NEI 06-06 [Revision 6] 

Fitness for Duty Program

Guidance for New 

Nuclear Power Plant 

Construction Sites 

May 2012 
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Nuclear Energy Institute, 1776 I Street N. W., Suite 400, Washington D.C. (202.739.8000) 

NEI 06-06 [Revision 6] 

Nuclear Energy Institute 

Fitness for Duty Program

Guidance for New 

Nuclear Power Plant 

Construction Sites 

May 2012 
ACKNOWLEDGEMENTS 

This document, NEI 06-06, Fitness for Duty Guidance for New Nuclear Power Plant 

Construction Sites, was developed by selected members of the NEI New Plant Security Task 

Force, selected members of the PADS/AA/FFD Task Force and the New Plant FFD Task Force. 

These industry professionals, experts on construction practices and fitness for duty programs, 

drawing upon practical lessons learned during the application of the previous requirements, 

provided valuable insights to update the program guidance. The changes provide a more efficient 

and effective program. NEI also wishes to acknowledge the extensive review and comment by 

those industry representatives who shaped the final form of this document: 

Ron Casey, TVA 

Randy Crooms, South Carolina Electric & Gas 

Peter Defilippi, Westinghouse Electric Company 

Robert Pope, South Carolina Electric & Gas 

Billie Rooks, Southern Nuclear Operating Company 

Steven Shipman, Southern Nuclear Operating Co. 

NOTICE

Neither NEI, nor any of its employees, members, supporting organizations, contractors, or 

consultants make any warranty, expressed or implied, or assume any legal responsibility for the 

accuracy or completeness of, or assume any liability for damages resulting from any use of, any 

information apparatus, methods, or process disclosed in this report or that such may not 

infringe privately owned rights. 
NEI 06-06 (Revision 6) 

May 2012 

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EXECUTIVE SUMMARY 

This document, NEI 06-06, Fitness for Duty Guidance for New Nuclear Power Plant 

Construction Sites, has been designed to establish program level consistency in Fitness for Duty 

Programs for new plant construction sites throughout the nuclear power industry in the 

implementation of 10 CFR Part 26 Fitness for Duty Program requirements. 
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TABLE OF CONTENTS 

EXECUTIVE SUMMARY ....................................................................................................... i 

1 INTRODUCTION .......................................................................................................... 1

2 PURPOSE AND SCOPE .............................................................................................. 2

2.1 CONSTRUCTION ..............................................................................................................2

2.2 OPERATION .....................................................................................................................3

3 RESPONSIBILITY ....................................................................................................... 4

3.1 BEFORE THE START OF CONSTRUCTION .......................................................................4

3.2 NO LATER THAN THE RECEIPT OF SNM IN THE FORM OF FUEL ASSEMBLIES ...........5

3.3 PRIOR TO THE EARLIER OF WHEN THE COMMISSION MAKES ITS 10 CFR 52.103(G)

FINDING, THE LICENSEE’S RECEIPT OF FUEL ASSEMBLIES ON-SITE, OR WHEN THE 

PROTECTED AREA IS ESTABLISHED ...............................................................................5

3.4 PRIOR TO THE CONDUCT OF THE FIRST FULL-PARTICIPATION EMERGENCY 

PREPAREDNESS EXERCISE UNDER 10 CFR PART 50, APP. E, SECTION F.2.A ..............6

4 DEFINITIONS .............................................................................................................. 8

5 FFD POLICY & PROCEDURES ................................................................................. 10

5.1 DRUG AND ALCOHOL POLICY ......................................................................................10

5.2 PROCEDURES ................................................................................................................12

5.3 CONSENT .......................................................................................................................14

5.4 SANCTIONS ....................................................................................................................14

5.5 DRUG AND ALCOHOL TESTING ....................................................................................15

6 SPECIMEN COLLECTION, TESTING, AND ANALYSIS ............................................... 18

6.1 CONSENT FORM ............................................................................................................18

6.2 TYPES OF TESTING .......................................................................................................18

6.3 RANDOM DRUG AND ALCOHOL TESTING ....................................................................20

6.4 SPECIMEN COLLECTION AND LABORATORY SPECIMEN ANALYSIS ...........................23

6.5 SPECIMEN PROCESSING ................................................................................................26

6.6 POSITIVE RESULTS .......................................................................................................27

7 BEHAVIORAL OBSERVATION PROGRAM ............................................................... 28

8 REVIEWING OFFICIAL ............................................................................................. 29

9 GRANTING AND MAINTAINING FFDA ...................................................................... 31

9.1 FFDA ELEMENTS .........................................................................................................31
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9.2 TYPES OF FFDA ...........................................................................................................31

9.3 GRANTING FFDA AND FFDA ELEMENTS ...................................................................32

9.4 MAINTAINING FFDA AND FFDA ELEMENTS ..............................................................32

9.5 FFDA TERMINATED UNFAVORABLY ...........................................................................33

9.6 REVIEW PROCESS .........................................................................................................33

10 PROTECTION OF INFORMATION ............................................................................. 34

11 RECORDS RETENTION ............................................................................................. 35

11.1 FIVE-YEAR RECORDS RETENTION ..............................................................................35

11.2 THREE (3)-YEAR RECORDS RETENTION .....................................................................36

11.3 LIFE OF AGREEMENT ...................................................................................................36

11.4 FFD PROGRAM PERSONNEL FOR THE LENGTH OF EMPLOYMENT BY OR 

CONTRACTUAL RELATIONSHIP WITH THE CONSTRUCTION SITE ENTITY .................36

11.5 FOR THE TIME THE FFD PROGRAM PERMITS TESTING FOR DRUGS NOT SPECIFIED 

IN 10 CFR PART 26 .......................................................................................................36

11.6 ELECTRONIC FORMAT RECORDS AND SIGNATURES ...................................................36

11.7 HARDCOPY RECORDS ...................................................................................................37

12 REPORTING RESPONSIBILITIES ............................................................................. 38

12.1 ANNUAL PROGRAM PERFORMANCE REPORTS FOR THE FFD PROGRAM .................39

13 AUDITS ..................................................................................................................... 41
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FITNESS FOR DUTY PROGRAM GUIDANCE FOR NEW NUCLEAR 

POWER PLANT CONSTRUCTION SITES 

1 INTRODUCTION 

This document, NEI 06-06, Fitness for Duty Guidance for New Nuclear Power Plant 

Construction Sites, has been designed to further define implementation criteria for new plant 

construction throughout the nuclear power industry in the implementation of 10 CFR Part 

26, Subpart K, “Fitness for Duty Programs for Construction.” The criteria defined in this 

document are required for each new plant construction site, with a plant under construction, 

and shall remain in effect until the construction site transitions to a phase requiring site-wide 

implementation of Subpart A-H, N and O, 10 CFR 26 . This document also provides 

descriptive guidance on the transition from a construction-related program to an operationsrelated program (See Table 3-1). It does not address specific guidance for those individuals 

required by 10 CFR Part 26.4(e) and (f) whose duties require the individual to be included 

within a full-scope (Subparts A-I, N and O), 10 CFR Part 26 FFD program because the rule 

requirements for these individuals are sufficient for implementation. Individuals identified 

within 10 CFR Part 26.4(e) and (f) are evaluated and maintained within a FFD program 

implemented by an NRC licensee or a licensee-approved contractor/vendor (C/V). 

Licensees or construction site entities are required to meet the minimum requirements set 

forth in this document, however, they may institute more stringent program requirements at 

their discretion. 

NEI 06-06 provides the construction site entity a process to authorize and maintain a 

worker’s status in the construction site entity’s FFD Program in order to allow an individual 

to work on a construction site. It is acknowledged that the construction site entities 

implementing this guidance will include United States Nuclear Regulatory Commission 

(NRC) licensees; licensee-approved contractor/vendors (C/V); applicants for, or holders of, 

a Combined License (COL), Construction Permit (CP) or Limited Work Authorization 

(LWA); or other entities authorized by the NRC and shall hereafter be referred to as 

“construction site entities.” 
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2 PURPOSE AND SCOPE 

2.1 CONSTRUCTION

This document is applicable to a construction site entity and applies only to the 

construction site workforce as defined in Section 4. It has been designed to provide a 

standard industry approach in establishing and implementing a FFD program for 

evaluating and maintaining the authorization of personnel for whom access to the 

construction site has been requested. This standard approach ensures consistent 

application of regulations and is intended to serve as the Construction FFD Program 

description for COL applications as required in 10 CFR Part 52. 

The FFD program described herein applies only to construction activities on safety- and 

security-related SSCs that are performed on the construction site where the new power 

reactor will be installed and operated. 

The construction site entity must determine whether the site activity is a construction 

activity as defined in 10 CFR Part 26.5. Therefore, if the activity is being performed to 

fabricate, erect, integrate, and test a safety- or security-related SSC, or the installation of 

their foundations, including the placement of concrete, the FFD program as defined in 

this document must apply to those individuals. This would include individuals who are 

directing, supervising or installing engineered backfill (e.g., dirt) designated or 

determined to be safety-related (i.e., safety-related dirt) because it is part of the 

engineered fabric of the safety-related foundation. For example, the FFD Program for 

Construction applies to persons who: 

a. Produce concrete to be used for security- or safety-related structures and build or 

fabricate foundations for those particular SSCs; 

b. Fabricate safety-related emergency diesel generator buildings or install associated 

safety-related tanks, electrical and piping systems, and support systems; 

c. Weld or fabricate bullet resisting physical barriers and vital areas required by the 

Security Plan; 

d. Install and test vehicle control measures, personnel access control, intrusion detection 

systems, and contraband search equipment required by the Security Plan; 

e. Test safety- or security-related SSCs (e.g., motor-operated valves) or conduct benchtesting of safety-related relief valves prior to installation in the nuclear power plant 

(this is not to include, for example, warehouse receipt inspection/testing or a 

mechanical/electrical shop located outside the licensee-described construction area); 

f. Integrate (i.e., welding, bolting, wiring, or connecting) safety- or security-related prefabricated modules to other safety- or security-related modules, structures, or 

systems; 
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g. Install or fabricate security blast walls, install cable trays, pull electrical cables, or lay 

sensory electronics for safety- or security-related SSCs; and, 

h. Perform construction duties specified in 10 CFR 26.4(e). 

Construction activities conducted at facilities outside the licensee-described construction 

area such as another location, city, state, or outside of the U.S. would not be subject to the 

program described herein. 

