmg Nuclear Power Operetions (INPO). and
'11ela:ee and Recovery in Drug Abde: As the collection of information. Send the Edison Electric Institute IEEll. and letteduthon? NfDA A# search Mones/cph comments regarding this burden each nuclear power rear'or hcanset m e r.'
estimate or any other aspect of this developing and implemenurig fitness-
b reder:I Renister / Vcl. 53. Na 184 / Thursd:y. Se;tember 22. 1988 / Prop: sed Rul;s 36823 e
for duty programs for nuclear power plant personnd. Nevertheless, the the Commission hereby certifies that 5"-
Commission's evaluation of expenence this rule will not have a significant M 73 8 'P*"'" 8 N *' * ' "'
gamed smce its pokey statement was economic impact on a substantial Audits published in the Federal Register on number of small entities.The proposed August 4,1986. mdicates that new to CFR Part 26 applies to certam 2a.ao Audits.
rulemaking is now appropnate to owners and operators of civilian nuclear E*I*"****'
achieve further improvements.
power reactors and their contactors. The 2sso Violabons.
EnttronmentalImpacts of the companies that own these facthties do Authony Sna. n 81.103.104.1% les se Proposed Action: The proposed rule not fall within the scope of"small sist.930 sn 834.93r.s39 eaa.n amended w ould require certain management entities" set forth in the Regulatory actans and procedures intended to Flexibility Act of the small busmess size $$8[2073,2 Q2. NiN12k gg se minim ze the probabihty of human error standards set out in regulations issued 12ae. u amended (42 U S C 5641. 5642. 5846L that could endanger the public health by the Small Business Administration in For the puroses of sec. 223. 64 Sist. ess. as and safety. Although these activities 13 CML Part 121. Any costs to the mmor amended (42 U s C. 22?al li ta 20. 2621.
would have a social and eccnomic number of small entities affected. i.e 28 22. N23. ta 24. 2n 25. 26 27, 2s 24. 2129 and 26 so are issued under secs leib and I. so impact. the impact on the environment contractors, wul apply only to those Stat. 944. and 949 as amended 142 US C.
would be positive in that there would be contractor employees working at the 2201(b) and hil. ll 26.7o. 26.71, and 26.73 are some reduction la the probability of a nuclear power reactors, and would issued under sec. tet o. 64 Stat. e50, as radioactivo release due to human error probably be reimbursed throu6h the amended 142 U.S C. 22011oll.
contract.
a erson impatred from the effects of Genees) Provisions Altematives to the Proposed Actiotu The pnncipal alterhative would be to Fitness for duty. Chemical tutmg.
This part presenbes requirements and take no action and continue to use the Drug abuse. Drug testing. Employee standards for the estabbshment and Commitston's pokey statement of Assistance Program. Management maintenance of certain aspects of August 4.1986151 FR 27921). Smce the actions. Sanctions. Appeals. Protection fitness for-duty programs and Commission has concluded that no ofinformation. Reportmg and procedures by the beensed nuclear ads erse environmental effects are Recordkeeping requirements. Nuclear
- industry, associated with this proposed actjen*
power reactors, any attematives with equal or greater For the reasons set out on the environmentalimpact need not be preamble and under the authonty of the (a) The regulations m this part apply paluated.
Atomic Energy Act of 1954, as amended.
to licensees authonad to operate a Attemative Use of Resources:This the Energy Reorganization Act of Ip?4, nuclear powar reactor. Each licensee action involves the use of health care as amended. and 5 USC. 553. the NRC shallimplement a fitness.for-duty professionals and facilities not is proposing to adopt a new to CFR Part program which comphes with all previously considered in connectica
- g, a
sections of this part.The provisions of with the Fmal Enytronmental
- 1. Part 28 is added to 10 CFR Chapter i the fitness.for. duty program must apply Statements related to any liceosed to read as follows.
to all persons granted unescorted access facthties.
to protected areas, and to licensee or Agencies and Persons Consulted:The PART 26-FITNESS FOR DUTY SRC staff considered numerous PROGRAndS contractor personnel required to respond to a heensee's Techmeal documents which are hated in the above b bhagraphy, and has met with Geners) Proustoaa Support Center (TSCl or E/nergency Operations Facihty (EOP) m accordance representatives from NUMARC and four 5 unions IThe In terna uonal Brotherhood with licensee errergency plans and of Electrical Work rs, the Intemational y1 gPu procedures. The regulanons m this part s e-Union of Operational Engineers the Oil.
