[Federal Register Volume 77, Number 44 (Tuesday, March 6, 2012)]
[Proposed Rules]
[Pages 13206-13228]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2012-5280]


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Proposed Rules
                                                Federal Register
________________________________________________________________________

This section of the FEDERAL REGISTER contains notices to the public of 
the proposed issuance of rules and regulations. The purpose of these 
notices is to give interested persons an opportunity to participate in 
the rule making prior to the adoption of the final rules.

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Federal Register / Vol. 77, No. 44 / Tuesday, March 6, 2012 / 
Proposed Rules

[[Page 13206]]



DEPARTMENT OF ENERGY

10 CFR Part 1046

[Docket No. DOE-HQ-2012-0002]
RIN 1992-AA40


Protective Force Personnel Medical, Physical Readiness, Training, 
and Access Authorization Standards

AGENCY: Department of Energy.

ACTION: Notice of proposed rulemaking and public hearings.

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SUMMARY: The Department of Energy (DOE or Department) proposes to 
revise the regulation governing the standards for medical, physical 
performance, training, and access authorizations for protective force 
(PF) personnel employed by contractors providing security services to 
the Department. The existing version of this regulation was promulgated 
in 1993 and substantial portions of the regulation date to the mid-
1980s. Since 1993 DOE policy has placed greater reliance upon 
technology, vehicular response, and increased firepower and, 
correspondingly, has reduced its reliance upon the ability of PF 
personnel to perform the running tasks required in the current 
regulation. Furthermore, this shift in emphasis has placed a greater 
premium upon the retention of mature, tactically experienced, and 
technically sophisticated personnel, particularly since these personnel 
represent a considerable investment by DOE in security background 
investigations and training. The proposed revisions bring DOE PF 
medical and physical readiness requirements in line with these tactical 
and organizational priorities. The proposed revisions reduce the 
exposure of the PF population to injuries related to physical readiness 
testing. They would create a PF readiness classification designed 
specifically to encourage the retention of experienced personnel. The 
revisions would further ensure that PF personnel would be evaluated on 
a case-by-case basis on their ability to perform the essential 
functions of their positions without posing a direct threat to 
themselves or site personnel, the facility, or the general public. The 
proposed revisions would further ensure that reasonable accommodations 
would be considered before a determination is made that an individual 
cannot perform the essential functions of a particular position. The 
proposed rule also would provide for new medical review processes for 
PF personnel disqualified from medical certification. The proposed rule 
would ensure that DOE PF medical and physical readiness requirements 
would be compliant with the Americans with Disabilities Act (ADA) of 
1990, as amended by the Americans with Disabilities Amendment Act of 
2009 (ADAAA), the Privacy Act and DOE implementing regulations, and 
changes in DOE policy regarding PF operations made since the 
publication of the last version of this rule. In addition, the proposed 
rule would promote operational efficiency through greater emphasis on 
aligning training with mission-essential tasks and the increased use of 
simulation technologies. Finally, the proposed revision would update 
the regulation to reflect organizational changes in the Office of 
Health, Safety and Security and the creation of the National Nuclear 
Security Administration (NNSA).

DATES: Written comments must be received by DOE on or before April 5, 
2012. Oral views, data, and arguments may be presented at the public 
hearings, which are scheduled as follows:
     March 15, 2012, in Germantown, MD, from 1:30 to 4:30 p.m.
     March 21, 2012, in Albuquerque, New Mexico, from 1:30 to 
4:30 p.m.

ADDRESSES: The public hearings will be held at the following addresses:
     Germantown, MD: DOE Germantown Auditorium, 19901 
Germantown Road, 20874 Albuquerque, NM: Technology Ventures 
Corporation--McCorkle Room, 1155 University Blvd., SE
    Written comments should be addressed to: Mr. Glenn S. Podonsky, 
Chief Health, Safety and Security Officer, Office of Health, Safety and 
Security, HS-1/Forrestal Building, Department of Energy, Docket No. 
DOE-HQ-2012-0002, 1000 Independence Avenue SW., Washington, DC 20585 or 
via email at 1992-AA40@hq.doe.gov. Questions concerning submitting 
written comments should be addressed to: Mr. John Cronin, Office of 
Security Policy, Office of Health, Safety and Security, Department of 
Energy, HS-51/Germantown Building, 1000 Independence Avenue SW., 
Washington, DC 20585-1290, (301) 903-6209 or via email at 1992-AA40@hq.doe.gov. You may submit comments, identified by [DOE-HQ-2012-
0002 and/or 1992-AA40], by any of the following methods:
     Federal eRulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
     Email: 1992-AA40@hq.doe.gov. Include [DOE-HQ-2012-0002 
and/or 1992-AA40] in the subject line of the message.
     Mail: [Mailing Address for paper, disk, or CD-ROM 
submissions: Department of Energy, Office of Security Policy, (HS-51, 
Attn: John Cronin), 1000 Independence Ave. SW., Washington, DC 20585-
1290].
     Hand Delivery/Courier: [Street Address: Department of 
Energy, Office of Security Policy, (HS-51, Attn: John Cronin), 1000 
Independence Ave. SW., Washington, DC 20585-1290].
    Instructions: All submissions received must include the agency name 
and docket number or Regulatory Information Number (RIN) for this 
rulemaking. All comments received will be posted without change to 
[http://www.regulations.gov], including any personal information 
provided.
    Docket: For access to the docket to read background documents or 
comments received, go to [http://www.regulations.gov or contact John 
Cronin at (301) 903-6209 prior to visiting Department of Energy, Office 
of Security Policy, (HS-51), 19901 Germantown Rd., Germantown, MD 
20874].

FOR FURTHER INFORMATION CONTACT:  Mr. John Cronin, Office of Security 
Policy at (301) 903-6209; John.Cronin@hq.doe.gov.

SUPPLEMENTARY INFORMATION:

I. Background
II. Section by Section Analysis
III. Regulatory Review and Procedural Requirements
    A. Review Under Executive Order 12866
    B. Review Under the Regulatory Flexibility Act
    C. Review Under Paperwork Reduction Act
    D. Review Under the National Environmental Policy Act

[[Page 13207]]

    E. Review Under Executive Order 13132
    F. Review Under Executive Order 12988
    G. Review Under the Unfunded Mandates Reform Act of 1995
    H. Review Under Executive Order 13211
    I. Review Under the Treasury and General Government 
Appropriations Act of 1999
IV. Opportunity for Public Comment

I. Background

    Pursuant to the Atomic Energy Act of 1954 (42 U.S.C. 2011 et seq.) 
and DOE Organization Act of 1977 (42 U.S.C. 7101 et seq.), DOE owns and 
leases defense nuclear and other facilities in various locations in the 
United States. These facilities are operated by contractors (including 
subcontractors at all tiers) with DOE oversight or are operated by DOE. 
Protection of the DOE facilities is provided by armed and unarmed PF 
personnel employed by Federal Government contractors. These PF 
personnel are required to perform both routine and emergency duties, 
which include patrolling DOE sites, manning security posts, protecting 
government and contractor employees, property, and sensitive and 
classified information, training for potential crisis or emergency 
situations, and responding to security incidents. PF personnel are 
required to meet various job-related minimum medical and physical 
readiness qualification standards designed to ensure they are capable 
of performing all essential functions of normal and emergency PF duties 
without posing a direct threat to themselves or others.
    DOE has developed the proposed modifications to 10 CFR part 1046 to 
update training and qualification criteria, clarify remediation 
requirements, ensure compliance with the Privacy Act (5 U.S.C. 552a) 
and DOE regulations implementing the Privacy Act (10 CFR part 1008), 
and ensure that medical and readiness qualifications for DOE PF 
personnel established in these regulations are in compliance with the 
ADA as amended by the ADAAA. The ADA, as amended by the ADAAA, and its 
implementing regulations provide that an individual with a disability 
is qualified for a position if he or she satisfies the skill, 
experience, education and other job-related requirements of the 
position and can perform the ``essential functions'' of the position 
with or without reasonable accommodation. An employer must make 
``reasonable accommodation'' to the known physical or mental 
limitations of a qualified individual with a disability, unless the 
employer can demonstrate that a particular accommodation would impose 
``undue hardship'' on the operation of its business. Further, an 
employer may require, as a qualification standard, that an individual 
not pose a ``direct threat'' to that individual or others. This rule 
proposes the minimum medical and physical readiness performance 
standards for PF personnel, and the criteria required to develop, 
record, and communicate a medical opinion of each individual's ability 
to perform, with or without accommodation, all essential functions of 
normal and emergency PF duties without posing a direct threat to that 
individual or to others.
    The proposed modifications to 10 CFR part 1046 are described in the 
Section by Section Analysis in section II below.

II. Section by Section Analysis

    The heading for this part would be revised to Protective Force 
Personnel Medical, Physical Readiness, Training and Access 
Authorization Standards. The revision is intended to more accurately 
reflect the contents of the regulation.

Subpart A--General

    1. Proposed changes for Sec.  1046.1, Purpose, would revise the 
language of this section for clarity, but would not change it 
substantively.
    2. Proposed changes for Sec.  1046.2, Scope, would revise for 
clarity, but would not change it substantively except to provide the 
process for Department-approved exemptions from the requirements of 
these regulations. Language has been added to indicate that part 1046 
would encourage the use of a single physician to fill multiple roles as 
required by this part and title. In addition, the requirements of part 
1046 could be fulfilled in the course of compliance with other DOE 
regulations. This is intended to facilitate efficiency, avoid 
duplicative examinations and testing, and the appropriate sharing of 
medical information related to PF personnel.
    3. Proposed changes for Sec.  1046.3, Definitions, would add the 
following.
    The terms ``direct threat'' and ``essential functions of the job'' 
would be defined consistent with the definitions of these terms in the 
ADAAA.
    The terms ``defensive combative standard'' and ``offensive 
combative standard'' would be replaced with ``basic readiness 
standard'' (BRS) and ``advanced readiness standard'' (ARS) personnel to 
better identify the requirements of these standards. Additionally, a 
new physical readiness standard which identifies requirements for 
personnel staffing stationary posts, the ``fixed post readiness 
standard'' (FPRS) has been added.
    The terms ``guard'' and ``security inspector'' would be replaced 
with ``security officer'' (SO) and ``security police officer'' (SPO) to 
conform to current usage for the names of these positions. The term 
``PF personnel'' would also be added to encompass SOs, SPOs and special 
response team (SRT)-qualified personnel.
    The term ``Designated Physician'' and its definition would be 
updated.
    The term ``field organization'' would be replaced with ``field 
element'' to conform to current usage.
    The term ``applicants'' as pertains to PF personnel would be added 
as a result of the use of this term in proposed section 1046.11.
    The term ``corrective devices'' as pertains to reasonable 
accommodation would be added as a result of the use of this term in 
proposed section 1046.13.
    The term ``emergency conditions'' as an aspect of PF personnel 
performance requirements would be added due to the use of this term in 
proposed section 1046.17.
    The terms ``medical certification'' and ``medical certification 
disqualification'' would be added as a result of the use of these terms 
in proposed sections 1046.13, 1046.14, and 1046.15.
    The term ``medical examination'' is added and its related 
requirements would be described in section 1046.13.
    The terms ``Chief Medical Officer,'' ``Site Occupational Medical 
Director'' (SOMD), and ``Physical Protection Medical Director'' (PPMD) 
would be added to section 1046.3 and related requirements would be 
described in the new proposed section 1046.4.
    The term ``semi-structured interviews'' associated with examining 
PF personnel would be added to section 1046.3 and related provisions 
provided in section 1046.13.
    The terms ``Independent Review'' and ``Final Review'' would be 
added to section 1046.3 and the process associated with medical 
certification would also be added to section 1046.15 in this proposed 
update of the regulations.
    The term ``medical condition'' is outdated and would therefore no 
longer be used in the regulations.
    4. Proposed changes for Sec.  1046.4 to include addressing the 
PPMD.
    DOE proposes to delete the existing section 1046.4, Use of Number 
and Gender, as unnecessary. Standard rules of construction acknowledge 
that words in the singular also include the plural and words in the 
masculine also include the feminine, and vice versa, as the use may 
require. The new section 1046.4 proposes the required qualifications of

[[Page 13208]]

the PPMD and the responsibilities of the PPMD to oversee site physical 
protection medical activities and to nominate and evaluate the 
performance of the Designated Physician. The required qualifications 
for Designated Physicians to be nominated are also proposed in this 
section. This section would also enhance DOE oversight of the PPMD and 
Designated Physicians DOE facilities.
    5. Proposed changes for Sec.  1046.5 Designated Physician.
    This new section proposes the roles and responsibilities for the 
position of Designated Physician. Among other duties, the Designated 
Physician would be responsible for the medical examination of SOs and 
SPOs and would determine whether portions of each certification 
examination could be performed by other qualified personnel.