The construction site entity may permit individuals onto the construction site as 

“visitors.” An individual designated as a visitor may be any individual the construction 

site entity determines to have a need to enter the construction site for a period of up to 

seven continuous days or less. An individual in a visitor status is not required to meet the 

provisions of 10 CFR 26 but, must be clearly identifiable as a visitor and escorted by an 

construction site entity designated individual subject to the construction site entity’s FFD 

program. If the needs of the individual exceed the seven continuous days, then the 

individual must meet the appropriate section of 10 CFR 26. 

A contractor/vendor (C/V) approved by the construction site entity to implement a 10 

CFR 26 construction site program in accordance with NEI 06-06 shall comply with the 

provisions of this guidance through the development and use of detailed procedures 

approved by the construction site entity. 

2.2 OPERATION

Management and oversight personnel, listed below, shall be subject to a full FFD 

program that meets the requirements of 10 CFR Part 26, Subparts A through H, N, and O. 

NEI 06-06 will not provide specific implementing guidance for these personnel because 

10 CFR 26 has sufficient details specified for implementation. Management and 

oversight personnel included are as follows: 

a. security personnel required by the NRC, 

b. those who perform quality assurance/quality control/quality verification activities 

related to safety- or security-related construction activities, 

c. individuals directly involved in witnessing or determining inspections, tests, and 

analyses (ITAAC) certification, 

d. designated individuals to monitor the fitness of individuals, 

e. individuals responsible for oversight and implementation of the licensee fitness-forduty and access authorization programs, and 

f. second-level and higher supervisors and managers. 
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3 RESPONSIBILITY 

Each construction site entity is responsible to the NRC for ensuring that the applicable FFD 

program/program elements of 10 CFR Part 26 are implemented and effective at their 

construction sites including those implemented by a C/V. 

Each construction site entity approving a C/V program shall ensure the latest revision of this 

document has been provided to each of its C/Vs for use and require that the criteria herein 

be met. Audits are used to assure that licensee and licensee-approved C/V programs 

supporting the fitness for duty program for the construction site meet regulatory 

requirements. Construction site entities are responsible for ensuring that program 

deficiencies are corrected. 

Each construction site entity is responsible to ensure that its FFD program at the 

construction site is implemented for individuals who perform certain activities during the 

full lifecycle of construction, i.e., as the construction site transitions to an operational mode. 

As summarized below and in Table 1, the applicability of specific 10 CFR Part 26 

requirements is based on the conduct of certain activities (e.g., receipt of nuclear fuel onsite) 

and the roles and responsibilities of certain individuals. For example, although not part of a 

10 CFR Part 26, Subpart K, FFD program, the fatigue provisions in 10 CFR Part 26, Subpart 

I, are applied to security officers required by the NRC when a construction site is in receipt 

of special nuclear material in the form of fuel assemblies (10 CFR 26.4(e)(1) and 26.5.) 

Furthermore, FFD requirements become more comprehensive as the site transitions through 

construction towards an operational mode.

3.1 BEFORE THE START OF CONSTRUCTION

Licensees and entities must have fully functional Construction FFD Program with 

licensee-approved procedures/instructions in place prior to allowing individuals subject 

to the requirements of 10 CFR Part 26 to construct or direct the construction of a nuclear 

power plant as specified below. 

3.1.1 FFD Program Personnel 

A full-scope FFD program (10 CFR Part 26 Subparts A, B, D-H, N and O), is 

required for FFD program personnel involved in the day-to-day operations of the 

FFD program and at the discretion of the licensee, 10 CFR26 Subpart C. 

3.1.2 Persons Constructing or Directing the Construction of Safety- or SecuritySSCs 

An FFD program for reactor construction (such as a Subpart K program) will be 

needed for persons constructing or directing the construction of safety- or 

security-related SSCs as described in 10 CFR 26.4(f). A licensee can also elect to 

implement an FFD program that includes all requirements of 10 CFR Part 26, 

except Subparts I and K, for the individuals listed in 10 CFR 26.4(f). 
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3.1.3 Persons Performing the Activities Listed in 10 CFR 26.4(e) 

Licensees must have an FFD program that includes all requirements of 10 CFR 

Part 26, except Subparts I and K, for all persons performing the activities listed in 

10 CFR 26.4(e), such as those: serving as security personnel required by the NRC; 

performing quality assurance, quality control, or quality verification activities; 

implementing a fitness monitoring program; witnessing or determining 

inspections, tests, and analysis under 10 CFR Part 52; supervising/managing 

(above 1st line supervisors) the construction of safety- or security-related SSCS; or 

directing or implementing the access authorization program and those, in part, 

who have certain access or decision-making authority. For security personnel 

required by the NRC, this FFD program only applies before the receipt of special 

nuclear material in the form of fuel assemblies. 

3.2 NO LATER THAN THE RECEIPT OF SNM IN THE FORM OF FUEL ASSEMBLIES1

3.2.1 Security Personnel 

For security personnel required by the NRC, licensees must implement an FFD 

program that includes all requirements of 10 CFR Part 26, excluding Subpart K, 

no later than the receipt of SNM in the form of fuel assemblies, for security 

personnel as required by 10 CFR 26.4(e)(1) and 26.5. Note that if an entity is not 

in receipt of fuel assemblies prior to when the Commission makes its 10 CFR 

52.103(g) finding or the establishment of a protected area, then security personnel 

would be subject to Section 3.1.3 above until the licensee or other entity reaches 

the applicable milestone in Section 3.3 below. 

3.3 PRIOR TO THE EARLIER OF WHEN THE COMMISSION MAKES ITS 10 CFR 52.103(G)

FINDING, THE LICENSEE’S RECEIPT OF FUEL ASSEMBLIES ON-SITE, OR WHEN THE 

PROTECTED AREA IS ESTABLISHED

Licensees must implement an FFD program that includes all requirements, except 

Subpart K, for all personnel performing the duties described in 10 CFR 26.4(a)(1)-(5). 

These duties include operating or directing the operation of safety-significant systems or 

components; performing health physicists or chemistry duties as a member of the onsite 

emergency response organization minimum shift complement; performing the duties of a 

fire brigade member who is responsible for understanding the effects of a fire and fire 

suppressants on safe shutdown capability; performing maintenance or onsite directing of 

the maintenance of safety-significant SSCs; or performing security duties as security 

personnel. 

Licensees must implement an FFD program that meets all requirements of 10 CFR Part 

26, except 10 CFR 26.205 through 26.209 and Subpart K, for all personnel granted 

unescorted access to the protected areas by the licensees in 10 CFR 26.3(a) and, as 

applicable, 10 CFR 26.3(c) and who do not perform the duties described in 10 CFR 

26.4(a). 

 

1

 Each licensee who possesses, stores, or uses special nuclear material of low strategic significance (e.g., new or unirradiated fuel assemblies) at a fixed site or contiguous sites, except those who are licensed to operate a nuclear 

power reactor pursuant to 10 CFR Part 50, shall implement the requirements of 10 CFR 73.67(f) and (g). 
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3.4 PRIOR TO THE CONDUCT OF THE FIRST FULL-PARTICIPATION EMERGENCY 

PREPAREDNESS EXERCISE UNDER 10 CFR PART 50, APP. E, SECTION F.2.A

3.4.1 Emergency Responders 

Licensees must implement a FFD program that includes all requirements of 10 

CFR Part 26, except 10 CFR 26.205 through 26.209 and Subpart K, for all 

persons who are required by a licensee in 10 CFR 26.3(a) and, as applicable, 10 

CFR 26.3(c) to physically report to the licensee’s Technical Support Center (TSC) 

or Emergency Operations Facility (EOF) by licensee emergency plans and 

procedures. 
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Table 3-1—FFD Program Applicability and Milestones—For Construction and Transition 

to Operations 

Item Persons Subject to FFD 

Program 

10 CFR Part 26 

Requirement Milestone ( Applicable 10 CFR Part 26 Subparts 

1 Construction (workers and 

first line supervisors) 10 CFR 26.4(f) 

Prior to initiating 10 

CFR Part 26 

construction activities 

Subpart K 

2 Construction (management 

and oversight personnel) 10 CFR 26.4(e) 

Prior to initiating 10 

CFR Part 26 

construction activities 

Subparts A-H, N and O 

3 Security Personnel 

(Required by the NRC) 

10 CFR 26.4(e)(l) Prior to fuel assemblies 

being received on site Subparts A-H, N and O 

10 CFR 26.4(a)(5) 

Prior to the earlier of: 

A. Licensee’s 

receipt of fuel 

assemblies on site 

or 

B. Establishment 

of a protected area 

or 

C. The 10 CFR 

52.103(g) finding 

Subparts A-I, N and O 

4 FFD Program Personnel 10 CFR 26.4(g) 

Prior to initiating 10 

CFR Part 26 

construction activities 

Subparts A, B, D-H, N, 

O and at the discretion 

of the licensee, Subpart 

C. 

5

Persons required to 

physically report to the TSC 

and EOF 

10 CFR 26.4(c ) 

Prior to the conduct of 

the first fullparticipation emergency 

preparedness exercise 

under 10 CFR Part 50, 

Appendix E, Section 

F.2.a 

Subparts A-I, N and O, 

except for 10 CFR 

26.205-209 

Notes: 

1) The FFD program is typically described in Chapter 13.7 of the licensee’s or other entity’s Final Safety Analysis Report. 

2) Construction site entities do not need to establish license conditions for the above milestones since the implementation 

requirements are described in 10 CFR Part 26. See Staff Requirements Memorandum for SECY-05-0197, February 22, 

2006. 
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4 DEFINITIONS 

Accident—An incident including a:

a. Work-related injury/illness—An injury or illness, resulting in an OSHA Recordable 

Incident; 

b. Work-related motor vehicle accident—As defined in the construction entity’s procedures, 

a significant on-site accident that occurs while an individual is in a vehicle performing 

work on the construction site; or 

c. Radiation Exposure or Release of Radiation—For any event resulting in a radiation 

exposure or release of radiation in excess of regulatory limits. 

Construction Site—The defined physical location (as pictorially illustrated or described in 

a construction site entity procedure) within or near the footprint of the new power reactor 

where safety- and security-related SSCs will be installed and operated when the plant begins 

operation. Nearby areas include, but are not limited to areas used to fabricate, erect, 

integrate, and test any safety- or security-related SSC’s or materials used to fabricate, erect, 

integrate, and test safety- or security-related SSC’s (e.g. producing the concrete to be used 

for the foundation of the reactor building in a facility). 