2s.3 Dentu' ons.
do not apply to NRC representatives, u
law enforcement personnel. and offsite
.hemical and Atomic Workers Union.
28 4 IMupreisuona.
emergency fire and medical response 26 8 Esempuons.
and the But!d'og and Construction 28.7 Informanon couecnon requirements:
personnel while on official duty.
Trades Department of the AR-CIOl. the oMa approval.
(b) Die requirements in this part must a o alInst tu e on A
. nd General rerformance objecevee be implemented by each heensee authonted to operate a nuclear power Dattelle Human Affairs Renarch Center. 1410 C'8"al puformance obactae, reactor no later than finsert date 90 daye Fmdings of No Sigmficant Impact: The Commission ha s determmed under the Progrun Elements and Pme dure.
- 'P
'P wnteen pelicy and poceduree-re nent np e'trando National Environmental Policy Act of,a. 2620 2& 21 Pohey comme 4 canon and emerenese drug testing contained in i 2624 which 19159. as amended and the Commission regulations in Subpart A of 10 CMt Part training.
must be implemented no later than 28 22 Training of supervisors sad escons.
(Insert date 180 day: after publication of
- 51. that this rule if adopted, would not 28 23 Contractore final rule).
be a maior Federal action significantly 2s24 chemical tuuns.
affecting the quahty of the human 28.25 Employee Assistance Programs (EAP) g gg,3 p,,w,$,,,,
environment and therefore an 28 27 Mananment acuena and sanchone to
, Aliquot,, means a portion of a enuronmentalimpact statement is not be imposed.
required.
2s 24 Appeals-specimen used for testing.
to 29 Protechon of informatios "Commission' means the Nuclear Regulatory Metibility Act Certification Regulatory Commission or its duty Inspections. Recorde and Repona authonted representatives.
!n accordance with the Regulatory 2sto inspecuens.
"Confirmatory test" muns a second Fleubihty Act of 1980. 5 U.S C. 605(b),
2a 71 Recordt eepins requirements.
analytical procedure to identify the
36A24 Federal Register / W1. 53. Ns.184 / Thursday. September 22. 1988 / ProposId Rul;s presence of a specif;c drug or metabohte employment in accordance with a and procedures designed to meet the which is independent of the trutial test fitness.for duty pobey.
general performance obtectives and and which uses a different technique "Unannouned testmg" ma6ns specific requirements of this part. Each and chemical pnnciple from that of the imaaounced random teets.
initial test tn order to ensun rehabihty hcmsee ehau retam a copy of the ono accaracy.
g current wntten policy and procedures us a record until the Commission "Confirmed positive test" eneens the Excapt a s spedfically authenzed by result of a conhrmatory teet has the Conmnasion in wnung, no termmates each license for which the confirmed the presence of interpretauon of the maanma of the pohey and proceduees were developed concentreuent of drugs or metsbolites regulauona to this part by any officer or end.if any portion of tb pohcies and in a specimen above the "cutofflevel.a amployee of the Commission other than procedures are superseded. retain the "Cutofflesel"rnean the value set for a c.tten interpretsuor by the General superseded matenal for three years after designatmg a test resuh as positne.
Counsel will be recognized to be bming each change. As a mWmum.wntten "Drug abuse"means the use of a upon the Corntnissioa pohcies and proceduris shatt address fitness for duty through the following.
psychoactive substance for other than j x.s tiempteena.
(a) An overall desenption oflicenste medical p'urposes which impairs the physical. mental emotional or social The Comnuttee may, upon apphcation pobey on fitness for duty. The pohey well.being of the user.
of any interested persen or upon its own shad address abuse ofillegal drugs and "Follow.up testms" means chemical initiative, grant such exeroptions from legal drugs (e 3., alcohol, presenption testmg at unannounced intervals, durms the requirements of the regulations in and over.the counter drugs). Ucensee this part as it determmes are authonzed policy shall also address other factors or as fo'bw.up to treatment, to ensure by law and wtij not endenser hfe or that could a!Tect fitness for duty such as that an employee is mamteming property or the common defense and mental stress, fattgue and illness.
abounence from the previously secunty and are otherwise in the public Written pobey documents shall be in identified abuse of drugs, interest.
sufficient detail to provide affected "For cause testma" means chemical individuals with information on what is testma at the request of a supervisor, or 1 26.7 iMomation soseceoa expected of them and what other responsibie management official nownmentamass asemat consequences may result from lack of based upon reasonable suspicion that a The Nuclear Reeulatory Commission person is impaired or may have used has submitted the information collection adnerence to the pohey.