Subpart B--PF Personnel

    1. Proposed changes for Sec.  1046.11 Essential functions of PF 
personnel
    This new section proposes the essential functions for SOs, SPOs and 
SRT-qualified PF personnel. Specific requirements for FPRS, BRS, and 
ARS SPO personnel are proposed.
    2. Proposed changes for Sec.  1046.12 Medical, physical readiness, 
and training requirements for PF personnel.
    This section proposes to establish the medical certification 
requirements for PF personnel to support their meeting the physical 
readiness qualification requirements proposed in section 1046.16; to 
have the required knowledge, skills and abilities; and to meet the 
requirements of a physical training program as proposed in section 
1046.17.
    3. Proposed changes for Sec.  1046.13 Medical certification 
standards and procedures.
    This section proposes to update language in the existing Appendix A 
to Subpart B and require all applicant and incumbent PF personnel to 
satisfy the applicable medical certification standards; proposes the 
medical standards for SOs and SPOs; and proposes that Field Elements 
may develop more stringent medical qualification requirements or 
additional medical or physical tests, in collaboration with the PPMD, 
where special assignment duties may require such additional testing.
    The required frequency of medical certification would remain 
unchanged. Incumbent SOs would be reexamined by the Designated 
Physician every two years (24 months) after beginning work. Incumbent 
SPOs would be reexamined by the Designated Physician every 12 months. 
The recertification requirement for both SOs and SPOs would be 
clarified to require recertification within thirty days of the 24-month 
or 12-month anniversary of the previous qualification. In addition, 
this section proposes that the medical examination include a review by 
the Designated Physician of essential functions of the position, as 
provided by PF management and a requirement that a semi-structured 
interview with a psychologist who meets standards established by DOE be 
conducted for SOs and SPOs, as part of the initial medical evaluation 
and periodically thereafter. The proposed changes in this section also 
will allow the Designated Physician to require any other medical 
examination, test, consultation or evaluation he/she deems necessary.
    There are several changes proposed by DOE for compliance purposes 
with the ADA, as amended by the ADAAA, which does not permit blanket 
medical disqualification standards based on the presence of a 
particular medical condition. Individuals must be evaluated on a case-
by-case basis to determine their ability to perform the essential 
functions of the job without posing a direct threat to themselves or 
others. Moreover, the ADAAA requires employers to make ``reasonable 
accommodations'' for individuals with disabilities unless it creates an 
undue hardship for the employer. Language has been added to paragraph 
(a) referring to ``essential functions'' as set forth in section 
1046.11 and ``direct threat.'' The section would also require, 
consistent with ADAAA, that each member of the PF be medically 
certified as able to perform the essential functions of that 
individual's job. Finally, as a result of the proposed 1046.13, the 
reference to waivers of medical qualification standards would be 
deleted from the existing section 1046.11, because each individual will 
be evaluated on a case-by-case basis to determine the individual's 
ability to perform the essential functions of the individual's specific 
position. This section also adds a requirement for a health status exit 
review for all employees leaving PF service.
    This section also amends the language regarding the use of 
corrective devices and reasonable accommodations that must be made to 
modify emergency and protective equipment to be compatible with these 
devices. Paragraph (g)(3) proposes that a determination regarding the 
compatibility of such devices with emergency and protective equipment 
be made by a designated supervisor in conjunction with the Designated 
Physician. Paragraph (g)(4) proposes to require that management 
personnel take reasonable steps to accommodate protective equipment for 
individuals with corrective devices.
    The ability of PF personnel to engage in physical training and 
testing without undue risk, and to safely and efficiently perform 
essential job functions, with or without reasonable accommodation, 
without posing a direct threat to their own or others' safety, depends 
on the ability of those individuals to meet physical and medical 
standards (medical certification). Failure to comply with these medical 
standards will result in denial of medical certification for 
employment.
     Sec.  1046.14 Medical certification disqualification.
    This new section proposes the process for medical certification 
disqualification. Such disqualification is the determination by the 
PPMD that an individual, with or without reasonable accommodation, is 
unable to perform the essential functions of an SO or SPO job position, 
including the required physical fitness training and physical readiness 
qualifications (for SPOs), without creating a direct threat to that 
individual or others.
    A new provision has been added that would require responsible 
employers to offer an SPO medical removal if the Designated Physician 
determines in a written medical opinion that it is medically 
appropriate to remove the SPO from PF duties as a result of injuries 
sustained while engaging in required physical fitness or training 
activities (e.g., preparing for or participating in a physical 
readiness standard qualification attempt). The provision would require 
that the Designated Physician's determination, approved by the PPMD, be 
based on an examining physician's recommendation or any other signs or 
symptoms that the PPMD deems medically sufficient to remove an SPO.
     Sec.  1046.15 Review of medical certification 
disqualification.
    This new section would permit an individual denied medical 
certification for employment in a particular position to request in 
writing that an Independent Review of his/her case be conducted. If the 
Independent Review of an individual's case results in an unfavorable 
decision from the Office of Health, Safety and Security, the individual 
would be able to petition the DOE Office of Hearings and Appeals for a 
Final Review. Procedures for the proposed review process are described 
in detail in this section.
     Sec.  1046.16 SPO physical readiness qualification program 
requirements.
    This section proposes the program requirements (FPRS, BRS, and ARS) 
for

[[Page 13209]]

individual SPO fitness assessments, physical readiness maintenance, 
remedial physical fitness training, and safety. The FPRS level is 
proposed to be added, which would be required to be physically 
demonstrated every year but would not require a running standard. These 
changes would result in an overall 90 percent reduction in exposure to 
potential injuries associated with physical readiness qualification 
running tests for the population of BRS and ARS SPOs. While the 
previous physical readiness running standards would be retained for the 
BRS and ARS levels, the number of officers annually asked to 
demonstrate that readiness would be reduced. Greater reliance would be 
placed on medical evaluation to determine physical readiness of BRS and 
ARS SPOs. In addition to the medical evaluation process, which is 
analogous to that used as the physical readiness evaluation by law 
enforcement agencies, the DOE evaluation program would be validated by 
testing of randomly selected BRS and ARS SPOs.
     Sec.  1046.17 Training standards and procedures.
    DOE proposes to modify the language of this section from the 
existing section 1046.15, incorporating standards currently set forth 
in Appendix B to Subpart B, and DOE Order 473.3, Protection Program 
Operations, https://www.directives.doe.gov/directives/current-directives/473.3-BOrder/view. Specific training requirements and 
knowledge, skills, and abilities would be replaced with the requirement 
that PF personnel and their supervisors possess the knowledge, skills 
and abilities necessary to protect DOE security interests. The 
knowledge, skills and abilities that would be required would be 
developed based on the applicable Job Analysis (JA) or Mission 
Essential Task List (METL). This proposal would ensure that training 
requirements comport readily to existing conditions and essential job 
functions as dictated by the site-specific JA or METL.
    Firearms qualification requirements would be modified regarding how 
SPOs are required to qualify with the individually-issued and primary 
weapons required by their duty assignment (i.e., specialty weapon, long 
gun and/or handgun). These requirements would also require that to 
operate post-assigned site-specific specialized or crew-served weapons, 
the SPO must be trained and demonstrate proficiency in the safe use of 
such weapons in a tactical environment.
    DOE also proposes to clarify the procedure for developing site-
specific and/or specialized courses of fire.
     Sec.  1046.18 Access authorization.
    The language of this section would be modified from the existing 
1046.14 rule for clarity and to eliminate the requirement for all armed 
PF members to have a minimum ``L'' access authorization. The revised 
provision would instead require that, at a minimum, a favorably 
adjudicated background investigation including national agency check 
with local agency and credit check (NACLC) be conducted to ensure the 
individual's suitability for arming. A ``Q'' access authorization would 
continue to be required under certain circumstances.
     Sec.  1046.19 Medical/fitness for duty status reporting 
requirements.
    This new section proposes to restate the reporting requirements for 
PF personnel but has not changed substantially from the requirements in 
Appendix A of the existing rule. The section would clarify the 
requirement that PF personnel advise their supervisors when they have 
an unspecified change in their health status that might impair their 
ability to perform job duties. PF personnel would also be required to 
provide a detailed report identifying the change to the Designated 
Physician. This section would also require PF personnel to advise their 
supervisors when a corrective device is not functioning properly.
    In addition, this section would restate the requirement that 
management report to the Designated Physician any physical, behavioral, 
or health changes or deterioration in work performance in PF personnel 
under their jurisdiction. The section contains new language requiring 
the Designated Physician to be informed of all anticipated job 
transfers involving either upward or downward recategorization (e.g., 
from SO to armed status, from armed status to SO, or from PF to other 
assignments).
     Sec.  1046.20 Medical record maintenance requirements.
    This section proposes to clarify record retention and 
confidentiality requirements contained in Appendix A, section C, of the 
existing version of the rule. This rule would substitute language on 
the inability to perform the essential functions of the job for the 
term ``disqualifying defects.'' Language has been added to make it 
clear that access to medical information developed pursuant to the 
requirements of this part can be appropriately shared to satisfy the 
requirements of other parts of this or other titles. Thus duplicative 
testing or examinations can be avoided. Additionally, a more explicit 
discussion of medical records confidentiality has been added for 
consistency with the requirements of the Privacy Act and DOE's 
implementing regulations.
     Sec.  1046.21 Materials incorporated by reference.
    This section lists the industry standards proposed to be 
incorporated by reference in DOE's PF regulations.
     Appendix A to Subpart B of Part 1046--Medical and Physical 
Fitness Qualifications Standards and Appendix B to Subpart B of Part 
1046--Training Qualification for Security Skills and Knowledge.
    These Appendices have been removed and necessary elements have been 
incorporated into the rule for clarity and completeness, as described 
in the preceding discussion.

III. Rulemaking Requirements

A. Review Under Executive Order 12866

    This action does not constitute a ``significant regulatory action'' 
as defined in section 3(f) of Executive Order 12866, ``Regulatory 
Planning and Review'' (58 FR 51735).

B. Review Under the Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires 
preparation of a regulatory flexibility analysis for any rule that by 
law must be proposed for public comment, unless the agency certifies 
that the rule, if promulgated, will not have a significant economic 
impact on a substantial number of small entities. As required by 
Executive Order 13272, ``Proper Consideration of Small Entities in 
Agency Rulemaking'' (67 FR 53461, Aug. 16, 2002), DOE published 
procedures and policies on February 19, 2003, to ensure that the 
potential impacts of its rules on small entities are properly 
considered during the rulemaking process. DOE has made its procedures 
and policies available on the Office of the General Counsel's Web site 
(www.gc.doe.gov).
    DOE has reviewed today's proposed rule under the Regulatory 
Flexibility Act and certifies that, if adopted, the rule would not have 
a significant impact on a substantial number of small entities. This 
proposed action would amend an existing rule which establishes medical 
and physical training requirements and standards for DOE PF personnel. 
The rule would affect approximately twenty private firms (e.g., 
integrated Management and Operating contractors, security services 
contractors and subcontractors) at the Department's facilities around 
the United States. Some of those firms

[[Page 13210]]

which provide protective services are classified under NAICS Code 
561612, Security Guards and Patrol Services. To be classified as a 
small business, they must have average annual receipts of $18.5 million 
or less. Some of the private firms affected by these standards and 
requirements would be classified as small businesses.
    The proposed rule would update the medical certification and 
physical readiness requirements for PF personnel and require PF 
contractors to make reasonable accommodations to modify emergency and 
protective equipment for qualified individuals. The rule would also set 
forth the essential functions that PF personnel would be required to 
meet, with or without such reasonable accommodation. Medical 
certification and physical readiness requirements are currently set 
forth in Appendix A to subpart B of 10 CFR part 1046, and the proposed 
updates, which are applicable to individual PF personnel rather than 
their employer, are not expected to impose a significant cost impact. 
While these essential functions for PF personnel have not previously 
been specified by regulation, DOE has determined that PF personnel must 
already be able to perform these functions to adequately perform their 
job responsibilities. In addition, while the reasonable accommodation 
provisions are not currently specified by the current regulation, such 
accommodations are already required by the ADA, as amended by the 
ADAAA.
    The rule also proposes a process for review of a medical 
certification disqualification and for medical removal protection 
benefits in certain circumstances. The proposed review process would be 
conducted by the DOE Office of Health Safety and Security (independent 
review) and the DOE Office of Hearings and Appeals (final review), and 
as such are therefore not expected to result in a significant impact on 
affected small businesses. Any medical removal protection benefits 
would be reduced to the extent worker's compensation is provided and 
will be reimbursable to the contractor under the applicable contract 
with DOE.
    The rule would also update the training standards and procedures 
for PF officers, and makes minor updates to existing reporting and 
records maintenance requirements. The training standards and procedures 
are currently set forth at Appendix B to subpart B of 10 CFR part 1046. 
The proposed updates, intended to tailor training requirements to 
existing conditions and essential job functions specified in a site-
specific JA or METL, are not expected to result in significant 
increases in costs to meet these requirements. Medical records are 
maintained by the designated physician and the evaluating psychologist, 
and the proposed updates would require PF personnel management to 
develop plans to ensure the confidentiality of medical information. 
Such confidentiality is already required by other existing 
regulations.\1\
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    \1\ DOE notes that the rule would also set forth qualification 
requirements for the PPMD and designated physicians. While many 
Management and Operations contractors may have medical professionals 
on staff, subcontractor firms that employ physicians, psychologists, 
and psychiatrists may be classified under NAICS Codes 621111, 
Offices of Physicians (except Mental Health Specialists), 621112, 
Offices of Physicians, Mental Health Specialists, and 621330, 
Offices of Mental Health Practitioners (except Physicians). To be 
classified as small businesses, these firms must have average annual 
receipts of $10 million, $10 million, and $7 million, respectively. 
Because individuals employed by these firms likely meet the proposed 
qualification requirements already in order to practice in the 
field, DOE does not believe that these requirements would result in 
a significant impact on any small firms employing these individuals.
---------------------------------------------------------------------------

    Because these standards and requirements are primarily 
clarifications and updates to existing standards and requirements, DOE 
does not believe that the impact on these firms would be significant. 
DOE seeks comment on its estimate of the number of small entities and 
the expected impacts of today's proposed rule. DOE emphasizes that 
these firms are under contract to DOE either directly or indirectly, so 
any costs incurred while meeting the standards and requirements 
proposed in this rule would be invoiced and may be reimbursable in 
accordance with the terms of the contract and applicable law.
    For the above reasons, DOE certifies that the proposed rule, if 
adopted, will not have a significant economic impact on a substantial 
number of small entities.