Construction Site Workforce—Those personnel performing construction or directing the 

construction of safety or security-related SSCs and those individuals performing duties 

listed in 10 CFR 26.4(e). The personnel in the construction site workforce may be changed 

(not to be reduced further than those persons required by 10 CFR26.4(f)) for purposes of 

practical implementation. 

First Level Supervisors—The first level supervisory position that does not perform manual 

work. 

Fit for Duty—An individual who can safely and competently perform his/she duties and is 

trustworthy and reliable, as demonstrated by the avoidance of substance abuse. 

Fitness-for-Duty (FFD) Authorization (FFDA)—A term commensurate with 

“Authorization” as defined in 10 CFR 26 that identifies the status of an individual’s required 

fitness-for-duty elements, which are then evaluated by a reviewing official to determine 

whether the individual is trustworthy, reliable and fit for duty. The required elements for 

FFDA for individual subject to 10 CFR 26 Subparts A-H, N and O are: consent, suitable 

inquiry (including education in lieu of employment and military service as employment); 

self- disclosure; pre-access drug and alcohol testing; training in the required FFD K&A’s, 

FFD and BOP); being subject to both licensee-approved BOP and drug and a alcohol testing 

program. The elements for FFDA for individuals subject to 10 CFR 26 Subpart K only 

include consent, pre-access drug and alcohol testing; training in the required FFD policy, 

sanctions and FFD expectations); being subject to both licensee-approved BOP and a drug 

and alcohol testing program. 
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Management and Oversight—Personnel, including: 

a. security personnel required by the NRC, 

b. those who perform quality assurance/quality control/quality verification activities related 

to safety- or security-related construction activities, 

c. individuals directly involved in witnessing or determining inspections, tests, and analyses 

(ITAAC) certification, 

d. designated individuals to monitor the fitness of individuals, 

e. individuals responsible for oversight and implementation of the licensee fitness-for-duty, 

and 

f. second-level and higher supervisors and managers. 

Nominal—The limited flexibility that is permitted in meeting a scheduled due date for 

completing a recurrent activity that is required under this part, such as the nominal annual 

(12-month) frequency required for FFD refresher training in 10 CFR 26.29(c)(2) and the 

nominal annual (12-month) frequency required for certain audits in 10 CFR 26.41(c)(1). 

Completing a recurrent activity at a nominal frequency means that the activity may be 

completed within a period that is 25 percent longer or shorter than the period required in this 

part. The next scheduled due date would be no later than the current scheduled due date plus 

the required frequency for completing the activity.

OSHA Recordable Incident—A significant illness or personal injury to the individual 

which within 4 hours after the event is recordable under the Department of Labor standards 

contained in 29 CFR 1904.7.

Significant Illness or Personal Injury—A determination or diagnosis made by a physician 

or other licensed healthcare professional. 

Significant Property Damage—Damage, during construction, to any safety- or securityrelated SSC in excess of $100,000.

To Excess—An individual: 

a. consumed alcohol within the 5-hour abstinence period or while on the construction site; 

b. consumed alcohol any time before entering the construction site and has a blood alcohol 

concentration of 0.02 BAC or higher; or 

c. is unfit for duty as determined by a 10 CFR 26.419 suitability and fitness evaluation. 
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5 FFD POLICY & PROCEDURES 

5.1 DRUG AND ALCOHOL POLICY

5.1.1 Policy Statement and Performance Objectives 

Each construction site entity who implements an FFD program shall ensure that a 

clear, concise, written FFD policy statement is provided to individuals who are 

subject to the program prior to pre-assignment testing. The policy statement must 

be written in sufficient detail to provide affected individuals with information on 

what is expected of them and what consequences may result from the failure to 

adhere to the policy. 

The construction site entity must develop a written policy statement to address the 

FFD performance objectives of 10 CFR 26.23, which provide reasonable 

assurance that: 

1. Individuals are trustworthy and reliable as demonstrated by the avoidance of, 

for example, substance abuse; 

2. Individuals are not under the influence of any substance, legal or illegal, or 

mentally or physically impaired from any cause, which in any way adversely 

affects their ability to safely and competently perform their duties; 

3. Measures are established and implemented for the early detection of 

individuals who are not fit to perform their duties; the construction site is free 

from the presence and effects of illegal drugs and alcohol; 

4. The work places are free from the presence and effects of illegal drugs and 

alcohol; and, 

5. The effects of fatigue and degraded alertness on an individual’s ability to 

safely and competently perform their duties are managed commensurate with 

maintaining public health and safety. 

5.1.2 Policy Statement Details 

At a minimum, the written policy statement must: 

1. State that: 

a. Using, selling, manufacturing, purchasing, transferring, dispensing, 

distributing, or possessing illegal drugs by any individual while on the 

construction site is strictly prohibited. 

b. Using, selling, purchasing, transferring, dispensing, distributing, or 

possessing alcohol by an individual subject to this program while on a 

construction site is strictly prohibited. 

c. Consumption of alcohol onsite or within 5 hours of performing 

construction work to safety-related or security-related SSCs is strictly 
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prohibited. Abstinence from alcohol for the 5 hours preceding any 

scheduled work is considered to be the minimum that is necessary, but 

may not be sufficient, to ensure an individual is fit for duty 

d. An individual subject to the provisions of this document is required to 

notify the construction site entity of any legal action on or off site 

involving drugs or alcohol as required by the construction site entity 

policies. 

2. Describe the consequences of the following actions: 

a. The use, sale, or possession of illegal drugs on or off site; 

b. The abuse of legal drugs and alcohol; 

c. The use or possession of alcohol on site 

3. Describe the requirement that individuals who are notified that they have been 

selected for random testing must report to the collection site within the time 

period specified by the licensee or other entity construction site entity; 

4. Describe the actions that constitute a refusal to provide a specimen for testing; 

the consequences of a refusal to test; as well as the consequences of 

subverting or attempting to subvert the testing process; 

5. Prohibit the consumption of alcohol, at a minimum 

a. Within an abstinence period of 5 hours preceding the individual’s arrival 

at the construction site for both scheduled and unscheduled work, and 

b. During the period of any tour of duty; 

6. Convey that abstinence from alcohol for the 5 hours preceding any scheduled 

and unscheduled work is considered to be a minimum that is necessary, but 

may not be sufficient, to ensure that the individual is fit for duty; 

7. Describe the consequences of violating the policy; 

8. Describe the individual’s responsibility to report legal actions; 

9. Describe the responsibilities of management and oversight personnel to report 

FFD concerns; 

10. Describe the individual’s responsibility to report FFD concerns; 

11. Describe the circumstances that constitute a significant on-site accident; and, 

12. Describe the review process. 
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5.2 PROCEDURES

Construction site entity procedures must provide reasonable assurance that the 

individuals are fit to safely and competently perform their duties, and are trustworthy and 

reliable, as demonstrated by the avoidance of substance abuse. Construction site entities 

shall develop, implement, and maintain written procedures that address: 

1. The identification of individuals that compose the construction site work force; 

2. The methods used to identify persons subject to FFD testing; 

3. The method of determining who is on the construction site and subject to testing; 

4. The methods and techniques to be used in testing for drugs and alcohol, including 

procedures for protecting the privacy of an individual who provides a specimen, 

procedures for protecting the integrity of the specimen, and procedures used to ensure 

that the test results are valid and attributable to the correct individual. These methods, 

techniques, and procedures shall comply with the requirements contained in 10 CFR 

Part 26, Subparts E, F and G for urine testing and Subpart K for alternate testing; 

5. The immediate and follow-up actions that will be taken, sanctions, and the procedures 

to be used, in those cases in which individuals who are subject to the FFD program 

are determined to have: 

a. Been involved in the use, sale, or possession of illegal drugs; 

b. Consumed alcohol to excess before or while constructing or directing the 

construction of safety- or security-related SSCs, as determined by a test that 

accurately measures BAC (blood alcohol concentration); 

c. Attempted to subvert the testing process by adulterating or diluting specimens (in 

vivo or in vitro), substituting specimens, or by any other means; 

d. Refused to provide a specimen for analysis; or 

e. Had legal action taken relating to drug or alcohol use; and 

6. The process to be followed if an individual’s behavior or condition raises a concern 

regarding the possible use, sale, or possession of illegal drugs on or off site; the 

possible use or possession of alcohol while constructing or directing the construction 

of safety- or security-related SSCs; or impairment from any cause which in any way 

could adversely affect the individual’s ability to safely and competently perform his 

or her duties. The behavioral observation program (BOP), for instance, must cover 

and focus on those persons described in 10 CFR 26.4(f); 

NOTE: If the construction site entity elects to increase the scope of their BOP beyond 

that required by 10 CFR 26.407 (e.g., to all persons subject to random testing or who 

have access to the construction site), the entity shall ensure that the 26.407-required 

program remains effective. 
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7. Access control to FFD-related software and hardware systems and FFD site and 

personal databases to protect personal information and the integrity of the FFD 

program. These controls include, but are not limited to: 

a. Access control rights (i.e., which individuals can access specific FFD resources) 

and access control privileges (i.e., what these individuals can do with the FFD 

resources when accessed); 

b. Change control processes to control and identify revision of: random testing pool 

and determination protocols; personal and privacy information; drug and alcohol 

test results; and Medical Review Officer (MRO) and Substance Abuse Expert 

(SAE) communications; and, 

c. Controls to ensure that all persons who are required to be in the random testing 

pool are in the pool and that these persons have an equal probability of being 

selected and tested; 

8. Conduct of behavioral observations, review processes, audits, and suitability and 

fitness evaluations; 

Note: A construction site entity 10 CFR 26 BOP procedure should account for how 

an effective program can be implemented as the reactor power plant transitions 

though construction to an operational mode. For example, a construction site entity 

should consider a risk-informed element of its BOP to account for safety-significant 

activities, such as: 

a. pre-operational testing of installed security- or safety-related structures, systems, 

and components (e.g., safety-related instrument and controls), 

b. reactor physics and coolant system hydrostatic pressure testing, and 

c. ITAAC (inspections, tests, analyses, and acceptance criteria) SSCs; 

9. A BOP simultaneously accounting for the routine/continuous observations to detect 

and appropriately address impairment and adverse behaviors of the construction site 

work force, in general, accounting for large influxes of new workers or shortduration/transient construction workers; 

10. The case in which a person is offsite in a work status for a portion of day (e.g., the 

person was selected for random testing while offsite in training mode or retrieving 

equipment from a warehouse) but will be returning or has been directed to return to 

the construction site later that shift. For example, this person would be subject to, in 

part, random testing as described in paragraph 6.3.2; 

11. Adequate instructions for the conduct of point-of-collection (POC) alternate specimen 

collection and alcohol testing, if applicable; 

12. The records to be retained and the period of retention and 

13. The FFD program day-to-day staff composition. 
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Note: Staff personnel involved in the day-to-day operations of the FFD program does 

not include persons within the construction entity’s line organizations responsible for 

constructing and directing the construction of safety- and security-related SSCs. 