(b) A desenpuon of programa which druas.
requirements contamed in this pa,s of are available to personnel desinng
"!!]egal drugs" means a controlled the Office of Management and Budget asststance in daalmg with drug or other substa nce included in Schedule I or 11 of (OMB) for approval as eequired by the problems that could adversely affect the the Controlled substances Act. as Paperwork Reduction Act of1980(44 performance of ecovition within the a mended. 21 U.S C. 801, et seq The term USC. 3501 et seq ). OMB has approved scope of this part.
"illegal drugs"does not mean the use of the informauoo collection requirernecta (c) Procedures to be utibrad in testing a cortrolled substance pursuant to a contamed in this part under control for drugs,includmg procedures for vabd prescription or other uses number 8
authonzed by law.
(b)The approved informabon protectmg the employee and the "lmpainnent "means deficient or collection requirements conteined in this integnty of the spectmen. and the quahty controls used to ensure the lest d amishmg on4be-job perfortnane, part appear in il WO,26.2t 26.22.
results an vabd and attnbutable to the resultmg from physiest of psychcloincal W3. 26.29. 26.71. 26.73, and 28A0.
cornet individual.
stressors. that may include abuse of dnaas or other substances.
General Performance Objectivas (d) A desenption ofimmediate and follow on actions which will be taken.
"Initial screenma test" means an iM.to Generalperformance oNectives, and the procedures to be utikred. in immunossay screen to ehminate Fitness.for. duty programs sheth those cases where employees or "neestive" unne specimens from further (a) Provide reasonable assurance that contractors assianed to duties wtthin the consideration.
nuclear power plant personnel are not scope of this part are determmed to "Protected area" has the same under the influence of any substance..
hase been tavolved m the use. sale. or rneaning as in 173.2tgl of this chspter, legal or illegal, or mentall an eres encompassed by physical impaired from any cause,y or physically possession of illegal drues.
i which in any barners and to which access is way adversely affects their abihty to l M 21 Poney commnicaboas and controlled.
safely and competently perform their nanness treems "Random test" means e eystem of duties.
(a) Persons assianed to activities unannounced drug testma imposed in a (b) Provide reasonable measures for withm the scope of this par 1 shall be statistically random manner to a group the early detection of persons who are provided with appropnate traming to so that ab persons within that Jrroup not hl to perform activities within the ensure they understand-l have an equal probabihty of selection.
scope of this part; and (1) Ucenace pohey and procedures.
"Suitable inquiry" maana venficanon (c)Have a goal of achieving a drug-includms the methods that will be used l
of emplobment history for a mirumum of free workplace and a workplace free of to implemert the pobeyhubhc health and the past e years, oblemed through the effects of such substances.
(2) The personal and cc,ntacts with previous empbyers to Prograr.a Elements and Procedures safety harards associated with abuse of l
determme if a person was,in the past, drugs:
tesied positae for theyal drugs. evb}eci lN 20 wntten poney and procedures.
Oj The effeci of presenplion and over.
l to a plan for treating drug abuse.
Each heense subject to this part shall the. counter druss'and dietary conditioni l
remos ed from, or made inebsible for estabhsh and implement wntten pohcies on drug test results. and the role of the actaities withm the scope of 10 CG Medical Review Ofhcer:
Part 25. or denied uneocorted access at e w i w. con,,,, n,,,s..n er.we, in (4) Employee assistance programs ar.y other nuclear puwer plant or other f.nei ns m i provided bv the bcenser: and I
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..s Federal R: sister / Vol. 53. No.184 / Thursday. September 22, 1988 / Propos1d Rulsa 36825 (5) What is expected of them and bcensee's fitness.for duty pohey, or discretion, may impirment programs what consequences may result from lack matntattung and adherema to an with more stringent standards (e g..
