NRC Staff Best Practices: 1 December 11, 2012 

Subversion Attempt Reporting 

NRC Staff Best Practices: 

Reporting a Subversion Attempt using a Single Positive Test Form (SPTF) 

Requirement

Section 26.717, “Fitness-for-Duty Program Performance Data,” requires licensees and other 

entities to compile and submit on an annual basis FFD program performance data for each 

program subject to 10 CFR Part 26, Subpart N, “Recordkeeping and Reporting Requirements.” 

Section 26.717(b)(7) requires the reporting of the number of subversion attempts by test type 

and each test type is described in § 26.31(c) (i.e., pre-access, for cause, post-event, followup, 

and random). 

Problem Statement 

Electronic reporting (e-reporting) of FFD performance data has permitted the NRC staff to 

identify a number of occurrences in which licensees have double counted positive drug test 

results for a single testing event. A typical example is for a pre-access test that is associated 

with an out-of-temperature range urine specimen. During the collection process two specimens 

are collected and sent to the HHS-certified laboratory for testing. The initial out-of-temperate 

range specimen tests negative for drugs and the second specimen collected under direct 

observation tests positive for a drug. The licensee completes a SPTF for each specimen tested. 

The initial specimen is reported as a “pre-access” test with a refusal to test because of the 

subversion attempt and the second specimen is reported as a “for cause” test with a positive 

test result. By submitting a SPTF for each specimen tested, the licensee has double counted 

the test results for this individual; one as a subversion attempt for a “pre-access” test and one 

as a positive for a “for cause” test. Even though two specimens were tested as required by 

regulation due to the out-of-temperature specimen, only one determination is made about this 

individual for the pre-access testing conducted and should be reflected by using only one SPTF. 

FFD Performance Reports

To comply with the annual reporting requirements of 10 CFR 26.717, a licensee or other entity 

must submit a written report with all required information or can use the voluntary e-reporting 

system first offered for results reporting in calendar year 2009. Use of the e-reporting system 

consists of completing one Annual Reporting Form for Drug and Alcohol Tests to summarize 

testing program information and a SPTF for each individual with a testing program violation. 

Disclaimer

The information in this best practices document is provided as a public service and solely for 

informational purposes and is not, nor should be deemed as, an official NRC position, opinion or 

guidance, or "a written interpretation by the General Counsel" under 10 CFR 26.7, on any matter to 

which the information may relate. The opinions, representations, positions, interpretations, best 

practices, or recommendations which may be expressed by the NRC technical staff in this document 

are solely the NRC technical staff's and do not necessarily represent the same for the NRC. 

Accordingly, the fact that the information was obtained through the NRC technical staff will not have a 

precedential effect in any legal or regulatory proceeding.
NRC Staff Best Practices: 2 December 11, 2012 

Subversion Attempt Reporting 

For additional information on the e-reporting system, please visit the following NRC website 

http://www.nrc.gov/reactors/operating/ops-experience/fitness-for-duty-programs/submit-ffdreports.html. 

This best practices document addresses two cases observed by NRC staff that resulted in the 

double counting of test results for a single event. Both cases are associated with subversion 

attempts.

• Case 1: Initial urine specimen collected is outside the acceptable temperature range 

and the second specimen collected under direct observation tests positive.

• Case 2: Initial urine specimen collected is outside the acceptable temperature range 

and the donor refuses to provide a second specimen under direction observation. 

To correctly report a subversion attempt characterized by Case 1 or 2 above, please use the 

Subversion Attempt Reporting SPTF Completion Checklist on the next two pages of this 

document. The checklist details each step in the form completion process.

Example: A job applicant is informed to report for pre-access drug and alcohol testing. The individual 

presents an initial urine specimen that is outside the acceptable temperature range specified in 

§ 26.111(a). A second specimen is then collected under direct observation as required by 

§ 26.115(a)(2). Both specimens collected from this individual are sent to an HHS-certified laboratory 

for testing. The initial specimen tests negative for drugs and the second specimen tests positive for a 

drug. Based on the combination of test results, the MRO determines that a subversion attempt has 

occurred and reports the initial specimen collected as a subversion attempt and the second specimen 

collected as drug positive. 

To report this testing event, the licensee completes a SPTF for each specimen tested: 

• The initial specimen is reported as a “pre-access” test with a refusal to test because of the 

subversion attempt. 

• The second specimen is reported as a “for cause” test with a positive test result. 

By submitting a SPTF for each specimen tested, the licensee has double counted the test results for 

this individual; one as a subversion attempt for a “pre-access” test and one as a positive for a “for 

cause” test. Even though two specimens were tested, as required by regulation due to the out-oftemperature range specimen, only one determination is made about this individual for the pre-access 

testing conducted and should be reflected by using only one SPTF. 

In addition, a “for cause” test should not be chosen as the “Reason for Testing” on the SPTF when a 

second specimen is collected under direct observation; the reason the individual initially arrived for 

testing (i.e., pre-access) should be selected. This reason does not change even if the temperature of 

the initial specimen collected is out of the acceptable temperature range. 

Section 26.31(c)(2) states that “for cause” testing is to be conducted “In response to an individual’s 

observed behavior or physical condition indicating possible substance abuse or after receiving 

credible information that an individual is engaging in substance abuse, as defined in § 26.5.”
Subversion Attempt Reporting SPTF Completion Checklist 

NRC Staff Best Practices: 3 December 11, 2012 

Subversion Attempt Reporting 

 Case 1 Case 2 

Collection 

1 First specimen collected is outside the acceptable temperature range 

Collection 

2 

Section 26.115(a)(2) requires a second specimen be provided under direct observation 

Second specimen collected 

is drug positive 

Donor refuses to provide 

a second specimen 

 

Step 1 Complete form fields: "Unique Reference Number", "Select Facility", and "Date of 

Collection" 

Step 2 Complete form field: "Reason for Testing" for the Collection 1 specimen 

Step 3 Complete form fields: "Employment Type" and "Labor Category" 

Step 4 

Complete form field "Refusal - Was this collection refused (Yes/No)?" 