These persons, such as managers, supervisors, and secretaries, may have an 

implementation role in the FFD notification process; however, they are not involved 

in the day-to-day operations of the FFD program. For example, the shop secretary or 

supervisor who receives the phone call from the FFD program personnel notifying the 

shop that a particular welder is required to report for testing is not an FFD program 

person, as described in 10 CFR 26.4(g). 

5.3 CONSENT

Individuals requiring access to the construction site shall sign a Consent form (e.g., see 

NEI STANDARD (STD) FORM 08-06-01, Consent, Figure 5-1, NEI 08-06, Nuclear 

Power Plant Access Authorization and Fitness-for-Duty Forms 

A signed Consent authorizes the licensee or approved C/V to enter certain general, nonnegative information into an industry database; transfer the data to another authorized 

user; as appropriate, conduct of a background investigation, including verification of 

certain information self-disclosed by the individual through the conduct of a suitable 

inquiry as defined within 10 CFR Part 26; as well as to verify the accuracy and 

completeness of the information provided by the individual. Finally, the Consent 

identifies which information may be released to which parties, including the NRC. 

The individual’s signature on the Consent confirms that the individual has read and 

understands the Consent, and has voluntarily agreed to authorize the construction site 

entity obtaining the information and the individuals and entities releasing information to 

take the actions set out in the Consent for purposes of complying with the provisions of 

10 CFR Part 26. 

5.4 SANCTIONS

The construction site entity shall establish sanctions for FFD policy violations that, at a 

minimum meet the requirements of 10 CFR 26.75 that prohibit the individuals from being 

assigned to construct or direct the construction of safety- or security-related SSCs and 

performing 10 CFR 26.4(e) duties unless or until the construction site entity determines 

that the individual’s condition or behavior does not pose a potential risk to public health 

and safety or the common defense and security. 

The first violation of the FFD policy involving a confirmed positive drug or alcohol test 

result must, at a minimum, result in the immediate unfavorable termination of the 

individual’s authorization for at least 14 days from the date of the unfavorable 

termination. 

Any subsequent confirmed positive drug or alcohol test result, including during an 

assessment or treatment period, must result in the denial of authorization for a minimum 

of 5 years from the date of denial. 
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At a minimum, if an individual is notified to report for random testing and fails to report 

at the collection location in the specified time period, the individual’s supervisor and FFD 

management will be notified; and the individual will be prohibited from being assigned to 

construct or direct the construction of safety- or security-related SSCs and performing 10 

CFR 26.4(e) duties until it is determined whether there was a valid reason (e.g. verifiable 

and/or documented medical reason, weather condition, accident, or vehicle maintenance 

condition) for not reporting for testing. If it is determined that the individual subverted 

the collection or testing process (e.g., intentionally avoided random testing), the person’s 

fitness-for-duty authorization (FFDA) to the construction site shall be denied. If the 

individual’s condition or behavior poses a potential risk to public health and safety or the 

common defense and security, the individual’s FFDA to the construction site will be 

denied until a suitability or fitness evaluation finds the person fit for duty or is 

unfavorably terminated. 

5.5 DRUG AND ALCOHOL TESTING

The construction site entity shall employ urinalysis, oral fluid testing, breath tests, or 

other specimen testing methods as permitted and required in 10 CFR 26.405, to 

determine whether persons are fit for duty, including but not limited to pre-assignment or 

pre-access, for-cause, and random testing. 

At a minimum, the construction site entity shall test specimens for marijuana metabolite, 

cocaine metabolite, opiates (codeine, morphine, 6-acetylmorphine), amphetamines 

(amphetamine, methamphetamine), phencyclidine, adulterants, and alcohol at the cutoff 

levels specified in 10 CFR 26, or comparable cutoff levels if specimens other than urine 

are collected for drug testing. 

An individual must consent to submit to such tests as a condition of access to the 

construction site and refusal to consent shall result in denial or unfavorable termination of 

FFDA to the construction site. See Section 5.4, “Sanctions,” above. 

5.5.1 Drug Testing 

Testing of urine specimens for drugs and validity, except validity screening and 

initial drug and validity tests that may be performed by a licensee or approved 

C/V testing facility compliant with 10 CFR Part 26, Subpart F, must be performed 

in a laboratory that is certified by the U.S. Department of Health and Human 

Services (HHS) as described in 10 CFR Part 26, Subpart G. Any initial drug test 

performed by a construction site entity must use an immunoassay that meets the 

requirements of the Food and Drug Administration for commercial distribution. 

Urine specimens that yield positive, adulterated, substituted, or invalid initial 

validity or drug test results must be subject to confirmatory testing by the HHScertified laboratory in accordance with 10 CFR 26.161 and 10 CFR 26.163, 

except for invalid specimens that cannot be tested. 

Other specimens that yield positive initial drug test results must be subject to 

confirmatory testing by a laboratory that meets stringent quality control 

requirements that are comparable to those required for certification by the HHS. 
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Confirmatory drug testing is performed using GC/MS (gas chromatography) 

techniques. Specimens that are negative on the confirmatory test are reported as 

negative and are not subject to further testing unless they are suspected of having 

been adulterated, substituted, invalid, or diluted. 

In the case of a follow-up test, the confirmatory testing may rely upon a 

laboratory’s Limit of Quantification (LOQ). Any detectible presence of the 

substance is sufficient for determining a confirmed positive follow-up test. 

5.5.2 Alcohol Testing 

Testing for alcohol will be conducted through breath measurement or oral fluids 

(e.g., saliva). The initial test for alcohol performed at the collection site shall be 

conducted by a breath measurement device or by using oral fluids (e.g., saliva) 

using acceptable alcohol screening devices (ASDs) which meet the requirements 

of the National Highway Traffic Safety Administration (NHTSA) standards and 

any applicable State statutes and are listed on the most recent version of 

NHTSA’s Conforming Products List (CPL). Confirmatory tests for alcohol must 

be conducted by an evidential breath measurement device (EBT). Evidential 

breath testing devices listed in the NHTSA CPL for evidential devices that meet 

the requirements of 10 CFR 26.91 (c) must be used to conduct confirmatory 

alcohol tests, and may be used to conduct initial alcohol tests. Note that, among 

the devices listed in the CPL for EBTs, only those devices listed without an 

asterisk (*) may be used for confirmatory alcohol testing. 

For the initial alcohol tests that are negative, no confirmatory tests are required. 

5.5.3 Initial and Confirmatory Cut-off Levels 

The initial and confirmatory cutoff levels that shall be used when testing urine 

specimens to determine whether they are negative for the indicated substances are 

defined within 10 CFR 26.133 and 163(a) and (b). The values depicted in 10 CFR 

26.133 and 163(a) and (b) must be adhered to unless validity testing indicates that 

the specimen is dilute, the construction entity has established a more stringent 

cutoff, or the cutoff levels provided in 10 CFR 26.163(a)and/or (b) were 

amended. 

5.5.4 Determining Positive Test Results for Alcohol 

The construction site entity may rely upon the 49 CFR Part 40, Procedures for 

Transportation Workplace Drug and Alcohol Testing Programs and/or 10 CFR 26 

for testing individuals and determining a positive alcohol test result. 

If the construction site entity relies upon 10 CFR 26 for determining positive test 

results for an alcohol test a confirmed positive test result for alcohol must be 

declared under any of the following conditions: 

1. When the result of the confirmatory test for alcohol is 0.04 percent BAC or 

higher; 
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2. When the result of the confirmatory test for alcohol is 0.03 percent BAC or 

higher and the donor had been in a work status for at least 1 hour at the time 

the initial test was concluded (including any breaks for rest, lunch, 

dental/doctor appointments, etc.); or 

3. When the result of the confirmatory test for alcohol is 0.02 percent BAC or 

higher and the donor had been in a work status for at least 2 hours at the time 

the initial test was concluded (including any breaks for rest, lunch, 

dental/doctor appointments, etc.). 

When the result of the confirmatory test for alcohol is equal to or greater than 

0.01 percent BAC but less than 0.02 percent BAC and the donor has been in a 

work status for 3 hours or more at the time the initial test was concluded 

(including any breaks for rest, lunch, dental/doctor appointments, etc.), the 

collector shall declare the test result as negative and inform FFD program 

management. The construction site entity shall prohibit the donor from 

performing any duties that require the individual to be subject to the program 

herein and may not return the individual to performing such duties until the donor 

is determined fit to safely and competently perform his or her duties. 

In instances in which the construction site entity relies upon 49 CFR 40.247 to 

conduct an alcohol screening tests, a result greater than 0.02 (BAC) will require a 

confirmation test. If the confirmation test results are 002 (BAC) the construction 

site entity’s designated representative must be notified. 
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6 SPECIMEN COLLECTION, TESTING, AND ANALYSIS 

6.1 CONSENT FORM

Individuals are required to sign the Consent Form (NEI STANDARD FORM 08-06-01) 

as a condition of access to the construction site. Included in the consent form is the 

agreement to submit to periodic unannounced (random) testing during the course of their 

access to the construction site. Refusal to cooperate with or submit to such testing shall 

result in immediate denial or unfavorable termination of FFDA and access to the 

construction site. 

6.2 TYPES OF TESTING

The construction site entity shall ensure the following testing is performed as part of the 

FFD program: 

6.2.1 Pre-Assignment as 10 CFR 26 Worker 

10 CFR 26 workers who will construct or direct the construction of safety- or 

security-related SSCs shall have negative drug and alcohol test results prior to the 

start of the worker’s construction, or direction of the construction of any safety- or 

security-related SSCs and performing 10 C FR 26.4(e) duties. These drug and 

alcohol tests must be administered no more than 30 days prior to the start of the 

worker’s constructing or directing the construction of a safety- or security-related 

SSCs and performing 10 C FR 26.4(e) duties. Once it has been determined that an 

individual has a negative drug and alcohol test result, the individual may be 

eligible to gain access to the construction site. A construction site entity may 

maintain an individual in this status as long as the individual remains in the 

construction site entity random fitness for duty testing program for new plant 

construction and is subject to a BOP as defined in Section 6.8. 