of adherence to the policy, effective fitness.for-duty program which lower cutoff levels). Management (b)Imual training must be completed meets the standards of this part and actions wah respect to persons who fail paus iu.%nant to activities within (b) Personnej having been denied a more etnagent standard. but do not the scope of this part. Refresher traming access or removed from nuclear safety test poslove under the HHS Cuidehnes must be completed on an annual basis, activities at any nuclear power plant for incorporated in tbs rule, would also be or more frequently where the need is violabons of fitness.for. duty policy will at the discreuon of the beensee.
indicated. A record of the training shall not be assigned to contracted work (c) Ucensees shall test for all fa e be retamed for a pened of at least three without the knowledge and consent of drugs or classes of drugs desenbed in years.
the licensee.
paragraph 2.1(a)(1) anti (2) of the HilS
( 26.22 TrsWng of supervisors ams 128.24 09% seetmg.
Guidehnes. In addition. heensees shall c nsuk we locallaw enforcement "c ort s.
(a) To provide a means to deter and (a) Managers and supervisors of detect drug abuse, the licensee shall authonties and drug counsehng services activities within the scope of this part implement the following chemical to determme whether other drues ce shall be provided appropriate training to testing programs for persons subject to
',d " th geograp cal le of ensure they understand-this part:
Yn (1) Their role and responsibilities in (1) Testine immediately before the Where appropriate, other drugs so implementing the program; initial grantmg of unescorted access to
,dentified must be added to the hst of
- 12) The roles and responsibihties of protected areas or assiFriment to drugs bems tested. Conservative cutoff others. such as the personnel, medical.
activities within the scope of this part.
limits must be established by the and Employee Assistance Program (2) Unannounced tests imposed in a l'censee for these drugs.
(EAPI st affs:
random manner.The tests must be (d) Ucensees may conduct (3) Techniques for recognizing drugs administered so that a person preliminary tests of an aliquot prior to and indications of the use, sale, of completme a test is immediately ehgible forwarding selected specimens to a possession of druss.
for another unannounced test contract laboratory meetma the (41 Behauoral observation techniques (1) Alternative A: The tests must be requirements of paracraph (e) of this for detectmg degradation in conducted m a manner that assures that section, prouded the bcensee's staff performance, impairment. or changes in at least 90 percent of the individuals possesses the necessary training and emplo> ee behavior (in the case of withm the scope of Ihe rule are tested skills for the tasks assigned. their escorts, the behavioral observauon each year, that testing is performed quahfications are documented. and techniques shall cover detection of throughout the year and that testmg adequate quality controls are impairmentl: and rates for individuals aheady tested with implemented. Quality control (5) Procedures for initiating negauve results not be lower than 30 procedures for preliminary tests shall appropnate corrective action. to include percent per year (2% percent per month) include the processmg of bhnd referral cf employees for counsehnp or for the remainder of the testmg year.
performance test specimens and the treatment (in the case of escorts this (ii) Alternative B: The tests must be submission to the contract laborator) of shall cover reportmg to apprepnate administered throughout the year at an a sampims of specimens iniually tested managementl.
annual rate equivalt.nt to 300 percent of as negative.
(b) Persnns assigned to escort duties the population subject to such testmg.
(e) Quahty controls and procedures shall be provided appropnate trammg to (3) Testing for-cause.1 e immediately for contract laboratones shall be ensure they understand the matters following any of served behavior consistent with the HHS standards for contamed in i 26.22(a)(3), (4), and (5).
Indicalmg possible drug abuse: after "Certificauon of Laboratones Engaged (c)Init;al training must be completed aceto;nts invralving a failure in in Urine Drun Tesung for Federal prior to assienment of duties within the indnidual pr.rformance resulung in Agenices,"(these guidelines are scope of this part and within 3 months of personalinjury. in a radiation exposure av'ailable for review at the Pubhc inihal supervisory assignment, as or release of radioactivity in excess of Document Room. 2120 L St., NW.,
apphcable. Refresher training must be regulatory hmits, or actual or potential Washington. DC 20555. and will be completed on an annual basis, or more substarual degradations of the level of pubbshed with the final regulations)-
frequently where the need is indicated, safety of the plant; or after receiving Contract laboratones shall conduct A record of the traming shall be retained credible informauon that en individual iniosi screenmg tests and confirmatory for a penod of at least three years.