C. Review Under Paperwork Reduction Act

    No new information collection requirements subject to the Paperwork 
Reduction Act, 44 U.S.C. 3501 et seq., are imposed by this regulatory 
action.

D. Review Under the National Environmental Policy Act

    This proposed rule amends existing policies and procedures 
establishing medical and physical readiness standards for DOE PF 
personnel and has no significant environmental impact. Consequently, 
the Department has determined that this rule is covered under 
Categorical Exclusion A-5, of Appendix A to Subpart D, 10 CFR part 
1021, which applies to a rulemaking that addresses amending an existing 
rule or regulation that does not change the environmental effect of the 
rule or regulation being amended. Accordingly, neither an environmental 
assessment nor an environmental impact statement is required.

E. Review Under Executive Order 13132

    Executive Order 13132, ``Federalism,'' (64 FR 43255, August 4, 
1999), imposes certain requirements on agencies formulating and 
implementing policies or regulations that preempt State law or that 
have federalism implications. Agencies are required to develop a formal 
process to ensure meaningful and timely input by State and local 
officials in the development of regulatory policies that have 
``federalism implications.'' Policies that have federalism implications 
are defined in the Executive Order to include regulations that have 
``substantial direct effects on the States, on the relationship between 
the national government and the States, or on the distribution of power 
and responsibilities among the various levels of government.'' On March 
7, 2011, DOE published a statement of policy describing the 
intergovernmental consultation process it will follow in the 
development of such regulations (65 FR 13735, March 14, 2000).
    DOE has examined the proposed and revised rule and has determined 
that it does not have a substantial direct effect on the States, on the 
relationship between the national government and the States, or on the 
distribution of power and responsibilities among the various levels of 
government. No further action is required by Executive Order 13132.

F. Review Under Executive Order 12988

    Section 3 of Executive Order 12988, (61 FR 4729, February 7, 1996), 
instructs each agency to adhere to certain requirements in promulgating 
new regulations. These requirements, set forth in section 3(a) and (b), 
include eliminating drafting errors and needless ambiguity, drafting 
the regulations to minimize litigation, providing clear and certain 
legal standards for affected legal conduct, and promoting 
simplification and burden reduction. Agencies are also instructed to 
make every reasonable effort to ensure that the regulation describes 
any administrative proceeding to be available prior to judicial review 
and any provisions for the exhaustion of administrative remedies. The 
Department has determined that this regulatory action meets the 
requirements of section 3(a) and (b) of Executive Order 12988.

[[Page 13211]]

G. Review Under the Unfunded Mandates Reform Act of 1995

    Title II of the Unfunded Mandates Reform Act of 1995 (UMRA) 
requires each Federal agency to assess the effects of Federal 
regulatory action on state, local and tribal governments and the 
private sector. For proposed regulatory actions likely to result in a 
rule that may cause expenditures by State, local, and Tribal 
governments, in the aggregate, or by the private sector of $100 million 
or more in any one year (adjusted annually for inflation), section 202 
of UMRA requires a Federal agency to publish estimates of the resulting 
costs, benefits, and other effects on the national economy. UMRA also 
requires Federal agencies to develop an effective process to permit 
timely input by elected officers of State, local, and Tribal 
governments on a proposed ``significant intergovernmental mandate.'' In 
addition, UMRA requires an agency plan for giving notice and 
opportunity for timely input to small governments that may be affected 
before establishing a requirement that might significantly or uniquely 
affect them. On March 18, 1997, DOE published a statement of policy on 
its process for intergovernmental consultation under UMRA (62 FR 12820, 
March 18, 1997). (This policy is also available at http://www.gc.doe.gov). Today's proposed rule contains neither an 
intergovernmental mandate, nor a mandate that may result in the 
expenditure of $100 million or more in any year, so these requirements 
do not apply. While the rule would require certain private sector 
employers and employees (i.e., DOE security contractors and certain PF 
personnel employed by them) to meet certain job-related medical and 
physical training standards and requirements, the impact is not likely 
to result in the expenditure of $100 million or more in any year. In 
addition, any costs incurred by employers in meeting these requirements 
would be invoiced and may be reimbursable in accordance with the terms 
of the contract and applicable law.

H. Review Under Executive Order 13211

    Executive Order 13211, ``Actions Concerning Regulations That 
Significantly Affect Energy Supply, Distribution, or Use,'' (66 FR 
28355, May 22, 2001) requires Federal agencies to prepare and submit to 
the Office of Information and Regulatory Affairs (OIRA), Office of 
Management and Budget, a Statement of Energy Effects for any proposed 
significant energy action. A ``significant energy action'' is defined 
as any action by an agency that promulgates or is expected to lead to 
the promulgation of a final rule, and that: (1) Is a significant 
regulatory action under Executive Order 12866, or any successor order; 
and (2) is likely to have a significant adverse effect on the supply, 
distribution, or use of energy; or (3) is designated by the 
Administrator of OIRA as a significant energy action. For any proposed 
significant energy action, the agency must give a detailed statement of 
any adverse effects on energy supply, distribution, or use should the 
proposal be implemented, and of reasonable alternates to the action and 
their expected benefits on energy supply, distribution, and use.
    This proposed rule is not a significant energy action, nor has it 
been designated as such by the Administrator of OIRA. Accordingly, DOE 
has not prepared a Statement of Energy Effects.

I. Review Under the Treasury and General Government Appropriations Act, 
1999

    Section 654 of the Treasury and General Government Appropriations 
Act, 1999 (Pub. L. 105-277) requires Federal agencies to issue a Family 
Policymaking Assessment for any proposed rule or policy that may affect 
family well-being. Today's proposed rule would not have any impact on 
the autonomy or integrity of the family as an institution. Accordingly, 
DOE has concluded that it is not necessary to prepare a Family 
Policymaking Assessment.

IV. Opportunity for Public Comment

A. Participation in Rulemaking

    DOE encourages the maximum level of public participation in this 
rulemaking. Interested persons are encouraged to participate in the 
public hearings at the times and places indicated at the beginning of 
this proposed rulemaking.
    DOE has established a period of thirty days following publication 
of this proposed rulemaking for persons and organizations to comment. 
All public comments, hearing transcripts, and other docket material 
will be available for review and copying at the DOE offices at each of 
the hearing sites. The docket material will be filed under ``DOE-HQ-
2012-0002.''

B. Written Comment Procedures

    Interested persons are invited to participate in this proceeding by 
submitting written data, views or arguments with respect to the 
subjects set forth in this proposed rulemaking. Instructions for 
submitting written comments are set forth at the beginning of this 
notice and below. Where possible, comments should identify the specific 
section they address.
    Comments should be labeled both on the envelope and on the 
documents, ``Docket No. DOE-HQ-2012-0002'' and must be received by the 
date specified at the beginning of this proposed rulemaking. All 
comments and other relevant information received by the date specified 
at the beginning of this proposed rulemaking will be considered by DOE 
in the subsequent stages of the rulemaking process.
    Pursuant to the provisions of 10 CFR part 1004, any person 
submitting information or data that is believed to be confidential and 
exempt by law from public disclosure should submit one complete copy of 
the document and three copies, if possible, from which the information 
believed to be confidential has been deleted. DOE will make its own 
determination with regard to the confidential status of the information 
or data and treat it according to its determination.

C. Public Hearings

    The dates, times and places of the public hearings are indicated at 
the beginning of this proposed rulemaking. DOE invites any person or 
organization who has an interest in these proceedings to make a request 
to make an oral presentation at one of the public hearings. Requests 
can be phoned in advance to the telephone number indicated at the 
beginning of this proposed rulemaking. The person making the request 
should provide a telephone number where he or she may be contacted.
    DOE reserves the right to schedule the presentations, and to 
establish the procedures governing the conduct of the hearings. Each 
presentation is limited to ten minutes.
    A DOE official will be designated to preside at the hearings and 
ask questions. The hearings will not be judicial or evidentiary-type 
hearings, but will be conducted in accordance with section 501 of the 
DOE Organization Act, 42 U.S.C. 7191. At the conclusion of all initial 
oral statements, each person who has made an oral statement will be 
given the opportunity to make a rebuttal or clarifying statement, 
subject to time limitations. Any further procedural rules regarding 
proper conduct of the hearings will be announced by the presiding 
official.
    Transcripts of the hearings will be made and the entire record of 
this rulemaking, including the transcripts, will be retained by DOE and 
made available for inspection as provided at the beginning of this 
proposed

[[Page 13212]]

rulemaking. Any person may also purchase a copy of a transcript from 
the transcribing reporter.

List of Subjects in 10 CFR Part 1046

    Government contracts, Incorporation by reference, Reporting and 
recordkeeping requirements, Security measures.

    Issued in Washington, DC, on February 10, 2012.
Daniel B. Poneman,
Deputy Secretary of Energy.

    For the reasons set out in the preamble, the Department of Energy 
(DOE) proposes to amend Chapter X of Title 10 of the Code of Federal 
Regulations by revising part 1046 to read as follows:

PART 1046--MEDICAL, PHYSICAL READINESS, TRAINING, AND ACCESS 
AUTHORIZATION STANDARDS FOR PROTECTIVE FORCE PERSONNEL

Subpart A--General
Sec.
1046.1 Purpose.
1046.2 Scope.
1046.3 Definitions.
1046.4 Physical Protection Medical Director (PPMD).
1046.5 Designated Physician.
Subpart B--Protective Force (PF) Personnel
1046.11 Essential functions of PF positions.
1046.12 Medical, physical readiness, and training requirements for 
PF personnel.
1046.13 Medical certification standards and procedures.
1046.14 Medical certification disqualification.
1046.15 Review of medical certification disqualification.
1046.16 SPO physical readiness qualification standards and 
procedures.
1046.17 Training standards and procedures.
1046.18 Access authorization.
1046.19 Medical and fitness for duty status reporting requirements.
1046.20 Medical records maintenance requirements.
1046.21 Materials incorporated by reference.

    Authority:  42 U.S.C. 2011, et seq.; 42 U.S.C. 7101, et seq.; 50 
U.S.C. 2401, et seq.

Subpart A--General


Sec.  1046.1  Purpose.

    This part establishes the medical, physical readiness, training and 
performance standards for contractor protective force (hereinafter 
``PF'') personnel who provide security services at Department of Energy 
(DOE) facilities including the National Nuclear Security Administration 
(NNSA). DOE and NNSA may choose to incorporate elements of these 
standards into Federal protective force programs.


Sec.  1046.2  Scope.

    (a) This part applies to DOE, including NNSA, hereinafter ``DOE'' 
or the ``Department,'' contractor employees and applicants for 
contractor protective force positions at government-owned or government 
leased facilities, regardless of whether the facility is privately 
operated. This part provides for the establishment of physical security 
programs based on uniform standards for medical, physical performance, 
training, and access authorizations for PF personnel providing physical 
security services to the Department.
    (b) Use of a single, suitably qualified individual is encouraged 
when it is operationally, fiscally, or otherwise appropriate to perform 
multiple roles as required in this part (e.g., Designated Physician and 
Protection Program Medical Director). Similarly, when appropriate 
medical, psychological, or other examinations, evaluations, or testing 
required by other DOE regulations can be used to satisfy the 
requirements of multiple parts of this title; nothing in this part is 
intended to require duplicative examinations, evaluations, or testing 
as long as the requirements of this part are met.
    (c) The Department is authorized to grant such exemptions from the 
requirements of this part as it determines are authorized by law. 
Exemptions may not be granted from the requirement to meet any 
essential function of a position notwithstanding that reasonable 
accommodation must be granted as required by this part and the 
Americans with Disabilities Act of 1990 (ADA), as amended by the 
Americans with Disabilities Act Amendment Act of 2009 (ADAAA), and its 
implementing regulations. Exemptions from non-medical requirements are 
allowed only on a case-by-case basis for a specific requirement covered 
under this part. The Department must document that the exemption will 
not endanger life or property or the common defense and security, and 
is otherwise in the public interest. The exemption process required by 
DOE must be used. Exemptions must be made from this part in 
consultation with the Chief Health, Safety and Security Officer and 
approved by the Secretary, Deputy Secretary, or for the National 
Nuclear Security Administration, the Administrator. Granting of 
equivalencies is not authorized.
    (d) Requests for technical clarification of the requirements of 
this part by organizations or individuals affected by its requirements 
must be made in writing through the appropriate program or staff 
offices of the Department. Such requests must be coordinated with the 
Office of Health, Safety and Security or its successor organization. 
The Office of Health, Safety and Security is responsible for providing 
a written response to such requests. Requests for interpretations of 
the requirements of this part may be made to the General Counsel. The 
General Counsel is responsible for providing responses to such 
requests.