6.2.2 For Cause 

6.2.2.1 Post Accident 

As soon as practical after an event involving a human error that was committed by 

an individual subject to this program where the human error may have caused or 

contributed to the accident, the construction site entity shall test the individual(s) 

who committed the error(s), and need not test individuals who were affected by 

the event but whose actions likely did not cause or contribute to the event. 

Individuals involved in a work-related accident shall be required to submit to a 

drug and alcohol test at a designated testing facility. 

Drug and alcohol for-cause testing may be delayed only if necessary to seek 

urgent medical care. “Urgent medical care” could include, but is not limited to: 
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head trauma; broken bones; internal organ problems; and burns and other wounds 

requiring a medical doctor, paramedic, or nursing care. 

6.2.2.2 Occupational Injury and Illness Resulting in an OSHA Recordable 

Incident 

The injured individual must notify their onsite supervisor of the injury or illness, 

if able. 

1. The construction site entity management shall make arrangements for the 

individual to submit for a drug and alcohol test at a designated testing facility. 

2. The MRO-reviewed positive, adulterated, substituted, and invalid 

confirmatory drug and validity test results and alcohol test results shall be 

submitted to the construction site entity’s designated representative. 

Note: The qualifying phrase “within 4 hours after the event” is utilized in 10 

CFR26.31(c)(3)(i) and 26.405(c)(3)(i) because, in some cases, it will be difficult 

to detect illnesses and injuries that meet the threshold for post-accident (i.e., postevent) testing and to conduct testing within that 4-hour window. Therefore, the 

determination of whether the event is recordable must be made within 4 hours and 

the post-accident/for-cause testing must commence as soon as practical after the 

event occurred. The 4-hour window should not be misinterpreted as requiring 

post-event testing to be completed within 4 hours after the event. 

6.2.2.3 Significant Property Damage 

The supervisor shall notify the respective construction site entity’s designated 

representative that an incident has occurred that resulted in damage to safety- or 

security- related SSC in excess of $100,000. 

10 CFR 26.405(c), requires that drug and alcohol post-accident testing be 

accomplished “as soon as practical after an event,” therefore determination of the 

monetary value of an accident should not be unnecessarily complex or 

burdensome as to cause an unacceptable delay in post-accident testing. This 

determination should be made by an individual authorized by the construction 

entity (i.e., a person who can make an informed determination, who did not cause 

or contribute to the event, or who did not direct the activities leading up to the 

event) and be documented in sufficient detail to enable post-event reviews. 

Examples include but are not limited to the following: 

A human error that causes: 

1. A load to be dropped onto or moved across a seismically-engineered floor or 

foundation that exceeds its evaluated structural capacity; 

2. A fire or flood that adversely affects a safety- or security related SSC; 

3. A dropped safety- or security-related structure or system; or, 
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4. The retraction of a 10 CFR 52.99(c)(1) notification, could be examples that 

meet the 10 CFR 26.405(c)(3)(ii) post-accident testing requirement for 

“Significant damage, during construction, to any safety- or security-related 

SSC.” 

Construction site entity management shall make arrangements for the individuals 

involved in the damage event sequence to submit for a drug and alcohol test at a 

designated testing facility as soon as practicable. 

The MRO-reviewed positive, adulterated, substituted, and invalid confirmatory 

drug and validity test results and alcohol test results shall be timely (e.g., 

electronically) submitted in writing to the construction site entity’s designated 

representative. 

6.2.2.4 Observed Behavior 

Management and oversight personnel shall notify the construction site entity 

about any FFD concerns about individuals, as a minimum: 

1. If observed behavior or a physical condition creates a reasonable suspicion of 

possible substance abuse, the construction site entity shall perform drug and 

alcohol testing. The results must be negative before the individual returns to 

performing work on SSCs or assigned duties. 

2. If credible information is received that an individual is engaging in substance 

abuse, the construction site entity shall perform drug and alcohol testing 

3. If there is the smell of alcohol with no other behavioral or physical indications 

of impairment, then only an alcohol test is required. 

For other indications of possible impairment that do not create a reasonable 

suspicion of alcohol use or substance abuse, the construction site entity may 

permit the individual to return to work only after the condition (e.g., fatigue, legal 

use of prescription or over-the-counter medications, etc.,) is evaluated by the 

MRO and the MRO has determined that the individual is fit to safely and 

competently perform his or her duties. 

6.2.3 Follow-up 

For individuals covered by a follow-up plan, the construction site entity must 

conduct follow-up testing to verify an individual’s continued abstinence from 

substance abuse as determined by the MRO. 

6.3 RANDOM DRUG AND ALCOHOL TESTING

6.3.1 Random Testing Population 

The population of individuals subject to random testing (i.e., the random testing 

pool) includes all 10 CFR 26 workers within the construction site workforce. A 10 

CFR 26 worker may not construct or direct construction of safety- or security-
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related SSCs or perform 10 CFR 26.4(e) duties unless he/she is identified within 

the random testing pool for the time period he/she is constructing or directing the 

construction of safety- or security-related SSCs or perform 10 CFR 26.4(e) duties. 

Since the construction site workforce composition is expected to change 

frequently, the construction site entity must determine the 10 CFR 26 population 

at the time of the required random testing frequency and then generate its random 

testing selection list. 

Recognizing that individuals may move into or out of the category of random testeligible individuals that will form a particular testing population, the construction 

site entity must develop a means (e.g., badge, other unique identification, etc.) 

that will account for all 10 CFR 26 workers who are constructing or directing the 

construction of safety- or security-related SSCs or performing 10 CFR 26.4(e) 

duties at the time random pool is created. 

The construction site entity’s random testing methodology must ensure that the 

required annual random testing rate is met or exceeded. 

The construction site entity should not change the size of its random testing 

population in an effort to reduce the occurrence of positive test results and should 

implement appropriate procedure instructions (i.e., reviews and approvals) to 

manage changes to the construction site population. 

The construction site entity must ensure that the selection method must not be 

predictable based on either the time of day or frequency. 

6.3.2 Random Testing Frequency 

Random testing shall be performed at an annual rate of at least 50% of the 10 

CFR 26 workers and must be generated on a nominal weekly basis. 

Random testing must be administered in a manner that provides reasonable 

assurance that individuals are unable to predict the time periods during which 

specimens will be collected. The construction site entity must take reasonable 

steps to either conceal from the workforce that collections will be performed 

during a scheduled collection period or create the appearance that specimens are 

being collected during a portion of each day on at least 4 days in each calendar 

week at the construction site. The portions of each day and the days of the week 

must vary in a manner that cannot be predicted by donors. 

The construction site entity must collect specimens on an unpredictable schedule, 

including weekends, backshifts, and holidays, and at various times during a shift. 

There shall be no “safe time or day” with regard to random testing. 

If an individual is selected and is not at work on the day of testing, the individual 

is not required to report for the purposes of random testing; and the construction 

site entity will randomly select another individual for testing. Test selection shall 

be statistically random and unannounced, so that all individuals in the population 

subject to testing have an equal probability of being selected and tested. Testing 
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will be administered in a manner that provides reasonable assurance that 

individuals are unable to predict the time periods during which specimens will be 

collected. 

Random testing for individuals concurrently authorized Unescorted Access to an 

operating power reactor shall be deemed adequate to maintain access to a 

construction site without being subject to additional random testing. 

6.3.3 Random Selection Notification Process 

At the time of random drug and alcohol testing, the following steps shall be taken:

1. A record of the individuals selected for random testing shall be documented in 

the construction site entity’s records, maintained and controlled by the FFD 

program personnel and include those individuals selected for testing, but were 

not on the construction site and available for testing. A record must include 

the following: 

a. The time the notifications were made to the construction line organization 

for the individuals selected for testing, and 

b. The times the individual was tested. 

2. The construction site entity shall notify the subject individuals and direct them 

to report to the collection site as soon as practicable after notification and 

within the time period specified in the construction site entity’s FFD program. 

If the individual’s supervisor determines that the selected individual is 

performing safety- or security-related construction work or performing 10 

CFR 26.4(e) duties in which relief is not reasonably possible or safe (i.e., the 

immediate disruption of such work would have a high likelihood of causing an 

unsafe or unsecure work environment), then the individual should be 

permitted to report for testing immediately upon the next break in work or 

immediately after his/her shift, but in every case, prior to leaving the 

construction site at the end of the work shift. If the testing facility is located 

off-site, the construction site entity must provide a reasonable amount of 

travel time to the testing facility and the timeframe shall be documented 

within licensee procedures. Some example activities that may require greater 

time reporting allowance than the construction site entity’s normal expectation 

include but are not limited to the following: 

a. performing activities within an atmosphere requiring OSHA respiratorycontrols; 

b. welding a reactor coolant pressure boundary (including time-sensitive 

weld preparation); 

c. manipulating crane controls during a heavy lift; or 

d. implementing security contingency response actions. 
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3. Individuals selected for testing from the random pool must be immediately 

available for subsequent selections. 

6.3.4 Individual Fails to Report for Random Testing 

If an individual is notified to report for random testing and fails to report at the 

collection location in the specified time period: 

1. the individual’s supervisor and FFD program management will be notified; 

and 

2. the individual will be prohibited from being assigned to construct or direct the 

construction of safety- or security-related SSCs or performing 10 CFR 26.4(e) 

duties until it is determined whether there was a valid reason (e.g. verifiable 

and/or documented medical reason, weather condition, accident, or vehicle 

maintenance condition) for not reporting for testing. 

6.3.5 Failure to Comply with Random Testing Program Requirements 

If it is determined that the individual intentionally failed to comply with and 

report for testing when notified; otherwise avoided or disregarded the random 

testing notification; or the individual’s condition or behavior poses a potential risk 

to public health and safety or the common defense and security, the individual’s 

FFDA will be permanently denied and access to the construction site will be 

terminated unfavorably. 

6.3.6 Construction Site Entity Actions When a 10 CFR 26 Worker Fails to Comply 

If a 10 CFR 26 worker refuses to submit to the testing, the worker shall be 

informed that FFDA and access to the construction site shall be terminated unless 

he/she submits to testing. If the individual still does not comply, the individual 

will be removed from the construction site and the construction site entity’s FFD 

program manager will be notified. 

6.3.7 Random Testing Exceptions 

An individual selected for random testing that is not available at the time testing is 

being conducted will be tested at the next available time as determined by the 

FFD Program personnel. 