Select "No" because neither collection 

was refused 

Select "Yes", the donor refused to provide 

a second specimen. Based on this 

response, Steps 5 through 10 do not apply. 

Step 5 

Complete form field "Test Validity" 

Select "Valid" N/A 

Step 6 

Complete form field "Test Types(s) for Results (s) Reported" 

Select "Drug Only" N/A 

Step 7 

Complete form field "Drug Testing" 

Select "Urine" N/A 

Step 8 

Complete "Was this collection observed?" 

Select "Yes" N/A 

Step 9 

Select the "Substance" identified in the donor's second specimen collected 

If more than one substance was 

identified, complete the "Additional 

Substance (as applicable)" fields 

N/A 

Step 10 

Select "Yes" or "No" for the "Use NRC Cutoff (Yes/No)" field that appears below the 

"Substance" and "Additional Substance (as applicable)" fields 

If "No" is selected, enter the drug testing 

cutoff levels used for "Initial Cutoff" and 

"Confirmatory Cutoff" 

N/A 
Subversion Attempt Reporting SPTF Completion Checklist 

NRC Staff Best Practices: 4 December 11, 2012 

Subversion Attempt Reporting 

 Case 1 Case 2 

Collection 

1 First specimen collected is outside the acceptable temperature range 

Collection 

2 

Section 26.115(a)(2) requires a second specimen be provided under direct observation 

Second specimen collected 

is drug positive 

Donor refuses to provide 

a second specimen 

 

Step 11 

Select "Yes" or "No" to the question "Is this a 24-Hour Reporting Event?" 

Note: the field will automatically populate “Yes” if “Supervisor”, “Licensed Operator”, 

“FFD Program Personnel”, or “SSNM Transporter” is selected in form field “Labor 

Category” 

If "Yes" is selected, provide additional information in the text box 

"Please elaborate on the 24-hour reporting event.” 

Step 12 

Answer "yes" to "Did this collection involve a subversion attempt (Yes/No)?” 

Select "Yes" The form auto-populates this field as "Yes" 

based on the response provided in Step 4 

Characterize the subversion attempt by selecting all appropriate checkbox descriptions 

At a minimum, select: 

"Specimen temperature (out of range)" 

At a minimum, select: 

"Refused to provide second specimen" 

"Specimen temperature (out of range)" 

Provide additional information on the subversion attempt in the text box that appears 

to the right of the subversion attempt checkbox descriptions, “Please elaborate on the 

choice(s) selected” 

Step 13 The "Management Actions" section of the form is auto-populated based on other form 

selections. 

Step 14 Enter information in the "Person(s) Responsible for Information Provided" section. 

Step 15 Select the "Validate & Lock" button to ensure the form has been completed correctly 

and that all required information has been supplied. 
NRC Staff Best Practices: 5 December 11, 2012 

Subversion Attempt Reporting 

Specimen Storage and Retention Guidance - Collections Involving a Subversion Attempt

The NRC staff has received a number of questions on the specimen retention and storage 

requirements for specimens collected during a subversion attempt. This section of the best 

practices document summarizes applicable Part 26 requirements and includes staff guidance. 

1. Case 1 – The initial out of temperature range specimen must be tested at an HHS-certified 

laboratory, should be stored per § 26.159(h) or better, and can be discarded 30 days after 

the Medical Review Officer (MRO) has completed the § 26.185 review and if no appeal is in 

progress. The second specimen collected under direction observation and confirmed drug 

positive must be retained per § 26.159(i) or better. 

2. Case 2 – The initial out of temperature range specimen must be preserved per § 26.111(e) 

and stored per § 26.117(j). NRC recommends that the specimen be discarded 30 days after 

the collection date unless an appeal is in progress. Note, the collection process was 

terminated when the donor refused to provide a second specimen under direct observation 

(§ 26.115(g) defines this donor action as a refusal to test). Therefore, the first specimen 

need not be sent to the HHS-certified laboratory for testing. 

Subversion Attempt Specimen Storage and Retention Summary Table 

 Case 1 Case 2 

Collection 1 – First specimen collected is outside the acceptable temperature range 

Specimen 

Storage & 

Retention 

Collection Site: 

Immediately after completing the 

collection process, store the specimen at 

a temperature of not more than 6 °C 

(42.8°F) until shipment to the testing 

laboratory. 

Collection Site: 

Preserve and store the specimen per 

§§ 26.111(e) and 26.117(j). The specimen 

collected should not be sent for testing 

because the donor refused to provide a 

second specimen under direct observation. 

HHS-certified laboratory: 

After testing the specimen at the 

HHS-certified laboratory, retain the 

negative specimen per §26.159(h). 

HHS-certified laboratory: 

Not applicable. 

Collection 2 – Second specimen is to be provided under direct observation per § 26.115(a)(2) 

Specimen 

Storage & 

Retention 

Collection Site: 

Immediately after completing the 

collection process, store the specimen at 

a temperature of not more than 6 °C 

(42.8°F) until shipment to the testing 

laboratory. 

Collection site: 

No specimen collected as the donor 

refused to provide one. 

HHS-certified laboratory: 

After testing the second specimen at the 

HHS-certified laboratory, retain the drug 

positive specimen in frozen storage 

pursuant to § 26.159(i). 

HHS-certified laboratory: 

Not applicable.