is abusmg drugs, tests on all specimens forwarded for (4) Follow.up testing on a random testmg. Ucensees shall submit bimd i 26 23 Contractors, basis to venly contmued abstention perforTnance test specimens to contract All contractor personnel performing from the use of drugs, laboratones in accordance with activities within the scope of this part (b) Testma for drugs shall, at a paragraph 15(d)(2) and (3) of the HHS for a licensee must be subject to either minimum, conform to the "Mandatory Guidelmes.
the hcensee's program relating to fitness Culdelmes for Federal Workplace Drug for duty or to a program. formally Te:Ung Programs"lasued by the lit 25 Employn Assistanu Provems reviewed and approved by the bcensee.
Alcohol Drug Abuse and Mental Health (LAP).
which meets the standards of this part.
Admmistranon of the Department of Each licensee subject to this part shall Written agreements between hcensees Health and Human Services {these maintain an Employee Assistance and contractors for activiues within the guidelmes are suitable for review at Program to strengthen fitness.for.dut) scope of this part shall be relained for the Pubhc Do ument Room.2120 L St programs by offenna assessment, short.
the hfe of the contract and will clearly NW., Washington, DC 20555, and will be term counsehns teferral setsices, and show that-pubbshed with the final regulations),
treatment monitorms to employ ees with (a) The contractor is responsible to hereinafter referred to as the HHS problems that could adversely affect the the hcensee for adheremg to the Guidelmes. Ucensees, at their performance of actiuues withm the
~
36826 Federal Raister / Vol. 53. Nr.184 / Thursday. Septemb:r 22, 1988 / Proposed Rules scope of this part. EAPs should be appropriate must be initiated as any instance of this occurrence, the designed to achieve early intervention appropnate, dunng such suspension appropnate Regional Administrator and proude for confidential assistante penod. Satisfactory management and shall be notified immediately by (except where safety considerations medical assurance of the individual's telephone. During o'her than normal must prevail). EAP staff shallinform fitness to adequately perform activities working hours. the NRC Operations licensee management when a within the scope of this part shall be Center shall be notified.
determmation has been made that a obtained before permittmg the self.refernns indmdual's condition Individual to be returned to thesa IN N A8****
constitutes a hazard to hilhself or herself activities. Any subsequent confirmed Each licensee subject to this pa.t shall or others.
positive test shall result in removal from establish a procedure for employees and unescorted access to protected areas contractor / vendor employees do appeal Nn$f*,"N*,'j'"' **d and activities within the scope of this fitness for duty determinations that (r ) Prior to the mitial granting of part for a minimum of three years from could have en adverse effect on the the date of removal individual's employment. The procedure Ihe as nment to activftfe vi hi the (2) Anyindividual determined to have must provide notice and an opportunity h
been involved in the sale, use, or to respond and be consonant with licen ce h 11 o ta n a w te s't ement possession of illegal drugs while within fundamental pnnenples of due process.
from the individual as to whether a protected area of any nuclear power Where app icable, gnevance review actmtics within the scope of this part plant shall be removed from activities
{rocedures contamed in collective were es er denied the individual and within the scope of this Part.The argamms agreements covenns the shall complete a suitabla inquiry to individual may not be granted bargainmg unit of which the employee is determine if that person was. in the unescorted access to protected areas or a member will normallly meet this pa st, tested positive for illegal drugs, assigned to activities within the scope of requirement, and they may be used for or remosed from cctivities v.ithin thelan for treating drug abuse, this part for a mmimum of five years this purpose whether or not the subject to a from the date of removal, administrative action taken is a scope of this part. or denied unescorted (3) Persons removed for periods of gnevable action under the contract.
access at any other nuclear power plant three years or more under the provisions l M.M Protection of informacon.
in accordance with a fitness.for duty of the above paragraphs for the illegal a
ch censee '
'. P pokcy. lf such a record is established, sale, use or possession of drugs and who the new assignment to activities within would have been removed under the f
a o
'{jQdg,P,,,,ng P"[(8QgC]I i"8 the scope of this part or grantmg of current standards of a hiring licensee.