6.4 SPECIMEN COLLECTION AND LABORATORY SPECIMEN ANALYSIS

6.4.1 Collector Site and Collector Qualifications: 

The construction site entity may establish a collection site that meets the 

requirements of the current version of 49 CFR Part 40, “Procedures for 

Department of Transportation Workplace Drug and Alcohol Testing Programs,” 

as amended, and ensure the following: 
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6.4.1.1 Urine Collector Qualifications: 

Urine collectors (and alternate collectors as provided in 10 CFR 26.85(c) shall be 

knowledgeable of the requirements of the construction site FFD policy and 

procedures and shall keep current on any changes to urine collection procedures 

(either those described in 10 CFR Part 26 and/or 49 CFR Part 40 if relied upon to 

support the construction entity’s program). Collectors shall either receive 

qualification training that meets the requirements of 10 CFR 26.85 and 

demonstrate proficiency in applying the requirements of 10 CFR 26.85 before 

serving as a collector or meet the 49 CFR Part 40 Subpart C’s, collection and 

training requirements. 

6.4.1.2 Alcohol Collector Qualifications: 

Alcohol collectors shall be knowledgeable of the requirements of the construction 

site FFD policy and procedures and shall keep current on any changes to alcohol 

collection procedures (either those described in 10 CFR Part 26 and/or 49 CFR 

Part 40 if relied upon to support the construction entity’s program). Collectors 

shall receive qualification training meeting the requirements of 10 CFR 26.85 and 

demonstrate proficiency in applying the requirements before serving as a collector 

or meet the 49 CFR Part 40 Subpart J, Collection and Training Requirements. 

6.4.2 Alternative Collection Sites 

Construction site entities may rely on a local hospital or other organization that 

meets the requirements of the current version of 49 CFR Part 40, “Procedures for 

Department of Transportation Workplace Drug and Alcohol Testing Programs” 

to collect urine specimens and conduct alcohol tests for the FFD program listed 

herein. 

6.4.3 On-site Licensee Testing Facility 

The construction site entity may use a licensee testing facility, whether located on 

or off-site, that meets the requirements of 10 CFR Part 26, Subpart F, to conduct 

initial validity and initial testing of urine specimens. 

6.4.4 Initial and Confirmatory Testing Methods 

Any initial test performed by a licensee testing facility or a HHS-certified 

laboratory and the confirmatory test performed by a HHS-certified laboratory (or 

comparable laboratory for alternate specimens) shall use a process which meets 

the requirements of the Food and Drug Administration (FDA). Testing for drugs 

and drug metabolites will be conducted through the analysis of urine specimens or 

other alternative specimens which meets the requirements of the FDA. Testing for 

alcohol will be conducted through breath measurement or oral fluids. 

Analytic methods used for testing will be urinalysis, oral fluid analysis, or any 

other specimens approved in 10 CFR Part 26. Testing that indicates the presence 
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of alcohol, specific drugs, or drug metabolites, may or may not be an indication of 

impairment due to substance use. The final determination is made by the MRO. 

Note: As an example, a person who confirmed positive for a Schedule I drug of 

Section 202 of the Controlled Substances Act [21 U.S.C. 812] is considered unfit 

for duty, even if the drug was legally prescribed and used under State law. 

Initial analysis and validity testing of urine specimens will be performed by either 

a licensee testing facility, a HHS-certified laboratory, or a HHS-certified 

instrumented initial test facility. Confirmatory analysis is performed by an HHS 

certified laboratory. Breath analysis may be performed at the construction site 

entity collection site or other site (e.g., local hospitals) as described herein that 

meets the requirements of 49 CFR Part 40, as amended. 

6.4.5 Point-of-Collection (POC) Alternate Specimen Collection and Alcohol 

Testing 

Note: DOT-qualified urine collectors are trained to split urine specimens and not 

trained to conduct alternative specimen collections. 

The construction site entity: 

1. May elect to conduct, for example, oral fluid drug or alcohol screening as long 

as its collection procedures and testing of oral fluids meet or exceed the 

requirements in 10 CFR 26 regarding, in part, specimen integrity, cutoffs for 

drugs and drug metabolites, quality controls, protection of information, and 

chain of custody. 

2. Should ensure that the use of its selected POC apparatus tests drugs and drug 

metabolites at cutoffs specified in 10 CFR 26.133 or at comparable levels. 

For example, some POC equipment may not be optimized to detect delta-9-

tetrahydrocannabinol-9-carboxylic acid (THC-COOH) because of cross 

reactivity to other metabolites. Therefore, the oral fluid result would not be 

comparable to a urine result as required by 10 CFR 26.405(d) and the 

construction site entity would need to establish an appropriate POC cutoff. 

This same type of comparable analysis is required by 10 CFR 26.405(f) if the 

construction site entity utilizes a laboratory that is comparable to an HHScertified laboratory for confirmatory analysis. 

3. Should establish in procedures other alternate specimen collection 

considerations, such as: dry mouth, oral/salivary contamination, privacy, 

specimen security, preservation, information protection, custody, collection, 

and other considerations to meet the requirements of 10 CFR 26. 

4. Should establish in procedures the process to be followed if an initial drug 

and/or alcohol screening test indicates the need for confirmatory analysis per 

10 CFR 26. 
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Note: Where applicable, construction site entities, should assess whether their 

POC procedure requirements for POC testing (e.g., performed for follow-up, for 

cause, pre-assignment/pre-access, etc.) might need to be different than that 

established for continual (e.g., random) POC testing to provide reasonable 

assurance that the FFD Program for Construction remains effective. 

6.4.6 Interpretation of Testing Results and Follow-up Activities 

Those specimens that test negative on the initial test are not subject to further 

testing unless they are suspected of having been substituted, invalid, adulterated 

or diluted. 

Specimens with a confirmed positive laboratory result for drugs, other than 

alcohol, will be evaluated by the MRO who must determine whether there is a 

legitimate medical reason for the presence of that drug in that specimen. This may 

involve review of medication history, physical examination and/or personal 

interview. 

6.5 SPECIMEN PROCESSING

Construction site entity shall arrange for specimen collections for drug evaluation and 

initial alcohol tests to be performed at the collection location as specified in the 

construction site entity procedures. The testing should be done as soon as practicable 

after appropriate medical care if required is rendered if required, as discussed in Section 

6.6.2, “For Cause,” subsections “Post Accident” and “Notification Procedures.” 

Collection site personnel shall arrange for the transfer of collected specimens to the 

appropriate testing facility (e.g., licensee testing facility or HHS-certified laboratory for 

urine specimens). The construction site entity shall take appropriate and prudent actions 

to minimize false negative results from specimen degradation. Specimens that have not 

been shipped to the appropriate testing facility (e.g., HHS-certified laboratory or a 

licensee testing facility) within 24 hours of collection and any specimen that is suspected 

of having been substituted, adulterated, or tampered with in any way must be maintained 

cooled to not more than 6 °C (42.8 °F) until they are shipped to the appropriate 

laboratory. Specimens must be shipped from the collection site to the appropriate 

laboratory or a licensee testing facility as soon as reasonably practical but, except under 

unusual circumstances, the time between specimen shipment and receipt of the specimen 

at the licensee testing facility or laboratory should not exceed two business days. 

The specimen collection and alcohol testing process will be detailed in the construction 

site entity procedures and will meet or exceed the requirements of specimen collection as 

stated in 10 CFR Part 26. For alternative methods not described in 10 CFR Part 26 the 

construction site entity, pursuant to 10 CFR 26 and this guidance, will develop detailed 

collection and specimen testing procedures. These procedures will be subject to NRC 

inspection. 
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6.6 POSITIVE RESULTS

A positive confirmatory breath alcohol test indicates a violation of the FFD program. 

A positive initial drug test result does not always indicate a violation of the FFD program. 

The MRO must review positive test results from the HHS-certified laboratory or 

comparable laboratory for alternative specimens, determine whether a legitimate medical 

reason exists for the positive result, and make the final determination as to whether the 

test is a “confirmed positive” and the individual has violated the FFD program. If the 

MRO determines that there is a legitimate medical explanation for the confirmed positive 

test result from the confirmatory analysis, and the drug was used in the manner and 

dosage prescribed, the MRO shall report the result as negative that no FFD policy 

violation has occurred. 

Note: If the MRO determines that the individual’s condition poses a potential risk to the 

individual’s ability to safely and competently perform his/her assigned duties in a 

trustworthy and reliable manner, a determination of fitness should also be performed in 

accordance with the construction site entity’s FFD program. 

Adulterated, substituted, diluted and invalid confirmatory drug and validity test results 

will also be subject to MRO review for final determination. 

Only the MRO can authorize the reanalysis of the original specimen, or the analysis of an 

aliquot of a split sample. The donor must request the MRO to authorize reanalysis. Such 

reanalysis shall be documented by the MRO and conducted by an HHS-certified 

laboratory or comparable laboratory for alternative specimens. 

The MRO shall report all confirmed positive results (and for which analyte), adulterated, 

substituted, diluted, and invalid results to the construction site entity’s designated person , 

without disclosing quantitative test results, and except as permitted in 10 CFR 26. The 

construction site entity shall ensure that appropriate action is taken as defined in the 

construction site entity procedures to deny the individual access to the construction site. 
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7 BEHAVIORAL OBSERVATION PROGRAM 

The construction site entity’s BOP is the primary means to detect behavior that may indicate 

possible use, sale, or possession of illegal drugs; use or possession of alcohol on site or 

while on duty; or any physical impairment; or any condition that, if left unattended, may 

constitute a risk to public health and safety or the common defense and security. 

Management and oversight personnel, identified in Section 2.2 of this document are 

responsible for observing individuals subject to a BOP, shall be identified within the 

construction site entity’s procedures and shall report any FFD concerns about individuals to 

the personnel designated in the construction site entity’s policy. 

Management and oversight personnel that are responsible to perform BOP must be trained 

to have sufficient awareness and sensitivity to detect degradation in performance which may 

be the result of being under the influence of any substance, legal or illegal, physical or 

mental impairment which in any way may adversely affect their ability to safely and 

competently perform their duties. Training shall communicate the expectation of promptly 

reporting noticeable changes in behavior or FFD concerns about other individuals to the 

construction site entity designated personnel for appropriate evaluation and action in 

accordance with the FFD policy. 
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8 REVIEWING OFFICIAL 

The licensee or as applicable, approved C/V, is required to designate in writing one or more 

individuals as a reviewing official to make FFDA determinations relative to an individual’s, 

trustworthiness and reliability and fitness for duty. The designated reviewing official must 

have a demonstrated knowledge of all aspects of the FFDA elements and the applicable FFD 

program requirements impacting an individual’s FFDA. 