Sec.  1046.3  Definitions.

    The following definitions apply to this part:
    Active shooter means an individual actively engaged in killing or 
attempting to kill a person or persons in a confined and populated 
area.
    Advanced Readiness Standard (ARS) means a qualification standard 
that includes the requirements of the Fixed Post Readiness Standard 
(FPRS), but also requires the completion of a one mile run with a 
maximum qualifying time of 8 minutes 30 seconds, and a 40-yard dash 
from the prone position in 8.0 seconds and any other site-specific 
measure of physical readiness prescribed by site management and 
approved by the respective program office. This standard applies to 
SPOs who staff security posts that normally require extensive tactical 
movement on foot or are assigned Special Response Team duties.
    Applicant means a person who has applied for and been conditionally 
offered a position as a Security Officer (SO) or a Security Police 
Officer (SPO), but who has not yet begun the active SO or SPO duties 
for which the person has applied.
    Basic Readiness Standard (BRS) means a qualification standard that 
includes the requirements of the FPRS, but also requires the completion 
of a one-half mile run with a maximum qualifying time of 4 minutes, 40 
seconds, and a 40-yard dash from the prone position in 8.5 seconds and 
any other site-specific measure of physical readiness prescribed by 
site management and approved by the respective program office. This 
standard applies to SPOs with mobile defensive duties in support of 
facility protection strategies.
    Chief Medical Officer means a Federal employee who is a doctor of 
medicine (MD) or doctor of osteopathic medicine (DO) who is licensed 
without restriction and qualified in the full range of occupational 
medicine services employed by the Department's health, safety, and 
security programs. This individual provides leadership and technical 
support for these programs and must be identified in writing.

[[Page 13213]]

    Contractor means a contractor for the Department and includes 
subcontractors at all tiers.
    Corrective device means devices, such as eyeglasses or hearing 
aids, which are necessary to enable an examinee to meet medical 
qualification standards, and which the supervisor responsible for the 
performance of the examinee and the Designated Physician have 
determined are compatible with the performance of the essential 
functions of the position.
    Designated Physician means an MD or DO, licensed without 
restriction in the state of practice, who has been approved by the 
Physical Protection Medical Director (PPMD). The Office of Health 
Safety and Security must be consulted regarding an individual's 
suitability prior to appointment as a Designated Physician.
    Direct threat means a significant risk of substantial harm to the 
health or safety of the individual or others. The risk must be based on 
an assessment of the individual's present ability to perform safely the 
essential functions of the job, and it must be determined that the risk 
cannot be eliminated or reduced by reasonable accommodation.
    DOE facility means any facility required by DOE to employ PF 
personnel and used by DOE, including NNSA, and its contractors for the 
performance of work under DOE jurisdiction.
    Efficiency, for the purposes of this part, pertains to the 
individual's physical efficiency rather than operational efficiency.
    Emergency conditions are those conditions that could arise at a DOE 
facility as a result of a breach of security (e.g., sabotage or 
terrorism) or accident (e.g., fire, explosion, storm, or earthquake) 
and threaten the security or integrity of DOE facilities, assets, 
personnel, the environment or the general public. For the purposes of 
this rule, emergency conditions include PF drills and exercises 
relating to search, rescue, crowd control, fire suppression and special 
operations, including response to the scene of the incident, and all 
functions performed at the scene.
    Essential functions of the job are the fundamental job duties of PF 
members as set out in Sec.  1046.11.
    Field element means the management and staff elements of DOE, 
including NNSA, with delegated responsibility for oversight and program 
management of major facilities, programs, and site operations.
    Final review means the process for an individual disqualified from 
medical certification to have a second and ultimate review of the 
individual's case conducted by the DOE Office of Hearings and Appeals.
    Fixed Post Readiness Standard (FPRS) means a standard that requires 
an SPO to demonstrate the ability to assume and maintain the variety of 
cover positions associated with effective use of firearms at entry 
portals and similar static environments to include prone, standing, 
kneeling, and barricade positions; to use site specific intermediate 
force weapons and weaponless self-defense techniques; to effect arrest 
of suspects and place them under restraint, e.g., with handcuffs or 
other temporary restraint devices; and any other site-specific measure 
of physical readiness prescribed by site management and approved by the 
respective program office.
    Independent Physician means a physician who possesses an MD or DO 
degree, is licensed without restriction and board certified, and has 
experience in a relevant field of medicine. The Independent Physician 
must not have served as the requestor's personal physician in any 
capacity or have been previously involved in the requestor's case on 
behalf of the Department or a Department contractor.
    Independent review means the process through which a medically 
disqualified individual may appeal to have an independent review of 
his/her case conducted by an Independent Physician.
    Job analysis (JA) is a systematic method used to obtain a detailed 
listing of the tasks of a specific job. JAs will be derived from 
criteria determined and published by the DOE National Training Center 
or identified and documented through a site-specific Mission Essential 
Task List (METL)-based process based on a set of Departmental Nuclear 
Security Enterprise-wide standards. A METL-based process that 
identifies and formally documents duties, tasks, and sub-tasks to be 
trained is commensurate with the process to develop JAs.
    Medical approval means a determination by a Designated Physician 
that it is medically appropriate for an individual to attempt the 
physical performance qualification test.
    Medical certification means a determination by a Designated 
Physician approved by the PPMD that an individual is medically 
qualified for a particular category of PF positions, including the 
performance of the essential functions of an SO or SPO, and the 
required ongoing physical readiness training.
    Medical certification disqualification means a determination by a 
Designated Physician and approved by the PPMD that an individual, with 
or without reasonable accommodation, is unable to perform the essential 
functions of an SO or SPO job position, including the required physical 
readiness training, without creating a direct threat to that individual 
or others.
    Medical evaluation means the analysis of information generated by 
medical examinations and psychological evaluations and assessments of 
an individual to determine medical certification.
    Medical examination means an examination performed or directed by 
the Designated Physician that incorporates the components described in 
section 1046.13.
    Mission Essential Task List (METL) means a list of common tasks 
required for PF assignments based on site-specific protection plans to 
defend against adversary capabilities as defined by DOE.
    Officially designated Federal security authority (ODFSA) means the 
Departmental Federal authority at the Field or Headquarters (HQ) 
Element with the primary and delegated responsibility for oversight of 
a site PF. Also may be referred to as the Department cognizant security 
authority.
    Pertinent negative means the absence of a sign or symptom that 
helps substantiate or identify a patient's condition.
    Physical Protection Medical Director (PPMD) means the physician 
programmatically responsible for the overall direction and operation of 
the site medical program supporting the requirements of this part.
    Primary weapon as used in this part means any weapon individually 
assigned or available at the majority of posts/patrols to which the SPO 
may be assigned.
    Protective Force personnel means Special Response Team members, 
SPOs, and SOs who are employed to protect Department security 
interests.
    Qualification means the determination that an individual meets the 
applicable medical, physical, and as appropriate, firearms training 
standards, and possesses the knowledge, skills, abilities and 
clearances required for a particular SO or SPO position.
    Randomly selected means any process approved by the ODFSA, which 
ensures each member of the SPO population has an equal chance to be 
chosen every time the selection process is used.
    Reasonable accommodation means corrective devices and medications 
which allow the examinee to meet medical qualification standards, are 
compatible with the performance of the

[[Page 13214]]

essential functions of the position, and are documented in writing.
    Requalification date means the date of expiration of current 
qualification at which demonstration of knowledge, skills and/or 
abilities is required to maintain specific job status.
    Security interests include any Department asset, resource or 
property which requires protection from malevolent acts and/or 
unpermitted access. These interests may include (but are not limited 
to) Department personnel; sensitive technology; classified matter; 
nuclear weapons, components, and assemblies; special nuclear material 
(SNM) and other nuclear materials; secure communications centers; 
sensitive compartmented information facilities; automated data 
processing centers or facilities storing and transmitting classified 
information; vital equipment; or other Department property.
    Security Officer (SO) means an unarmed uniformed PF member who has 
no Departmental arrest or detention authority, used to support SPOs 
and/or to perform duties (e.g., administrative, access control, 
facility patrol, escort, assessment and reporting of alarms) where an 
armed presence is not required.
    Security Police Officer (SPO) means a uniformed PF member who is 
authorized under section 161(k) of the Atomic Energy Act of 1954, as 
amended, section 661 of the DOE Organization Act, or other statutory 
authority, to carry firearms and to make arrests without warrant for 
specifically enumerated offenses and who is employed for, and charged 
with, the protection of Department security interests.
    Semi-structured interview means, for the purpose of this part, an 
interview by a Psychologist who meets standards established by DOE and 
who has the latitude to vary the focus and content of the questions 
depending upon the interviewee's responses.
    Site occupational medical program means the comprehensive 
occupational health services and basic worker protection requirements 
for contractor employees.
    Special Response Team (SRT) Member means SPOs who meet the Advanced 
Readiness Standard, with additional training and qualification 
requirements as necessary, and who are assigned to a Special Response 
Team that trains and responds as a team to perform recapture and 
recovery and to augment denial missions, e.g., those that require 
adversaries be denied proximity to the protected property.
    Special Response Team, commonly referred to as SRT, means a PF 
special operations unit comprised of SPOs whose primary mission is to 
resolve incidents that require activities and force options that exceed 
the capability of existing physical security systems (e.g., performance 
of recapture/recovery operations and augmentation of denial missions).
    Weapons proficiency demonstration means a process based on a 
predetermined, objective set of criteria approved by the respective 
program office in consultation with the Office of Health, Safety and 
Security that results in a grade (e.g., pass/fail). The process must 
ensure that an individual (or team, for crew-served weapons) 
demonstrates the ability to perform all weapons-handling and 
operational manipulations necessary to load, operate, and discharge a 
weapon system accurately and safely (to include clearing/returning to 
safe mode the weapons system at the conclusion of firing), without the 
necessity for scoring targets during the course of fire. Proficiency 
courses of fire must include tactically-relevant time constraints. 
Demonstrations of proficiency are allowed with the actual weapon and 
assigned duty load, with alternate loads (e.g., frangible or dye-
marking rounds), or with authorized weapons system simulators, as 
defined in this section. Proficiency courses of fire must be tactically 
relevant.
    Weapons qualification is a formal test of weapons proficiency that 
includes, in addition to all specified elements of proficiency 
demonstration, the achievement of a prescribed qualification score 
according to a Departmentally-approved course of fire. Weapons 
qualification courses of fire must be constrained by time.
    Weapons system simulator means a device that closely simulates all 
major aspects of employing the corresponding actual firearm/weapons 
system, without firing live ammunition. The simulator should permit all 
weapons-handling and operational actions required by the actual weapon, 
and should allow the use of sight settings similar to the corresponding 
actual weapon with assigned duty loads. Additionally, when weapons or 
weapons system simulators are used for qualification testing of 
protective force officers, the operation of the simulated weapon must 
closely approximate all weapons handling and operational manipulation 
actions required by the actual weapon. The simulation system must 
precisely register on-target hits and misses with accuracy comparable 
to the actual weapon at the same shooting distances. The weight, 
balance, and sighting systems should replicate those of the 
corresponding actual weapon, and noise signatures and felt recoil 
should be simulated to the extent technically feasible. Additionally, 
when used for qualification testing of protective force officers, the 
weight and balance of the simulated weapon with assigned duty loads 
must be closely approximated.


Sec.  1046.4  Physical Protection Medical Director (PPMD).

    (a) General. The PPMD is the physician programmatically responsible 
for the overall direction and operation of site medical programs 
supporting the requirements of this part. Appropriate contractual 
arrangements must ensure that the PPMD's authority applies to all site 
contractors.
    (1) Nomination. The name of each PPMD candidate must be submitted 
by the contractor to the officially designated Federal security 
authority who in turn must consult with the Office of Health, Safety 
and Security prior to the PPMD's approval. At the time of initial 
nomination for the PPMD designation, the nominee shall submit to the 
Office of Health, Safety and Security, through his or her employer and 
the Federal security authority, the following documents or copies 
thereof, translated into English if written in another language:
    (i) Applicable diplomas;
    (ii) Certificate of any postgraduate professional training (e.g., 
internship, residency, fellowship); and
    (iii) Current medical license in the state in which duties will be 
performed. If determined necessary by the Office of Health, Safety and 
Security, certification of good standing by all medical licensing 
bodies from which the applicant has held medical licenses, as well as 
documentation of any restrictions or limitations to practice medicine, 
past or present (such documentation may be obtained in written form or 
electronically) may be requested. The nominee may be requested to 
instruct the licensing body to send such certifications to the Office 
of Health, Safety and Security. Under no circumstances will such 
certifications of good standing be accepted directly from the 
applicant. Additionally, notice of certification by any additional 
American specialty board, if applicable, and/or current curriculum 
vitae may be requested. The curriculum vitae, if requested, must 
provide a discussion of any gaps in employment..
    (2) Other roles and responsibilities. Nothing in this part is 
intended to preclude the PPMD from fulfilling similar or related roles 
under other parts, including providing occupational medical services 
under 10 CFR part 851, ``Worker Safety and Health Program.''