j Y
g unescorted access must be based upon a may be granted unescorted access and mana gement and medical determination assigned duties within the scope of this maintain a system of files and of fitness for duty and the establishment part by a licensee subject to this Part procedures for the protection of the I
of an appropriate follow.up testing only when the hinns licensee receives
[e maintained until the Commissioners nalmformatio program, provided the restnetions of satisfactory medical assurance that the paragraph (b) of this section is observed. Person has abstained from drugs for at termmates each license for which the To meet this requirement, the identity of least three years. Satisfactory system was developed.
persons denied unescorted access or management and medical assurance of (b) The licensee shall not disclose the removed under the provisions of this the individual's fitness to adequately personalinformation collected and part and the circumstances for such perform activities within the scope of maintained to persons other than denial or removal, including test results, this part shall be obtained before assigned medical review officials. other will be made asailable in response to an permitting the individual to peform licensus legitimately seeking the inquiry by any company or its activities within the scope of this part.
Information as required by this part for contractor falling under the scope of this Any person granted unescorted access employment decumns and who hase part Failure to hst all previous or whose access is reinstated under obtained a release from current or emplo)ers and ressons for removal or these provisions, shall be given prospectin employus or contractor revocation of unescorted access shall be unannounced follow.up tests at least - appropriate law enforcement officials.
personnel. NRC representatives.
cause for denialof unescorted access, once every three months for three years (b) Each hcenset subject to this part after reemplopnent to venfy continued the sutiect individual or his or her shall as a minimum, take the followmg abstinence from drugs. Any confirmed representative, or to those licensee actions. Nothing herein shall prohibit use of drugs through this process or any personnel who have a need to have the hcensee from taking more stringent other determination of subsequent access to the information m perforrr.mq action.
invohement in the sale, use or assigned duties.
(1) Lacking any other evidence to possession of illegal drugs shall rese 'n lospecdons, Records and Reports indicate the use. sale, or possession of permanent denial of unescorted accese.
illegal drugs onsite. a confirmed positive (c) Refusal to provide a specimen for I MJ' I"**"#8"*.
test result shall be presumed to be an testing and resignation prior to tenioval la) Each licensee subject to this part indication of offsite drug use. The first for violation of company policy shall permit duly authonted confirmed positive test shall, as a concerning drugs shall be recorded as a reprt sentatives of the Commission to mmimum result in immediate removal removal for cause. Such records shall be inspect its records. premises, activities, frem actmties within the scope of this retained for the purpose of meetmg the and personnel as may be necessary to part for at least 14 days and referral to requirements of 126.27(a).
eccomplish the purposes of this part.
the EAP for assessmen: and counseling (d)lf a license has reasonable belier (b) Written agreements between durms any suspension penod. Plans for that an NRC employee may be under the licensees and their contractors will treatment. follow.up and future influence of any substance, or otherwise clearly show that the-employment. shall be developed. and unfit for duty, the licensee may not deny (1) 1.icensee is responsible to the any rehabihtation program deemed access but may escort the individual. in Commission for mamtaming an effectis e l
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Federal Re1rister / Vol. 53. Ns.184 / Thursday. Septemb:r 22. 1988 / Proposed Rules 36827 fitness for duty program in accordance Washington. DC 20 55.The licensee (3) Any rule, regulation, or order with this part. and shall also submit one copy to the issued under these sections. or under (2) NRC may inspect. copy. or take appropnate NRC Regional Office.
section tot of the Act; away cc rnes of any beensee or Wntten reports shall not include the (4) Any term, conddian. or hmitation contractor docurnents. records. and names of the individuals.
of any license issued under these reports related to implementation of the (b) Fitness.for duty events shall be sections: or hcensee's or contractor's fitness.for. duty reported under this section rather than (5) Any provisions for which a license program under the scope of the
. reported under the provisions of ( 73.71.
may be revoked under section 166 of the contracted actaitics.
Audits Atomic Energy Act of 1954.
I 26.7 t Recordkeepir>g requirements.