In every case, the reviewing official shall evaluate trustworthiness and reliability based on 

an accumulation of information including potentially disqualifying information (PDI), BOP 

data, and/or any subsequent determination of fitness. This information must support a 

trustworthiness and reliability determination prior to the licensee granting FFDA or 

maintaining of FFDA. The individual must be informed of the basis for any denial of FFDA. 

Items to evaluate include: 

1. The self-disclosed and developed activities of the individual; 

2. The consistency and completeness of self-disclosed and developed information; 

3. Results of true identity verification of the individual, such as comparing PHQ data to 

developed information, or other data sources; and 

4. The reason for inconsistencies detected through review of collected information, i.e., 

intentional, innocent, or an oversight. Willful or intentional acts of omission or 

untruthfulness would be grounds for denial of FFDA. 

Whenever an individual who is granted FFDA is subsequently terminated unfavorably, the 

organization responsible for controlling access to the construction site must be notified prior 

to or simultaneous with the unfavorable termination. 

The individual must be notified in writing that any document submitted by the individual as 

part of the FFDA process must contain accurate, complete and truthful information, and 

advised of the consequences for failure to do so. 

The following actions related to providing and sharing the personal information required are 

sufficient cause for denial or unfavorable termination of FFDA: 

1. Refusal to provide written consent for the suitable inquiry; 

2. Refusal to provide, or the falsification of any personal information including, but not 

limited to, the failure to report any previous denial or unfavorable termination of nuclear 

power plant access authorization; 

3. Refusal to provide written consent for the sharing of personal and developed information 

with other licensees, construction site entities or C/Vs; and 
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4. Failure to report any legal actions, if applicable. 

The licensee reviewing official may determine that FFDA shall be denied or terminated at 

any time based on disqualifying information even if all information required has not been 

provided, collected, or evaluated. However, FFDA must not be granted until all applicable 

FFDA elements are completed and have been favorably evaluated by the licensee reviewing 

official. However, the reviewing official may deny or terminate FFDA of any individual 

based on disqualifying information even if not all the information required by this section 

has been collected or evaluated. 

If an individual who has FFDA status is not subject to an FFD program that meets the 

requirements of this document for more than 30 continuous days, then the reviewing official 

shall terminate the individual’s FFDA status and the individual shall meet the requirements 

in order to reestablish FFDA. 
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9 GRANTING AND MAINTAINING FFDA 

9.1 FFDA ELEMENTS

The FFDA elements individuals subject to 10 CFR 26 Subpart A-H, N & O must have 

completed include in accordance with 10 CFR 26 Subpart C: 

1. Sign a consent; 

2. Verification of identity; 

3. Complete a self-disclosure of FFD potentially disqualifying information (PDI) and 

legal actions; 

4. Conduct a suitable inquiry of employers(including education in lieu of employment 

and military service within the scope period) to verify self-disclosure information; 

5. Successfully pass a pre-assignment drug and alcohol test; 

6. Receive and successfully pass training on the 10 CFR 26-required knowledge and 

abilities (K&A’s); 

7. Be subject to an approved BOP; and 

8. Be subject to a random drug and alcohol testing program. 

The FFDA elements individuals subject to 10 CFR 26 Subpart K must completed are: 

1. Sign a consent; 

2. Verification of identity; 

3. Successfully pass a pre-assignment drug and alcohol test; and 

4. Receive training on FFD policy, sanctions and FFP program expectations. 

9.2 TYPES OF FFDA 

The requirements for FFDA are separated into the following categories: 

1. Initial FFDA; 

2. Reinstated FFDA; and 

3. Maintained FFDA or elements thereof. 

The determining factor that differentiates the use of any of these categories is: 

1. whether the individual has previously held FFDA; 
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2. the lapsed time (the total number of days that the individual’s FFDA is interrupted to 

include the day after the individual’s last period of FFDA was terminated and the 

intervening days until the day upon which the individual applies for FFDA); and 

3. whether or not the FFDA has been terminated favorably. 

9.3 GRANTING FFDA AND FFDA ELEMENTS

A construction site entity may grant FFDA upon successful completion and 

documentation of the elements specified within Section 9.1, as appropriate. 

Construction site entities and C/Vs may rely upon the information that other licensees, 

construction site entities and C/V’s who are subject to 10 CFR 26 have: 

1. gathered about individuals who have previously applied for FFDA and 

2. developed about individuals during periods in which the individuals were maintained 

in an FFDA status. 

Construction site entities who are seeking to grant FFDA to an individual who is subject 

to another NRC-approved program (e.g., 10 CFR 73.56 Personnel Access Authorization 

Requirements for Nuclear Power Plants) or another program that complies with the 

requirements contained within this document (including programs designed to meet the 

requirements of 10 CFR 73.56), may rely on those documented programs or program 

elements to comply with the FFDA requirements. 

The construction site entity who is seeking to grant FFDA is required to document that 

the program elements being accepted have been maintained consistent with the 

requirements of this section by the other program (e.g., access authorization or FFDA at 

another construction site). 

Operating US nuclear power plants and construction site entities that collect personal data 

under requirements of 10 CFR 26 are committed to the requirements contained within 

this document and therefore, are able to share and rely upon information that has been 

collected and evaluated in accordance with the requirements of this program. 

If an individual who has FFDA status is not subject to a FFDA program that meets the 

requirements as defined in this section for more than 30 continuous days, then the 

licensee shall terminate the individual’s FFDA status. 

9.4 MAINTAINING FFDA AND FFDA ELEMENTS

Once Initial FFDA is granted, the individual may be maintained in a FFDA-certified 

status. 

FFDA elements completed prior to the granting of FFDA may be maintained current 

indefinitely for an individual covered by an approved BOP. Additional drug and alcohol 

testing is not required if the individual was subject to a random drug and alcohol testing 

program throughout the period since the individual’s last FFDA was terminated. 
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Self Disclosure (SD) and Suitable Inquiry (SI) once completed can be maintained 

indefinitely provided the individual is under a licensee-approved BOP since the 

completion of SD and SI or throughout the period since the individual’s last FFDA was 

terminated favorably.

9.5 FFDA TERMINATED UNFAVORABLY

For individuals whose last FFDA was terminated unfavorably, whose FFDA was 

suspended due to violation of a FFD program policy or whose last FFDA or request for 

FFDA was denied, the individual’s trustworthiness and reliability must be re-established 

through the conduct of program elements necessary to establish an Initial FFDA as 

described in Section 9.2(a)(1). 

9.6 REVIEW PROCESS

The construction site entity shall have a review process that is objective and impartial. 

The construction site entity’s review program is not intended to modify, subjugate, or 

abrogate any review rights that currently exist for individuals with their respective 

employers. 

An individual who has been denied FFDA at the construction site or whose authorization 

has been terminated due to a violation of the FFD program shall: 

1. Be provided the basis for the denial of FFDA; 

2. Have an opportunity to provide additional information and/or correct incorrect 

information contained on the record, and; 

3. Be provided the opportunity to have the decision, together with any additional 

information, reviewed in accordance with the construction site entity appeal/review 

process as defined in the construction site entity’s procedures. For example, the 

appeal/review process may entail a separate review by another construction site entity 

manager who is equivalent or senior to and independent of the individual who made 

the decision to deny or terminate access to the construction site due to the program 

violation. 

4. The determination from this independent review is final. 
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10 PROTECTION OF INFORMATION 

Personal information, whether electronic or hardcopy, must not be disclosed to unauthorized 

persons. The construction site entity shall obtain a signed consent that authorizes the 

disclosure of the personal information collected and maintained under the construction site 

entity’s FFD program before disclosing the personal information, except for disclosures to 

the following persons who are authorized: 

1. A licensee's or other entity's representatives who have a need to have access to the 

information to perform their assigned duties under the FFD program, including 

determinations of fitness, FFD program audits, or some human resources functions; 

2. NRC representatives; 

3. Assigned MROs and MRO staff; 

4. Appropriate law enforcement officials under court order; 

5. The subject individual or his/her representative who has been designated in writing; 

6. Persons deciding matters on review or appeal; 

7. The presiding officer in a judicial or administrative proceeding initiated by the subject 

individual (see note below), or 

8. Other persons pursuant to court order. 

Note: For example, the presiding officer and a licensee’s or other entity’s attorneys of 

record defending the licensee in an alternative dispute resolution, judicial, or administrative 

proceeding that is initiated by the subject individual regarding a wrongful termination claim 

or action resulting from a violation of the license’s FFD policy. The information disclosed 

to the presiding officer and the licensee’s or other entity’s attorneys must be limited to the 

subject individual’s personal FFD information that is at issue in the proceeding, the 

information disclosed to the presiding officer must be identical to the information disclosed 

to the licensee’s or other entity’s attorneys, and the discloser of the information to the 

presiding officer and the licensee’s or other entity’s attorneys must include a binding 

stipulation that the presiding officer and the licensee’s or other entity’s attorneys will not 

make the information publicly available. 
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11 RECORDS RETENTION 

The construction site entity must establish and maintain a system of files and procedures 

that clearly indicate how the records pertaining to the administration of the program are 

maintained so that they are available for NRC inspection purposes and for any legal 

proceedings resulting from the administration of the program. The records may be stored 

and/or archived either in hardcopy or electronic format. 

11.1 FIVE-YEAR RECORDS RETENTION

The construction site entity shall maintain for at least five (5) years after the construction 

site entity terminates or denies an individual’s FFDA or until the completion of all related 

legal proceedings, whichever is later. 

1. Records pertaining to individual workers including: 

a. Information used to make pre-assignment (i.e., FFDA, consent, termination, FFD 

testing results, etc.) decisions; 

b. Records pertaining to the determination of a violation of the FFD policy and 

related management actions; and 

c. Records of any MRO evaluations or suitability and fitness evaluations. 