[[Page 13215]]

Additionally, the PPMD may fulfill the role of Designated Physician.
    (3) Qualifications. The PPMD shall possess an MD or DO degree; be 
board certified in or have equivalent advanced training, in 
occupational medicine; be a professionally qualified physician in good 
standing in his or her professional community, to include all medical 
licensing bodies from which the applicant has held medical licenses; 
demonstrate past professional performance and personal conduct suitable 
for a position of responsibility and trust; read, write, speak, and 
understand the English language proficiently; and possess an 
unrestricted license to practice medicine in the state in which the 
designation is sought or meet the medical licensing requirements of the 
applicable military or Federal service to which he/she belongs.
    (b) Nominations. The PPMD must nominate in writing, through the 
local officially designated Federal security authority, to the Office 
of Health, Safety and Security, one or more Designated Physicians.
    (1) Each nomination must describe the relevant training and 
experience of the nominee.
    (2) Each nominee must be professionally qualified in good standing 
in his or her professional community, to include all medical licensing 
bodies from which the applicant has held medical licenses; demonstrate 
past professional performance and personal conduct suitable for a 
position of responsibility and trust; read, write, speak, and 
understand the English language proficiently; and possess the 
applicable unrestricted license to practice in the state in which the 
designation is sought or meet the medical licensing requirements of the 
applicable military or Federal service to which he/she belongs.
    (3) To be nominated, a Designated Physician shall possess an MD or 
DO degree and be board certified or have equivalent advanced training 
in occupational medicine.
    (c) Documentation. At the time of initial nomination, the nominee 
shall submit to the PPMD the following documents or copies thereof, 
translated into English if written in another language:
    (1) Applicable diplomas;
    (2) Certificate of any postgraduate professional training (e.g., 
internship, residency, fellowship); and
    (3) Current medical license in the state in which duties will be 
performed. If determined necessary by the PPMD, certification of good 
standing by all medical licensing bodies from which the applicant has 
held medical licenses, as well as documentation of any restrictions or 
limitations to practice medicine, past or present (such documentation 
may be obtained in written form or electronically) may be requested. 
The PPMD may request the nominee to instruct the licensing body to send 
such certifications to the PPMD. Under no circumstances will such 
certifications of good standing be accepted directly from the 
applicant. Additionally, the PPMD may request notice of certification 
by any additional American specialty board, if applicable, and/or a 
current curriculum vitae. The curriculum vitae, if requested, must 
provide a discussion of any gaps in employment.
    (d) Self reporting. Each individual covered under paragraphs (a) 
and (b) of this section must agree to report the following information 
about him/herself as a condition of his/her designation. PPMDs must 
report to their employer, who must forward the information to the 
Office of Health, Safety and Security through the Federal security 
authority. Designated Physicians must report to the PPMD:
    (1) Any change in status or initiation of an adverse action by any 
state medical licensing board or any other professional licensing 
board;
    (2) Initiation of an adverse action by any Federal or state 
regulatory board;
    (3) Being named a defendant in any criminal proceedings (felony or 
misdemeanor);
    (4) Being named in a civil suit alleging professional malpractice;
    (5) Being evaluated or treated for alcohol use disorder or drug 
dependency or abuse;
    (6) Occurrence of a physical disorder, a mental disorder, or any 
other health condition that might affect his or her ability to perform 
professional duties; and
    (7) Any adverse action against the medical license(s) of the 
individual, past or present (these may be obtained in written form or 
electronically). The incumbent or nominee may be instructed to request 
the licensing body to provide such information to the appropriate 
individual. Under no circumstances will such information be accepted 
directly from the incumbent or nominee. All such actions must be 
submitted to DOE for consideration and possible action which may result 
in rejection of, or termination of, the applicable designation.
    (e) Annual activity report. The PPMD must send an annual activity 
report to the Office of Health, Safety and Security through the 
appropriate field element, reporting on the current credentials of each 
incumbent Designated Physician and recommending the retention or 
replacement of each incumbent.
    (f) Retention or replacement. The PPMD's supervisor of record must 
send an annual letter to, the Office of Health, Safety and Security 
reporting on the current credentials of the PPMD recommending retention 
or replacement. Immediate notification must be made to the Office of 
Health Safety and Security if a PPMD is relieved of his duties or 
replaced.
    (g) Medical activity summary. The PPMD must submit an annual letter 
summarizing the medical activity during the previous year conducted 
under this part to the Chief Health, Safety and Security Officer or his 
or her designee through the manager of the Field Element. The PPMD must 
comply with applicable DOE requirements specifying report content.


Sec.  1046.5  Designated Physician.

    (a) Responsibilities. The Designated Physician is responsible for 
the conduct of medical examinations, evaluations, and medical 
certification of SOs and SPOs. The Designated Physician must:
    (1) Annually determine whether to approve an individual's 
participation in programmed training programs required under this rule 
and determine the individual's ability to perform the physical 
readiness and training qualification tests without undue risk. Medical 
approval must be obtained within thirty days prior to the individual's 
beginning such training or attempting the qualifying tests;
    (2) With the assistance of a psychologist or psychiatrist meeting 
standards established by DOE, determine:
    (i) An individual's medical capability, with or without reasonable 
accommodation, to perform the essential functions of PF job duties 
without creating a direct threat to the individual or others; and
    (ii) Whether to certify that the individual meets the applicable 
medical and physical readiness standards as set forth herein for their 
position.
    (3) Determine whether any portion of any medical examination may be 
performed by other qualified personnel, such as another physician, 
physician's assistant, or a nurse practitioner;
    (4) Be responsible for case management, including supervising, 
interpreting, and documenting PF personnel medical conditions; and
    (5) Be familiar with the required essential functions of the job 
duties for PF personnel, as set forth in Sec.  1046.11.
    (b) Approval in lieu of nomination. If the Designated Physician has 
been

[[Page 13216]]

approved under the provisions of 10 CFR part 712, ``Human Reliability 
Program,'' that approval will satisfy the requirement for nomination 
to, and approval by, DOE under this part.

Subpart B--Protective Force (PF) Personnel


Sec.  1046.11  Essential functions of PF positions.

    Nothing in this part is intended to preclude emergency use of any 
available protective force personnel by an on-scene commander to 
successfully resolve a national security emergency.
    (a) Essential functions. The essential functions described in 
paragraphs (b) through (g) of this section and other site-specific 
essential functions must be communicated in writing by the manager of 
the Field Element to the PPMD and the Designated Physician. The 
Designated Physician is required to ensure applicant and incumbent PF 
members are aware that these essential physical and mental functions in 
paragraphs (b) through (g), as appropriate, are the elements against 
which the initial and annual evaluations for PF personnel will be 
conducted.
    (b) SO essential functions. (1) The control of voluntary motor 
functions, strength, range of motion, neuromuscular coordination, 
stamina, and dexterity needed to meet physical demands associated with 
routine and emergency situations of the job;
    (2) The ability to maintain the mental alertness necessary to 
perform all essential functions without posing a direct threat to self 
or others; and
    (3) The ability to understand and share essential, accurate 
communication by written, spoken, audible, visible, or other signals 
while using required protective equipment.
    (c) Additional SO essential functions. SOs may be required to 
support SPOs and assist in the routine physical protection of DOE 
facilities, personnel, classified information, and property, as 
warranted by DOE facility operations, staff security posts used in 
controlling access to DOE facilities, conduct routine foot and 
vehicular patrols, escort visitors, check rooms and facilities, assess 
and report alarms, and perform basic first aid. Therefore, all SOs must 
also be able to:
    (1) Understand and implement post and patrol operations and access 
control systems;
    (2) Understand and implement departmental and site policies and 
procedures governing the SO's role in site protection;
    (3) Understand and implement inspection techniques for persons, 
packages and vehicles, as well as detect and identify prohibited 
articles and site-specific security interests;
    (4) Work in locations where assistance may not be available;
    (5) Spend extensive time outside exposed to the elements and 
working in wet, icy, hot, or muddy areas;
    (6) Make frequent transitions from hot to cold, cold to hot, dry to 
humid, and from humid to dry atmospheres;
    (7) Walk, climb stairs and ladders, and stand for prolonged periods 
of time;
    (8) Safely operate motor vehicles when their use is required by 
local missions and duty assignments;
    (9) Use clear and audible speech and radio communications in other 
than quiet environments;
    (10) Read and understand policies, procedures, posted notices, and 
badges;
    (11) Rely on the senses of smell, sight, hearing and touch to: 
detect the odor of products of combustion and of tracer and marker 
gases to detect prohibited articles; inspect persons; packages and 
vehicles; and in general determine the nature of emergencies; maintain 
personal safety; and report the nature of emergencies;
    (12) Employ weaponless self-defense;
    (13) Be fitted with and use respirators other than self-contained 
breathing apparatus when the use of such equipment is required by local 
assignment.
    (d) FPRS SPO essential functions. FPRS SPO personnel may be 
assigned only to fixed posts where there is no planned requirement for 
response away from that post. In addition to the SO essential functions 
listed in paragraphs (b) and (c) of this section, FPRS SPOs must be 
able to:
    (1) Apply basic tactics (to include use of intermediate force 
weapons) necessary to engage and neutralize armed adversaries and 
determine probable capabilities and motivations of potential 
adversaries;
    (2) Use site-specific hand tools and weapons required for the 
performance of duties;
    (3) Perform complex tasks, and make life or death decisions under 
stressful conditions while armed and authorized to use deadly force;
    (4) Perform physically demanding work under adverse weather and 
temperature conditions (extreme heat and extreme cold) on slippery or 
hazardous surfaces with the prolonged use of protective equipment and 
garments such as respirators, air supply hoods, or bullet-resistant 
garments, as required by site protection strategies;
    (5) Be fitted for and properly utilize personal duty equipment;
    (6) Work for long periods of time in conditions requiring sustained 
physical activity and intense concentration in environments of high 
noise, poor visibility, limited mobility, at heights, and in enclosed 
or confined spaces;
    (7) Accommodate to changing work and meal schedules or to a delay 
in meals without potential or actual incapacity;
    (8) Have no known significant abnormal intolerance to chemical, 
mechanical (e.g., heat, light or water), and other physical agent 
exposures to the skin that may be encountered during routine and 
emergency duties, as specified at the site; and
    (9) Make critical decisions and take appropriate actions in a 
confused and potentially life-threatening environment throughout the 
duration of an emergency situation, e.g., active shooter scenarios.
    (e) BRS SPO essential functions. In addition to the FPRS SPO 
essential functions listed above, BRS SPOs must be able to:
    (1) Have night vision sufficient to read placards and street signs 
while driving or to see and respond to imminently hazardous situations 
in conditions of darkness;
    (2) Be capable of operating armored vehicles with an expectation of 
employing the capabilities of the vehicle;
    (3) Staff security posts which normally require movement on foot, 
by vehicle, watercraft, or aircraft in response to alarms and any 
breach of security; and to support site protection strategies;
    (4) Provide interdiction, interruption, neutralization, and support 
the recapture of a DOE asset/site/facility/location;
    (5) Make rapid transitions from rest to near maximal exertion 
without warm-up; and
    (6) Otherwise act as needed to protect Department sites, personnel, 
classified information, and nuclear weapons, nuclear weapons 
components, and SNM, to apprehend suspects, and to participate in the 
armed defense of a Department site against a violent assault by 
adversaries.
    (f) ARS SPO essential functions. The essential functions of an ARS 
SPO include those of a BRS SPO. Security posts which normally, or are 
expected to, require extensive tactical movement on foot must be 
staffed by ARS SPOs. In addition, an ARS SPO must be able to support 
the pursuit/recovery of a Department security interest.
    (g) SRT member essential functions. The essential functions of an 
SRT member include those of an ARS SPO. The primary role of SRTs is the 
recapture, pursuit, and/or recovery of

[[Page 13217]]

Department security interests. In addition, an SRT member must be 
trained to resolve incidents that require activities and force options 
that exceed the capabilities of other site PF members, as determined by 
site-specific analysis. An SRT SPO also must:
    (1) Successfully complete a Departmental advanced tactical 
qualification course designed to provide the minimum level of skills 
and knowledge needed to completely perform all tasks associated with 
SRT job responsibilities;
    (2) Have knowledge and skills to provide additional protection 
capability as demanded by the particular targets, threats, and 
vulnerabilities existing at their assigned Departmental facility;
    (3) Operate special weapons, tactical vehicles, and other equipment 
necessary to protect a particular facility or to effectively engage an 
adversary with advanced capabilities; and
    (4) Possess the ability to act successfully as a member of an 
aggressive and readily mobile response team as dictated by site-
specific vulnerability assessments, using force options and tactical 
response team techniques necessary for recapture and recovery 
operations directed against an adversary and to support site-specific 
protection strategies.