(c) Any person who widfully uolates I tem Mts, Each hcensee subject to this p,srt any provision of the Atomic Encray Act shall-(a) Each hcensee subject to this part of 1954. a s amended, or any regulahon (a) Retam records ofinquines shall cause the htness lor. duty program or order issued under the requircmenis I be audited at least once esery 13 of the Act. include regulations under tha condccted in accordance with I 26 27(a).
that result in the grant:ng of unescorted months. In addition, audits shall be part may be guilty of a enme and, upon access to protected areas. until three conducted. at least once every 13 conviction, may be punished by fme or
) ears following termination of such months.of those portions of htness for.
impnsonment or both, as provided by access authonrations:
duty programs implemented by la w.
(b) Retain records of confirmed con actors g on rac ors unducted Y other Daitd at RMeMaMand, dis M 4 positive test results w hich are concurred d e dn of September. tess.
in by the Medical Reuew Officer. and I',C'",s e '
re;ad For the Eclear Replatory comm. sun the subsequent personnel actions for a
,ctor fo p nod e
penod of alleest three years: and copy of the audit report toinclude 8*'"II N '
(c) Retain records of persens made findmgs. recommendations and Secretary o/Me Commission tr.ebc.ble for three 3 ears or lonner for corrective action must be provided to ILi'lonel note: This append. mit noi auynment to activities withm the scope each shannt utihtY and made available
- ppear in the Code of Federal Regulai.ond of this part under the provisions of on site for NRC inspection. Licensee Appendix to the Document sp : i yf the 1253(b)(1). (:) (3) or (e) until the
'j{a Tilness for. Duty Program Elemer:ts Nut Commission terminates each heense ur. der which the records were created.
eng the imp lemnitation og appropnate includedin the Proposed M CTR Part 26 (d) Co!!ect and comptie fitness for.
corrective action.
The Commission has decided not to duty program performance data as (b) Audits shall focus on the include several matters in the proposed described in NRC Form 8The effectiveness of the program and be fitness fot duy rule. but seeks data shall be analyzed and appropnate conducted by individuals quahfied in comments as to whether these matters actions taken to correct program the subject (s) being audited, and should be added to the rule or included weaknesses. Such data and analysis independent of both program as recommendations m implementing shall be retained for three years and management and personnel directly
- guidance, made available for inspection by the responsible forimplementation of the NRC.
fitness for duty program.
- 1. Expand the scope of the rule to (c) The result of the audit, along with include other activities directly related i 26.73 Reporting requirements, recommendations. if any, shall be to nuclear safety by beensee and (all1) Each hcensee subject to this documented and reported to senior contractor personnel. This could include part sh6tlinform the Commission of corporate and site manageraent.The engineering and quality assurance significant fitness.for. duty events resolution of the audit findings and activities nerformed outside a protected includmg.
corrective actions shall be documented, area and actmties performed by fil Sale. use. or possession of illegal These documents shall be retained for escorted licensee or contractor dtvas within the protected area and, three years and made available for NRC personnel within a protected area (iil Any acts involving the tilegal sale, inspection.
which. If not properly performed. could use or possenion of a controlled contnbute to facihty conditions ads erse Enforcement to pubhc or worker safety.
substanc.e by any person heensed under 10 CFR Pari 55 to operate a power i 24.90 viotations.
- 2. Require that beensees take specthe measures to deter onsite sale.
reactor or by any supervisory personnel (a) An injunction or other court order possession, or use of alcohol and drugs assigned to perform duties within the may be obtained to prohibit a violation scope of this part. This includes the of any prousion of-and to achieve early detectier. should these problems eust. These measures results of confirmed positive tests on (1)The Atomic Erergy Act of1954.as could include:
such persons, amanded; (2) Such notifications shall be made to (2) Title 11 of the Energy (a) Searches of the workplace, which the NRC Operations Center by Reorganization Act of19r4: or would be unannounced and random.
telephone wilhin 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> of the (3) Any regulation or orderissued (b)In e at ons esigne discovery of the event.
under these Acts.
- det,
,, an iuing (3l wntten reports documenting such (b) A couri order may be obtained for or potential problem.
notifications and specifying actions the payment of a civil penalty imposed (c) A mechanism for discreet taken shall be submitted within 30 days under section 234 of the Atomic Energy expressions of concern regardirg the to the U.S. Nuclear Regulatory Act of 1954. for violations of-condition of an employees' fitness for Commission. Document Control Desk.