2. FFD Program records including: 

a. A list of the random pool (including all updates), a list of individuals selected for 

random testing for each day of testing, including those individuals selected but 

not tested, and the reason individuals were not tested;

b. Superseded versions of the written FFD policy and procedures; 

c. Procedures involving behavioral observation, protection of information, reviews 

conducted for FFD policy violations, audits, suitability and fitness evaluations, 

sanctions, and drug and alcohol selection, collection, testing (e.g., preassignment/pre-access, random, for-cause, post-accident, and follow-up), 

evaluation; test results; 

d. Technical information and evaluations used to justify or support the conduct of 

alternate specimen sampling and licensee-selected drug and drug metabolite 

cutoff levels; 

e. Information, data, and reports necessary to implement the requirements of 10 

CFR 26; 

f. NRC Operations Center reports by telephone pursuant to Section 6.11; and 

g. Annual program performance reports for the FFD program. 
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11.2 THREE (3)-YEAR RECORDS RETENTION

The construction site entity shall maintain for at least three (3) years records that, include: 

a. Records of FFD training and examinations 

b. Records of audits, audit findings and corrective actions 

11.3 LIFE OF AGREEMENT

The construction site entity shall maintain until the life of the agreement or until 

completion of all legal proceedings, whichever is later, written agreements for the 

provision of services supporting the FFD program. 

11.4 FFD PROGRAM PERSONNEL FOR THE LENGTH OF EMPLOYMENT BY OR CONTRACTUAL 

RELATIONSHIP WITH THE CONSTRUCTION SITE ENTITY

The construction site entity shall maintain FFD Program personnel records; background 

investigations, credit and criminal history checks, and psychological assessments of FFD 

program personnel for the length of the individual’s employment by or contractual 

relationship with the licensee or other entity, or until the completion of all related legal 

proceedings, whichever is later. 

11.5 FOR THE TIME THE FFD PROGRAM PERMITS TESTING FOR DRUGS NOT SPECIFIED IN 

10 CFR PART 26 

The construction site entity shall maintain records for the FFD program that includes 

testing for drugs not specified in 10 CFR 26 or for those that used more stringent cutoff 

levels than 10 CFR 26 required for the time the FFD program follows these practices or 

until the completion of all related legal proceedings, whichever is later. 

11.6 ELECTRONIC FORMAT RECORDS AND SIGNATURES

For information stored or transmitted in electronic format, access to personal information 

will be controlled by password protection to control access to personal data and limiting 

data entry to each authorized individual's area of responsibility. 

When signing forms specified within this document, either a handwritten signature or an 

electronic signature (e.g., USER ID Account or process that links the data to the 

individual, etc.) may be used to signify that the individual signed the form providing 

appropriate consent or acknowledged that the data on the form is accurate. If the 

signature or approval is electronic, the signature or approval must be in a form that is 

capable of being retained and accurately reproduced for later reference by parties 

required to maintain the record. 
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11.7 HARDCOPY RECORDS

Hard copy FFD records containing personal information shall be maintained in secured 

storage or lockable file cabinets when not in review. Access to the FFD area where FFD 

files and FFD file cabinets containing personal information are maintained is limited to 

those individuals authorized by the construction site entity. 
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12 REPORTING RESPONSIBILITIES 

Licensee-approved C/Vs must report to the licensee or other entity within 8 hours of 

discovery any programmatic failure, degradation, or discovered vulnerability of the FFD 

program that may permit undetected drug or alcohol use or abuse by individuals who are 

subject to the FFD program. 

Construction site entities shall make reports to the NRC Operations Center by telephone 

within 24 hours after the entity discovers any intentional act that casts doubt on the integrity 

of the FFD program and any programmatic failure, degradation, or discovered vulnerability 

of the FFD program that may permit undetected drug or alcohol use or abuse by individuals 

who are subject to the FFD program. These events must be reported under 10 CFR 26, 

rather than under the provisions of 10 CFR 73.71. 

Construction site entities, for example, should exercise prudent judgment in determining 

whether to report a particular construction-related FFD issue to the NRC Operations Center. 

The following examples are guidance to assist construction site entity reportability 

determinations: 

1. An “intentional act that casts doubt on the integrity of the FFD program” could involve, 

but is not limited to, the following examples: 

a. the unauthorized notification of a person, to subvert the FFD program’s normal 

notification procedure, that he/she will be selected for drug or alcohol testing on a 

certain day or at a certain time; 

b. any unauthorized diversion or subversion of a drug or alcohol specimen or its 

documentation while in construction site entity custody; 

c. any actual tampering or unauthorized alteration of onsite instrumentation or 

equipment used to analyze or store a drug or alcohol specimen; or 

d. any actual collusion between any person with FFD-related program management 

access or authorization (e.g., an instrument calibration technician, computer 

software/hardware technician, FFD program personnel, supervisors, etc.) and any 

person subject to drug or alcohol testing to subvert the test. 

2. Any programmatic failure, degradation, or discovered vulnerability of the FFD program 

that may permit undetected drug or alcohol abuse by individuals who are subject to the 

FFD program, could involve, but is not limited to, the following examples that involve 

the failure to: 

a. conduct behavioral observation or perform pre-assignment/pre-access or random 

testing of a significant number of persons who constructed or directed the 

construction of safety- or security-related SSCs or perform 10 CFR 26.4(e) duties; 
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b. implement an effective suitability and fitness evaluation (10 CFR 26) process that 

enabled unfit persons to construct or direct the construction of safety- or securityrelated SSCs or perform 10 CFR 26.4(e) duties; or 

c. provide reasonable assurance that one or more of the 10 CFR 26.23, “Performance 

objectives,” are met. 

Note: Single occurrences or non-related multiple occurrences not representing a 

programmatic failure should not be reported. 

3. Construction site entities should also consider making a report for the following persons, 

if found and confirmed to be unfit for duty during the onsite conduct of the described 

duty(ies): 

a. a person maintaining or has applied to the NRC for a 10 CFR Part 55 license who 

directed or performed a safety-significant activity; 

b. Certified Fuel Handler (see 10 CFR Part 50.2) who directed or manipulated nuclear 

fuel; 

c. a security person performing NRC-required duties; or, 

d. a person who performed quality assurance/verification activities on an Inspection, 

Tests, and Analysis and Acceptance Criteria (ITAAC)-designated SSC or other 10 

CFR 26.4(e) duties. 

4. If a construction site entity identifies that a particular 10 CFR Part 26, Subpart G, 

laboratory has a significant quality issue or a collection contractor has trustworthy and 

reliability concerns, and the issue meets the criteria in 10 CFR 26, this issue should be 

reported. 

5. If a person entered the construction site in possession or “constructive possession” of 

more than a personal-use quantity (e.g., a quantity established by State law) of an illegal 

drug, the issue should be reported. 

6. FFD-reportable occurrences should be evaluated and documented (with appropriate 

protection of information) by the construction site entity for the implementation of 

corrective actions to help assure the continuing effectiveness of the FFD program and to 

enable NRC inspection. 

12.1 ANNUAL PROGRAM PERFORMANCE REPORTS FOR THE FFD PROGRAM

For the annual report: 

1. The construction site entity should submit its FFD performance data for its 

construction site population excluding individuals covered under a co-located 

operating reactor site population. 
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2. If a construction site and an operating reactor site share employees, these shared 

persons should be reported (i.e., included) in the operating reactor FFD performance 

report. 

3. The construction site entity should coordinate the reporting of C/V personnel with the 

C/V entity in order to preclude double counting of C/V personnel in the construction 

site entity’s, licensee’s and NRC’s FFD databases. 

Note: If the reporting protocol of 1-3 above are not implemented, the construction site 

entity should inform the NRC of the particular reporting protocols in its 10 CFR 26 report 

so that the NRC’s FFD database can be annotated. 

4. If implementing electronic reporting, the construction site entity will need to submit 

the “Single Positive Test Form” for each occurrence, “Annual Reporting Form for 

Drug and Alcohol Tests,” and the “Annual Fatigue Reporting Form,” to satisfy the 10 

CFR 26 reporting requirement. 

5. The electronic reporting of the “Single Positive Test Form” will not satisfy the 24-

hour telephone report to the NRC Operations Center pursuant to 10 CFR 26 and 

Section 6.11. 

6. If implementing electronic reporting, the FFD e-forms provide space and drop-down 

menus for the submittal of voluntary information. This voluntary information is 

currently not required by regulation (see 10 CFR 26.8, “Information collection 

requirements: OMB approval”). However, construction site entities should consider 

submitting this information as it will enhance consistency across the industry, the 

NRC’s FFD database, and the quality of NRC’s assessment of construction site entity 

FFD performance. 

7. The construction site entity shall ensure that the information protection requirements 

pursuant to 10 CFR 26 are applied to all FFD-related communications and 

correspondence. Privacy information and other personally identifiable information 

shall not be included on any reports or forms required by 10 CFR 26. 
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13 AUDITS 

Construction site entities who implement an FFD program shall ensure that audits are 

performed to assure the continuing effectiveness of the FFD program, including FFD 

program elements that are provided by C/Vs, and the FFD programs of C/Vs that are 

approved by the licensee or other construction site entity. 

Construction site entities shall ensure that these programs are audited at a frequency that 

assures their continuing effectiveness and that corrective actions are taken to resolve any 

problems identified. Construction site entities may conduct joint audits, or accept audits of 

C/Vs conducted by others, so long as the audit addresses the relevant C/Vs' services. 

Audits can be combined and performance dates managed in accordance with construction 

site entity procedures. 

If adverse performance data exists necessitating the conduct of an audit, the construction site 

entity should schedule the conduct of its audit(s) as soon as reasonably practicable to 

maintain reasonable assurance that the FFD program provides on-going detection and 

deterrence of substance abuse to help ensure that persons constructing or directing the 

construction of safety- or security-related SSCs or performing 10 CFR 26.4(e) duties are fit 

for duty, trustworthy, and reliable commensurate with the potential risk to public health and 

safety and the common defense and security. 

Persons performing FFD audits must be independent of the FFD functional area being 

audited. 

The audit report, findings, observations, and recommendations must be reported to 

management at a level above that of the FFD program manager 

The following audits are required: 

1. An audit evaluating a majority of the 10 CFR Part 26, Subpart B, program elements: 

a. Within 12 months of the start of safety- or security-related construction; 

b. Prior to the earlier of when the Commission makes its 10 CFR 52.103(g) finding, the 

licensee’s receipt of fuel assemblies on site, or when the protected area is 

established; and 

c. If performance data indicates an adverse trend that challenges a performance 

objective listed in 10 CFR 26.23, for the elements of concern. 

2. An audit of construction site entity program elements on a periodic schedule, not to 

exceed a nominal 24 months period, as determined by the construction site entity. 

3. An audit of approved-C/V programs on a nominal 12 month period. 
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Construction site entities need not audit HHS-certified laboratories or the specimen 

collection and alcohol testing services that meet the requirements of the current version of 

49 CFR Part 40, “Procedures for Department of Transportation Workplace Drug and 

Alcohol Testing Programs.”