Sec.  1046.12  Medical, physical readiness, and training requirements 
for PF personnel.

    Department PF personnel must be individuals who:
    (a) Are medically certified by the PPMD pursuant to the procedures 
set out in section 1046.13 as meeting the medical certification 
standards to perform all of the applicable essential functions of the 
job, as set forth in Sec.  1046.11;
    (b) Meet the physical readiness qualification standards set forth 
in Sec.  1046.16; and
    (c) Are determined to be qualified as having the knowledge, skills, 
abilities and completed the requirements of a formal training program 
as set out in Sec.  1046.17.


Sec.  1046.13  Medical certification standards and procedures.

    (a) PF medical certification standards. All applicant and incumbent 
PF personnel must satisfy the applicable Medical Certification 
Standards set forth in this section.
    (b) Requirements of the medical evaluation to determine medical 
certification. (1) The medical evaluation must be made by the 
Designated Physician without delegation (e.g., to a physician's 
assistant or nurse practitioner).
    (2) An evaluation of incumbent security police officer must include 
a medical history, the results of the examination, and a formal written 
determination.
    (3) A site standard form approved by the Chief Medical Officer must 
be used, and pertinent negatives must be documented on the form.
    (4) The Medical Certification Standards are the minimum medical 
standards to be used in determining whether applicants and incumbent PF 
personnel can effectively perform, with or without reasonable 
accommodation, all essential functions of normal and emergency duties 
without imposing an undue hardship on the employer or posing a direct 
threat to the PF member or others, the facility, or the general public. 
All reasonable accommodations as defined in this part must be approved 
in writing by the PPMD.
    (c) General medical standards for PF personnel. The examinee must 
possess the mental, sensorial, and motor skills to perform safely and 
efficiently all applicable essential job functions described in Sec.  
1046.11 and those designated in the job analysis submitted by PF 
management prior to each examination. Specific qualifications for SOs 
and SPOs are set forth in paragraphs (d) and (e), respectively, of this 
section.
    (d) Specific medical standards for SOs--(1) Head, face, neck, and 
scalp. Configuration suitable for fitting and effective use of personal 
protective equipment when the use of such equipment is required by 
assigned normal or emergency job duties.
    (2) Sense of smell. Ability to detect the odor of combustion 
products and of tracer or marker gases.
    (3) Speech. Capacity for clear and audible speech as required for 
effective communications on the job.
    (4) Hearing. Hearing loss with or without aids not to exceed 30 
decibels (db) average at 500, 1000, and 2000 Hertz (Hz), with no loss 
greater than 40 db at any one of these frequencies and a difference of 
not more than 15 db average loss between the two ears; the ability to 
recognize speech as demonstrated by a Speech Recognition Threshold of 
20 db or less (by ANSI S3.6, 2010audiometry (incorporated by reference, 
see Sec.  1046.21)). If a hearing aid is necessary, suitable testing 
procedures shall be used to ensure auditory acuity equivalent to the 
above requirement.
    (5) Vision. Near and distant visual acuity, with or without 
correction, of at least 20/25 in one eye and no worse than 20/40 in the 
other eye.
    (6) Color vision. Ability to distinguish red, green, and yellow. 
Acceptable measures of color discrimination include the Ishihara; 
Hardy, Rand, & Rittler; and Dvorine pseudoisochromatic plates (PIP) 
when administered and scored according to the manufacturer's 
instructions. Tinted lenses such as the X-Chrom contact lenses or 
tinted spectacle lenses effectively alter the standard illumination 
required for all color vision tests, thereby invalidating the results 
and are not permitted during color vision testing.
    (7) Cardiorespiratory. Capacity to use a respirator other than 
self-contained breathing apparatus (SCBA).
    (8) Nutritional/metabolic. Status adequate to meet the stresses and 
demands of assigned normal and emergency job duties. Ability to 
accommodate to changing work and meal schedules without potential or 
actual incapacity.
    (e) Specific medical standards for SPOs. In addition to the 
criteria identified in section 1046.16(f) the following standards must 
be applied.
    (1) Head, face, neck and scalp. Configuration suitable for fitting 
and effective use of personal protective equipment when the use of such 
equipment is required by assigned normal or emergency job duties.
    (2) Sense of Smell. The ability to detect the odor of combustion 
products and of tracer or marker gases.
    (3) Speech. Capacity for clear and audible speech as required for 
effective communications on the job.
    (4) Hearing. Hearing loss without aids not to exceed 30 db average 
at 500, 1000, 2000 Hz, with no loss greater than 40 db at any of these 
frequencies and a difference of not more than 15 db average loss 
between the two ears; the ability to recognize speech as demonstrated 
by a Speech Recognition Threshold of 25 db or less (by ANSI S3.6, 2010 
audiometry (incorporated by reference, see Sec.  1046.21)). Hearing 
loss beyond indicated level would interfere with ability to function 
and respond to commands in emergency situations. Use of a hearing aid 
is allowed for one ear only with the remaining ear qualifying for no 
more than an average of 30 db loss at all speech frequencies. If a 
hearing aid is necessary, suitable testing procedures must be used to 
assure auditory acuity equivalent to the above requirement for the 
difference between two ears.
    (5) Vision. (i) Near and distant vision. Near and distant visual 
acuity sufficient to effectively perform emergency-related essential 
functions:

[[Page 13218]]

    (A) With or without correction, vision of 20/25 or better in the 
better eye and 20/40 in the other eye.
    (B) If uncorrected distant vision in the better eye is not at least 
20/25 and the SPO wears corrective lenses, the SPO must carry an extra 
pair of corrective lenses.
    (ii) Color vision. Ability to distinguish red, green, and yellow. 
Acceptable measures of color discrimination include the Ishihara; 
Hardy, Rand, & Rittler; and Dvorine pseudoisochromatic plates (PIP) 
when administered and scored according to the manufacturer's 
instructions. Tinted lenses such as the X-Chrom contact lenses or 
tinted spectacle lenses effectively alter the standard illumination 
required for all color vision tests, thereby invalidating the results 
and are not permitted during color vision testing.
    (iii) Field of vision. Field of vision in the horizontal meridian 
at least a total of 140 degrees, contributed to by at least 70 degrees 
from each eye.
    (iv) Depth perception. Ability to judge the distance of objects and 
the spatial relationship of objects at different distances.
    (6) Cardiorespiratory. (i) Respiratory. Capacity and reserve to 
perform physical exertion in emergencies at least equal to the demands 
of the job assignment. This will be measured by annual pulmonary 
function test, with no less than a 90 percent predicted forced vital 
capacity and forced expiratory volume. There must be no diagnosis of 
respiratory impairment requiring continuous or continual medications 
such as bronchodilators or beta agonists. A full evaluation and 
approval by the PPMD is required whenever there is a past history of 
sleep apnea, with or without treatment.
    (ii) Cardiovascular. (A) Capacity for tolerating physical and high 
levels of exertion during emergencies. Normal configuration and 
function, normal resting pulse, regular pulse without arrhythmia, full 
symmetrical pulses in extremities, and normotensive, with tolerance for 
rapid postural changes on rapid change from lying to standing position. 
The use of hypertensive medications is acceptable if there are no side 
effects present that would preclude adequate functions as herein 
specified.
    (B) If an examination reveals significant evidence of 
cardiovascular abnormality or significantly increased risk for coronary 
artery disease (CAD) as determined by the examining physician, an 
evaluation by a specialist in internal medicine or cardiology may be 
required and evaluated by the Designated Physician. An 
electrocardiogram is required at entry, at age 40 and annually 
thereafter, which must be free from significant abnormality. If such 
abnormalities are detected, then a stress electrocardiogram with non-
ischemic results must be provided, or the individual must be referred 
to a cardiologist for a fitness for duty examination. A stress 
electrocardiogram must be performed every other year beginning at age 
50 with the results reviewed by the Designated Physician.
    (7) Neurological, mental, and emotional. Absence of central and 
peripheral nervous system conditions that could adversely affect 
ability to perform normal and emergency duties or to handle firearms 
safely. A tuning fork test for peripheral neuropathy at fingers and 
toes is required anually. Absence of neurotic or psychotic conditions 
which would affect adversely the ability to handle firearms safely or 
to act safely and efficiently under normal and emergency conditions. 
Psychologists and psychiatrists identified to conduct evaluations, 
assessments, testing, and/or diagnoses associated with medical 
qualifications of this part must meet standards established by DOE.
    (8) Musculoskeletal. Absence of conditions that could reasonably be 
expected to interfere with the safe and effective performance of 
essential physical activities such as running, walking, crawling, 
climbing stairs, and standing for prolonged periods of time. All major 
joint range of motion limits must have no significant impairments in 
the performance of essential functions. This includes overhead reaching 
and the ability for full squatting. No history of spine surgery, a 
documented diagnosis of herniated disc, or mechanical back pain that 
has not been certified to have normal functional recovery with no 
activity limitations.
    (9) Skin. Have no known significant abnormal intolerance to 
chemical, mechanical, and other physical agent exposures to the skin 
that may be encountered during routine and emergency duties, as 
specified at the site. Capability to tolerate use of personal 
protective covering and decontamination procedures when required by 
assigned job duties. Facial hair cannot be allowed to interfere with 
respirator fitting, and any such growth or a skin condition precluding 
respirator fit is not acceptable.
    (10) Endocrine/nutritional/metabolic. Status adequate to meet the 
stresses and demands of assigned normal and emergency job duties. 
Ability to accommodate to changing work and meal schedules without 
potential or actual incapacity. A full evaluation and approval of 
reasonable accommodation by the PPMD is required for hiring and 
retention when metabolic syndrome is identified and/or when diabetes is 
controlled by other than diet.
    (f) Additional medical or physical tests. For those facilities 
where it is necessary to determine the medical qualification of SPOs or 
SPO applicants to perform special assignment duties which might require 
exposure to unusually high levels of stress or physical exertion, Field 
Elements may develop more stringent medical qualification requirements 
or additional medical or physical tests, in collaboration with the 
PPMD, as necessary for such determinations. All such additional 
qualification requirements must be coordinated with the Office of 
Health Safety and Security prior to application.
    (g) Medical examination procedures and requirements. (1) The 
medical examinations required for certification must be performed at 
the following intervals:
    (i) Applicants for PF member positions must undergo a comprehensive 
medical examination, as specified herein. The Chief Health, Safety and 
Security Officer or designee, the Chief, Defense Nuclear Security in 
the case of NNSA, and/or the PPMD may require additional evaluations.
    (ii) After initial certification, each SO must be medically 
examined and recertified at least every two years or more often if the 
PPMD so requires. Medical certification remains valid through the end 
of the twenty-fourth month following each certification or for the 
period indicated by the PPMD if less than twenty-four months.
    (iii) After initial certification, each SPO must be medically 
examined and recertified every twelve months or more often (pursuant to 
Sec.  1046.14 or otherwise if the PPMD so requires). Medical 
certification remains valid through the end of the twelfth month 
following each qualification or for the time indicated by the PPMD if 
less than twelve months.
    (2) The medical examination must include a review of the essential 
functions of the job to which the individual is assigned. Medical 
examinations of SPO and SO applicants and incumbents must include the 
following evaluations of whether the individual meets the Medical 
Certification Standards for the applicable position:
    (i) An updated medical and occupational history, complete physical 
examination, vision testing, audiometry, and spirometry. In addition, 
laboratory testing must be performed, including a complete blood count 
(CBC), basic