(1) Section 53. 57. 62. 6't. 81. 82.101, duty in a manner that can facihtete 103,104.107. or 109 of the Act; unrestncted flow of informa tion, and
' itMeesel we Mtc Fem numbe ein be (2) Section 206 of the Energy (d)InfUrmation collection from law r=bi.sua m oie Imai resa.i.eal Reorganization Act of 1971 enforcement authonties and drug
38828 Feder:1 Resister / Vcl. 53. No.184 / Thursday. SeptImber 22. 1988 / Proposed Rul;s counsehng services concerning drug act:vity in the local community.
3.The NRC developed a bst of data that appear to be appropriate based upon mlurmed reviews by appropriate professionals in other organtastions. To ensure consistency of data and to feelhtate analysis. the draft form below could be utthred. The Commission seek s specific comments as to whether the data hsted form a relevant basis for the evaluation of program performance, and whether there are any other data whit h would b,e important in this regard
}
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Federal Regist:r / Vcl. 53. No.184 / Thursday. September 22.1988 / Proposed Rules 36829 i
FITNESS-FOR-0UTY PRDGRAM PEpr0RMANCE DATA Site:
Period: Jan Jun 19 Jul-Dec 1,9 ~
Contact Name:
Docket d's Telephone humber: (
)
Avg i of En.ployees:
Avg i of "Pennanent" Contractor Employees:
(Contractor onsite 6 months or longer)
Avg i of Other Contractors:
1.
TESTING Employees Contractors Action Taken:
( # POS)
_(_# POS)
Term Rehab Pend A. Preemployment/Prebadging
(
)
(
)
B. Unannounced Periodic
(
)
(
)
C. Unannounced Random
(
)
(
)
D. For Cause (Inc1 Post-Accident)
(
)
(
)
E. Followup (Verify Abstention)
(
)
(
)
F. Other (Describe:
)
(
)
(
)
G. Drugs identified (f):
Marijuana Amphetamines Opiates _,_ Others Cocaine Phencyclidine Alcohol (Describe)
PROACTIVE EFFORTS Total i Subjects AcHen Taken:
~
Man-Hrs 10'd Term Rehab Pend A. Searches of Workplace B. Searches of Personal Vehicles
~
C. Searches Using Dog
~
- 0. Investigations by Licensee / Contractor E. Investigations / Arrests by
~~
Law Enforcement XX F. # ID'd by Supervisor 77 xx G. f 10'd thru Allegs to Employer II xx H. # 10'd thru Allegs, to others
~
(NRC, Law Enforcement, etc.) ) H XX XX
!. Other (Describe:
~
XX Oata should reflect only those persons confirmed to be using, possessing, or selling drugs. "Term" means terminated. "Rehab" means rehabilitated (or counseled) and returned to duty, "Peno" means final disposition is pending.
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o 36830 Federal Regi:ter / Vcl. 53. No.184 / Thursday. September 22.1988 / Pr: posed Rules III. EAP PROGRAM USE (REFERRAL SOURCE)
Disposition Droppe(
Employees
_Certracters Rehab Program Term Pend A.
Self B.
Family C., Friends / Coworkers D.
I!:s f on E.
Supervisors F.
Other(Describe:
)
% CAUSE OF BEHAY10RAL PROSLEM (REASON FOR REFERPAL )
Er:1cyees Cnnte atters A.
Vental/Erotiuseal B.
Family / Relationship C.
Jcb Related D.
Medical E.
Legc1 F.
Financial C.
Alechol H.
Drugs Other(Describe:
)
Y.
SUPPARY DESCRIPTION OF LESSONS LEARNED:
Briefly describe any program changes since last report; incluce additional drugs tested per 10 CFR 26.24(c)(2)(iv); describe any cutof f levels lower than in HHS Guidelines.
[FR Doc eA-1141S Filed 9-21 st e 45 am) l Swmo coot two4t<
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UNITED STATES
{
NUCLEAR REGULATORY COMMISSION WASHINGTON, D. C. 20088 7
OFFICE OF THE SECRETARY NOTE FOR:
Document Control Desk FROM:
Correspondence & Records Branch The enclosed document (s) are to be entered into the DCS. An advanced has been sent to the Public Document Room.
PLEASE INDEX INDIVIDUALLY.
v
.