[[Page 13219]]

blood chemistry, a fasting blood glucose, and a fasting lipid panel 
(the examination and testing is to identify baseline abnormalities, as 
well as trends); and
    (ii)(A) A psychologist who meets standards established by DOE must 
be used to fulfill the requirements of this part. A personal, semi-
structured interview at the time of the pre-placement medical 
evaluation and during the biennial or annual medical examination must 
be conducted by a psychologist. At the pre-placement medical 
examination and every third year for SPOs and every fourth year for SOs 
thereafter, a Minnesota Multi-Phasic Personality Inventory (MMPI) 
(available only to appropriate medical professionals at, e.g., http://psychcorp.pearsonassessments.com) or its revised form will be 
administered in order to:
    (1) Establish a baseline psychological profile;
    (2) Monitor for the development of abnormalities; and
    (3) Qualify and quantify abnormalities.
    (B) The information gathered from paragraph (g)(2)(i) of this 
section, together with the results of the semi-structured interview, 
psychiatric evaluations (if required), and reviews of job performance 
may indicate disqualifying medical conditions. Additional generally-
accepted psychological testing may be performed as required to 
substantiate findings of the MMPI. If medically indicated and approved 
by the PPMD, an additional evaluation by a psychiatrist who meets 
standards established by DOE may be required. Additional or more 
frequent psychological evaluations as determined by the psychologist, 
psychiatrist, Designated Physician, or the PPMD may be required. Unless 
otherwise indicated, a psychological evaluation performed in accordance 
with the other DOE requirements may satisfy the requirements of this 
part.
    (C) The Designated Physician may request any additional medical 
examination, test, consultation or evaluation deemed necessary to 
evaluate an incumbent SO's or SPO's ability to perform essential job 
duties or the need for temporary work restrictions.
    (3) When an examinee needs the use of corrective devices, such as 
eyeglasses or hearing aids, to enable the examinee to successfully meet 
medical qualification requirements, the supervisor responsible for the 
examinee's performance, in conjunction with the Designated Physician, 
must make a determination that the use of any such device is compatible 
with all required emergency and protective equipment that the examinee 
may be required to wear or use while performing assigned job duties. 
This determination must be made before such corrective devices may be 
used by the examinee to meet the medical, physical readiness, or 
training requirements for a particular position.
    (4) Contractor management must provide reasonable accommodations to 
a qualified individual by taking reasonable steps to modify required 
emergency and protective equipment to be compatible with corrective 
devices or by providing equally effective, alternate equipment, if 
available.
    (5) The Designated Physician must discuss the results of the 
medical and physical readiness examinations with the individual. The 
results of the medical examinations also must be communicated in 
writing to PF management and to the individual and must include:
    (i) A statement of the certification status of the individual, 
including any essential functions for which the individual is not 
qualified, with or without reasonable accommodations, and an assessment 
of whether the individual would present a direct threat to self or 
others in the position at issue;
    (ii) If another medical appointment is required, the date of the 
next medical appointment; and
    (iii) Recommended remedial programs or other measures that may 
restore the individual's ability to perform the essential functions or 
may negate the direct threat concern, if the individual is not 
qualified for physical training, testing, or the relevant position.
    (6) PF management must request from the PPMD a health status exit 
review for all employees leaving PF service. This review must include 
all of the medical standards for the PF position being vacated.


Sec.  1046.14  Medical certification disqualification.

    (a) Removal. An individual is disqualified from medical 
certification by the PPMD if one or more of the medical certification 
standards contained in Sec.  1046.13 are not met. An individual, 
temporarily or permanently, disqualified from medical certification by 
the PPMD must be removed from the protective force job classification 
by his or her employer when the employer is notified by the PPMD of 
such a determination.
    (b) Medical removal protection. The employer of a disqualified SPO 
must offer the SPO medical removal protection if the PPMD determines in 
a written medical opinion that it is medically appropriate to remove 
the SPO from PF duties as a result of injuries sustained while engaging 
in required physical readiness activities (e.g., preparing for or 
participating in a physical readiness standard qualification attempt) 
or training activities requiring physical exertion. The PPMD's 
determination must be based on an examining physician's recommendation 
or any other signs or symptoms that the Designated Physician deems 
medically sufficient to remove an SPO. The employee pay benefits 
specified in this part for combined temporary and permanent medical 
removal shall not be provided for more than one year from the date of 
the initial PPMD written determination regarding the same injury.
    (1) Temporary removal pending final medical determination. The 
employer of a disqualified SPO must offer the SPO temporary medical 
removal from PF duties on each occasion that the PPMD determines in a 
written medical opinion that the worker should be temporarily removed 
from such duties pending a final medical determination of whether the 
SPO should be removed permanently.
    (i) In this section, ``final medical determination'' means the 
outcome of the Independent Review process or the Final Review process 
provided for in Sec.  1046.15(c) and (d), as appropriate.
    (ii) If an SPO is temporarily removed from PF duties pursuant to 
this section, the SPO's employer must not remove the employee from the 
active payroll unless alternative duties for which the worker is 
qualified or can be trained in a short period of time are refused or 
alternative duties are performed unsatisfactorily.
    (iii) When the SPO remains on the active payroll pursuant to 
paragraph (b)(1)(ii) of this section, the SPO's employer must maintain 
for the duration of the temporary assignment the SPO's total base pay, 
seniority, and other worker rights and benefits as if the worker had 
not been removed.
    (iv) If there are no suitable alternative duties available as 
described in paragraph (ii), the SPO's employer must provide to the SPO 
the medical removal protection benefits specified in paragraph (c)(1) 
of this section until alternative duties become available, the SPO has 
recovered, or for one year, whichever comes first.
    (2) Permanent medical removal resulting from injuries. If the PPMD 
determines in a written medical opinion that the worker should be 
permanently removed from PF duties as a result of injuries sustained 
while engaging in required physical readiness activities

[[Page 13220]]

(e.g., preparing for or participating in a physical readiness standard 
qualification attempt) or training activities requiring physical 
exertion, employer Human Resources policies, disability insurance, and/
or collective bargaining agreements will dictate further employment 
status and compensation.
    (3) Worker consultation before temporary or permanent medical 
removal. If the PPMD determines that an SPO should be temporarily or 
permanently removed from PF duties, the PPMD must:
    (i) Advise the SPO of the determination that medical removal is 
necessary to protect the SPO's health and well-being or prevent the SPO 
from being a hazard to self or others;
    (ii) Provide the SPO the opportunity to have any questions 
concerning medical removal answered; and
    (iii) Obtain the SPO's signature or document that the SPO has been 
advised on the benefits of medical removal as provided in this section 
and the risks of continued participation in physically demanding 
positions.
    (4) Return to work after medical removal. (i) The SPO's employer, 
subject to paragraph (b)(4)(ii) of this section, must not return an SPO 
who has been permanently removed under this section to the SPO's former 
job status unless the PPMD first determines in a written medical 
opinion that continued medical removal is no longer necessary to 
protect the SPO's health and well-being or to prevent the SPO from 
being a direct threat to self or others.
    (ii) If, in the PPMD's opinion, continued participation in PF 
duties will not pose an increased risk to the SPO's health and well-
being or an increased risk (beyond those normally associated with SPO 
duties) of the SPO being a direct threat to self or others, the PPMD 
must fully discuss these matters with the SPO and then, in a written 
determination, may authorize the SPO's employer to return the SPO to 
former job status.
    (c) Medical removal protection benefits. If an SPO has been removed 
from duty pursuant to paragraph (b)(2) of this section as a result of 
injuries sustained while engaging in required physical readiness 
activities (e.g., preparing for or participating in a physical 
readiness standard qualification attempt) or other training activities 
requiring physical exertion, the SPO's employer must provide the SPO 
the opportunity to transfer to another available position, or one which 
later becomes available, for which the SPO is qualified (or for which 
the SPO can be trained in a short period), subject to collective 
bargaining agreements, as applicable;
    (1) If required by this section to provide medical removal 
protection benefits, the SPO's employer must maintain for a period of 
one year, beginning from the date of the PPMD's determination as 
described in paragraph (b)(1) of this section, the removed worker's 
total base pay, and seniority, as though the SPO had not been removed.
    (2) If a removed SPO files a claim for workers' compensation 
payments for a physical disability, then the SPO's employer must 
continue to provide medical removal protection benefits pending 
disposition of the claim, the claimant has recovered, or one year, 
whichever comes first. The SPO's employer will receive no credit 
towards the SPO's base pay for the SPO's compensation payments received 
by the SPO for treatment related expenses.
    (3) The SPO's employer's obligation to provide medical removal 
protection benefits to an SPO is reduced to the extent that the worker 
receives compensation for earnings lost during the period of removal 
either from a publicly or employer-funded compensation program, or from 
employment with another employer made possible by virtue of the 
worker's removal.
    (d) Collective Bargaining Agreements. For the purposes of this 
section, the requirement that the SPO employer provide medical removal 
protection benefits is not intended to expand upon, restrict, or change 
any rights to a specific job classification or position under the terms 
of an applicable existing collective bargaining agreement.


Sec.  1046.15  Review of medical certification disqualification.

    (a) Temporary medical and physical conditions. Should the PPMD 
determine that an individual is disqualified from medical certification 
because of a temporary medical or physical condition which results in 
the individual not being able to perform any of the essential functions 
of the job classification, the employer may assign the individual to 
alternate, limited duty, if available, until the individual is 
determined by the PPMD to be removed from a disqualification status. 
This limited duty may include assignment to duties in any job 
classification where all essential functions can be safely and 
efficiently performed. A temporary medical certification 
disqualification may not exceed a period of twelve months. During or by 
the end of the twelve-month period, the PPMD must determine whether the 
individual is permanently disqualified from medical certification 
because of a continuing medical or physical condition which results in 
the individual not being able to perform all essential functions of the 
job classification. The individual may request an Independent Review of 
the disqualification at the initial notification of disqualification, 
and at any time during or at the end of the twelve-month period.
    (b) Permanent medical and physical conditions. If the PPMD 
determines that an individual is disqualified from medical 
certification because of a permanent medical or physical condition 
which results in the individual not being able to perform all essential 
functions of the job classification, and the individual requests an 
Independent Review, the employer may assign the individual to 
alternate, limited duty, if available. This limited duty may include 
assignment to duties in any job classification where all essential 
functions can be safely and efficiently performed. Subject to the one 
year limit as identified in Sec.  1046.14, assignment to alternate, 
limited duty, may remain in effect until an Independent Review 
determination, and if applicable, the Final Review determination by the 
DOE Office of Hearings and Appeals.
    (c) Independent Review. An individual PF member disqualified from 
medical certification, temporarily or permanently, by the PPMD may 
request an Independent Review of his case. The individual initiating 
such a review must submit the request for an Independent Review in 
writing to the Office of Health, Safety and Security within ten working 
days of the date of notification (date of written correspondence) of 
disqualification. A copy of the request must be sent to the 
individual's employer and to the local officially designated Federal 
security authority: For DOE HQ sites, to the Director, Office of 
Security Operations; for NNSA sites, to the cognizant NNSA Security 
Director; and for any other DOE sites, to the cognizant DOE Security 
Director.
    (1) The Office of Health, Safety and Security, in coordination with 
the respective PPMD, must provide for the Independent Review. The 
Independent Review must be conducted within sixty calendar days of the 
receipt of the request for an Independent Review. The Independent 
Review must include a complete review of the record of the case.
    (2) The disqualified individual may select a representative of his/
her choice during the Independent Review process. The individual or 
representative may

[[Page 13221]]

provide additional evidence relating solely to the medical or physical 
readiness of the individual. The individual must execute a consent 
document authorizing the release of relevant medical information to the 
Office of Health, Safety and Security.
    (3) The disqualified individual must provide a copy of the request 
for Independent Review and the signed consent document for the release 
of medical information to the respective PPMD and the individual's 
employer within ten working days of the submission of the request to 
the Office of Health, Safety and Security.
    (4) Within ten working days of receipt of a copy of the request for 
an Independent Review, the disqualified individual's employer must 
provide the Office of Health, Safety and Security with the following:
    (i) A copy of the job analysis (JA)/mission essential task list 
(METL) available to the respective Designated Physician at the time of 
the individual's medical evaluation;
    (ii) A listing of the essential functions for the individual's PF 
job classification; and
    (iii) Any additional information relating to the medical or 
physical readiness of the requestor that the Office of Health, Safety 
and Security may request.
    (5) The Office of Health, Safety and Security must provide the 
information in paragraph (c)(4) to the Independent Physician for use in 
the independent review.
    (6) A medical examination of the disqualified individual must be 
conducted by an Independent Physician approved by the Office of Health, 
Safety and Security. The Independent Physician must not have served as 
the requestor's personal physician in any capacity. The Independent 
Review must confirm or disagree with the medical certification 
disqualification and must consider:
    (i) The validity of the stated physical requirements and essential 
function(s) for the applicable job classification;
    (ii) The PPMD's medical determination of the individual's inability 
to perform essential functions or to undertake training or the physical 
readiness qualification test without undue medical risk to the health 
and safety of the individual;
    (iii) The completeness of the medical information available to the 
PPMD; and
    (iv) If applicable, the determination by the PPMD that the 
performance of the individual poses a direct threat to self or others.
    (7) The results of the Independent Physician's medical examination 
of the individual must be provided to the Office of Health, Safety and 
Security for review. The Office of Health, Safety and Security must 
then recommend a final determination confirming or reversing the 
medical certification disqualification. The recommendation of the 
Office of Health, Safety and Security must be forwarded to the 
applicable local Federal authority for security: For DOE HQ sites, the 
Director, Office of Security Operations; for NNSA sites, the cognizant 
local NNSA Security Director; for any other DOE sites, the cognizant 
local DOE Security Director; and the respective PPMD. This individual 
will either adopt or reject the recommendation of the Office of Health, 
Safety and Security.
    (8) The Office of Health, Safety and Security must provide the 
results of the Independent Review and the final determination regarding 
the individual's medical disqualification to the requestor, the 
respective PPMD, the respective local ODFSA, and the requestor's 
employer.
    (9) If the Independent Review determination confirms the individual 
is disqualified from medical certification, the individual must be 
removed from the PF job classification by the individual's employer. If 
the Independent Review disagrees with the medical certification 
disqualification, the individual must be reinstated to the PF job 
classification by the individual's employer, subject to successful 
completion of any required qualifications or training requirements that 
were due during the temporary disqualification.
    (d) Final Review. An individual receiving an unfavorable 
Independent Review Determination may request a Final Review of the 
Independent Review Determination by the Office of Hearings and Appeals. 
The individual must submit his or her request for a Final Review to the 
Office of Hearings and Appeals, in writing, within 30 days of receiving 
an unfavorable determination, and notify the Office of Health, Safety 
and Security of his or her appeal. In the request for a Final Review, 
the individual must state with specificity why he or she disagrees with 
the Independent Review confirming his or her medical certification 
disqualification. The Office of Health, Safety and Security will 
transmit the complete record in the case to the Office of Hearings and 
Appeals within five business days of receiving notice from the 
individual that he or she has filed an appeal of the Independent Review 
Determination. The Office of Hearings and Appeals may request 
additional information, if necessary, to clarify any issue on appeal. 
Within 45 days of the closing of the record, the Office of Hearings and 
Appeals will issue a Decision and Order setting forth its findings on 
appeal and its conclusions based on the record before it. Upon receipt 
of the unfavorable results of a Final Review determination by the 
Office of Hearings and Appeals, the individual must be permanently 
removed from that PF job classification, SO or SPO (FPRS, BRS, ARS, or 
SRT member) by his or her employer. However, nothing in this 
determination shall prevent the employee from being allowed to qualify 
for a less strenuous physical readiness job classification given the 
availability of said position subject to successful completion of any 
other required qualifications or training requirements. Upon receipt of 
the favorable results of a Final Review determination from the Office 
of Hearings and Appeals, the individual must be reinstated to the PF 
job classification by his or her employer, subject to successful 
completion of any required qualifications or training requirements due 
during the temporary disqualification and future ability to be 
medically certified for the PF job classification.


Sec.  1046.16  SPO physical readiness qualification standards and 
procedures.

    (a) General. Employers must provide SPOs with a copy of the 
applicable physical readiness standards, a copy of these regulations, 
and must inform SPOs of their rights associated with the physical 
readiness requirements.
    (1) All SPO applicants must satisfy the applicable physical 
readiness standard for their assigned position and must physically 
demonstrate the physical training and skills, knowledge and abilities 
set out in paragraph (g) of this section, as required for their 
assigned position before beginning active duty in that position.
    (2) All incumbent SPOs must requalify every year according to their 
applicable readiness standard, pursuant to paragraph (d)(1), (f), or 
(g) of this section. Requalification must occur no later than the 
twelfth month following the previous annual qualification. The 
requalification may be accomplished at any time during, or prior to, 
the requalification month.
    (3) All qualification and requalification activities must be 
conducted under the supervision of personnel knowledgeable of DOE 
physical readiness program requirements and approved by the local 
officially designated Federal security authority.

[[Page 13222]]

    (b) Physical readiness training program. Each SPO must engage in a 
year-round physical readiness training program to:
    (1) Achieve and maintain the cardio-respiratory and musculoskeletal 
fitness necessary to safely perform all essential functions of normal 
and emergency PF duties at any time, without posing a direct threat to 
self or others; and
    (2) Enable the individual SPO to pass (on an annual basis) the 
applicable SPO physical readiness standard without any undue risk of 
physical injury.
    (c) Training program requirements. (1) The training program must 
include the following elements:
    (i) Activities with appropriate durations which address aerobic, 
agility, flexibility, and strength conditioning.
    (ii) Instruction on techniques and exercises designed to ensure 
SPOs can safely rise quickly from the prone position, and if required 
by qualification standard, transition into a run.
    (iii) Appropriate stretching/warm-up and cool down activities 
designed by certified exercise physiologists to support injury free 
workouts and physical readiness testing.
    (2) An SPO physical readiness training and maintenance program must 
be developed by the employing organization and approved by the PPMD in 
consultation with the local officially designated Federal security 
authority.
    (3) After initial training and qualification, each SPO must 
participate in the physical readiness training and maintenance program 
on a continuing basis. The physical readiness maintenance program must 
be based on assessment of the individual SPO's physical readiness 
levels and be tailored to the individual SPO's physical readiness 
maintenance requirements and improvement needs. The SPO's participation 
in this training program must be validated by the SPO's employing 
organization.
    (4) Assessments of an SPO's level of physical readiness must be 
conducted at least every six months by personnel knowledgeable of DOE 
requirements and be based upon recognized assessment standard values 
(e.g., American College of Sports Medicine [http://www.acsmstore.org/], 
Cooper Fitness Institute [http://www.cooperinstitute.org/], and 
Rockport Walk Protocol [available online from a variety of Web sites]). 
Though not a qualification, the assessment must include an evaluation 
of the SPO's level of physical readiness and provide recommendations 
for maintenance requirements and improvement needs, if any. Ability to 
summon appropriate medical emergency response must be available at the 
assessment site. An individual trained in cardio-pulmonary 
resuscitation and automatic external defibrillator equipment must be 
present.
    (5) An SPO who fails to requalify during the twelfth month 
following the anniversary of the date of initial or previous 
qualification must be removed from armed SPO status and must 
participate in a remedial physical readiness training program. No 
additional training or time extension to meet the standards is 
permitted except for unusual circumstances based on a temporary medical 
or physical condition as certified by the PPMD that causes the SPO to 
be unable to satisfy the physical readiness standards within the 
required time period without suffering undue physical harm.
    (6) SPOs must maintain physical readiness standards on a continuing 
basis. Employees must notify the employer when the requirements of the 
training program cannot be successfully completed on a recurring basis 
(e.g., exercises cannot be completed and/or completed within time 
limits several times in a row due to injury and/or conditioning 
issues). The employer must provide access to a work hardening or 
rehabilitation program upon PPMD medical evaluation validating the need 
for such a program.
    (7) An SPO may be required to demonstrate the ability to meet the 
applicable physical readiness qualification standard during a 
Headquarters or field audit/inspection/survey or other similar 
activity, as directed by the local officially designated Federal 
security authority. Failure to meet the physical readiness standard 
will be treated as if the SPO failed the first attempt during routine 
qualification, and the procedures of paragraphs (g)(3), (4) and (5) of 
this section will apply.
    (d) Physical readiness standards for SPOs. The physical readiness 
standards for SPOs are as follows:
    (1) Fixed Post Readiness Standard (FPRS). This standard applies to 
all SPOs and must be physically demonstrated every year. The standard 
is sufficient agility and range of motion to: Assume, maintain, and 
recover from the variety of cover positions associated with effective 
use of firearms at entry portals and similar static environments to 
include prone, standing, kneeling, and barricade positions; use site-
specific deadly and intermediate force weapons and employ weaponless 
self-defense techniques; effect arrest of suspects and place them under 
restraint, e.g., with handcuffs or other physical restraint devices; 
and meet any other site-specific measure of physical readiness 
prescribed by site management and approved by the respective program 
office.
    (2) Basic Readiness Standard (BRS). In addition to demonstrating 
the FPRS requirements as stated in paragraph (d)(1) of this section, 
the BRS consists of a one-half mile run with maximum qualifying times 
of 4 minutes 40 seconds and a 40-yard dash from the prone position in 
8.5 seconds, and any other site-specific measure of physical readiness 
prescribed by site management and approved by the respective program 
office.
    (3) Advanced Readiness Standard (ARS). In addition to demonstrating 
the FPRS requirements as stated in paragraph (d)(1) of this section, 
the ARS consists of a one mile run with maximum qualifying times of 8 
minutes 30 seconds and a 40-yard dash from the prone position in 8.0 
seconds, and any other site-specific measure of physical readiness 
prescribed by site management and approved by the respective program 
office.
    (e) Administrative Procedure Act. The Department may revise the 
physical readiness standards or establish new standards consistent with 
the Administrative Procedure Act and other applicable law.
    (f) Evaluation and documentation. The Designated Physician's 
evaluation and documentation that an incumbent BRS or ARS SPO has 
reasonable expectation of meeting the appropriate physical readiness 
standard will be deemed to have met the annual physical readiness 
qualification requirement without having to take the appropriate BRS or 
ARS test. The following procedures apply regarding the Designated 
Physician's evaluation and documentation that an incumbent BRS or ARS 
SPO has a reasonable expectation of meeting the appropriate physical 
readiness standard. The physical readiness capability evaluation must 
be made by the Designated Physician without delegation (e.g., to a 
physician's assistant or nurse practitioner). A site standard form must 
be used, and pertinent negatives must be documented on the form.
    (1) Evaluation of BRS and ARS SPOs must include consideration of 
normative data where it is available for individuals deemed to be 
physically capable. The following criteria must be evaluated: Cardiac 
function to include resting pulse rate, pulse recovery after exertion; 
neuromuscular function to include assessments of strength, range/
freedom of motion, and movement without pain.
    (2) The designated physician may clear the BRS or ARS SPO medically 
for

[[Page 13223]]

SPO duties and document that the SPO has a reasonable expectation of 
meeting the appropriate physical readiness standard. In this case, the 
SPO is deemed to have met the annual physical readiness qualification 
requirement without having to take the appropriate BRS or ARS test.
    (3) The designated physician may indicate the BRS or ARS SPO meets 
medical standards for SPO duties but indicate that the SPO does not 
appear to have the physical capability to pass the appropriate physical 
readiness test. In this case, the file will be immediately forwarded to 
the PPMD for review.
    (4) If the PPMD concurs with the Designated Physician, the SPO may 
challenge the decision by taking and passing the appropriate physical 
readiness test, which must be accomplished successfully within 30 days 
of the date of the physical evaluation for the SPO to remain in status. 
Should the SPO fail to meet the standard, the retesting process 
described below in paragraph (g) of this section must be followed. 
Ultimate return to work would require following the new hire process 
for medical clearance and physical readiness testing.
    (5) Should the PPMD determine that the SPO does appear to have a 
reasonable expectation of meeting the appropriate physical readiness 
standard, the SPO will be deemed to have met the annual qualification 
requirement for the appropriate physical readiness standard.
    (6) The Designated Physician may find that the SPO cannot be 
medically cleared for SPO duties. In this case, the SPO will be removed 
from status with appropriate PPMD review and medical intervention 
provided.
    (7) Each year, 10 percent of the BRS and ARS SPO populations at 
each site will be randomly selected by the employer for physical 
testing pursuant to paragraph (g). The identity of an individual as the 
selectee shall be kept confidential by the employer in a manner that 
ensures this information does not become known to the selected 
individual and the Designated Physician until after the individual SPO 
has been deemed to have a reasonable expectation of meeting the 
appropriate physical readiness standard pursuant to paragraphs (f) (2) 
or (f)(5) of this section. The selected individuals must successfully 
complete the applicable physical readiness standard in order to retain 
SPO status. During a given year's testing, at least 90 percent of those 
tested in each physical readiness category must meet the requirements.
    (8) Should the passing percentage of those randomly selected in a 
particular physical readiness category at a particular site drop below 
90 percent on their first attempts at annual qualification, then 
subsequently all incumbent SPOs in that category at that site must be 
tested against their appropriate physical readiness standard when their 
anniversary date occurs. This testing will continue until a 95 percent 
successful completion rate for that category of physical readiness is 
achieved at the site. Once a 95 percent successful completion rate on 
the first attempt is achieved for a given testing year, the required 
testing ratio will return to 10 percent for that category.
    (g) Physical testing for BRS and ARS SPOs. The following procedures 
apply to an individual physically demonstrating the physical readiness 
standards for applicants and incumbent SPOs.
    (1) Incumbent BRS and ARS SPOs randomly selected for physical 
testing pursuant to paragraph (f) in any given year, shall physically 
meet the applicable physical readiness standard during the month of, or 
prior to, their anniversary date.
    (2) Incumbent SPOs shall physically meet the applicable physical 
readiness standard prior to their assignment to duties which require a 
more stringent standard.
    (3) All newly hired SPOs must physically meet the most stringent 
standard required at the site.
    (4) SPOs returning after an absence of more than one year from 
protective force duties must physically meet the standard they were 
required to meet when they left SPO duties, should such a position 
requiring that standard be available.
    (5) Each applicant and incumbent SPO must be medically approved by 
the Designated Physician and have successfully completed a physical 
readiness assessment within thirty days prior to initial participation 
in any physical readiness training program and prior to attempting the 
applicable standard to determine whether the individual can undertake 
the standard without undue medical risk to the health and safety of the 
individual.
    (6) SPOs must qualify on the applicable standard annually either by 
medical clearance or by physically passing the required test. The 
testing protocol shall include mandated participation by the officer 
being tested in pre-test stretching, warm-up, and cool-down activities 
as described in paragraph (c) of this section. The responsible person 
in charge of the qualification activity must ensure that the SPO 
understands the attempt will be for qualification. Once this has been 
communicated by the person in charge, the attempt will constitute a 
qualification attempt. Ability to summon appropriate medical emergency 
response must be available at the testing site. An individual trained 
in cardio pulmonary resuscitation and automatic external defibrillator 
equipment must be present.
    (7) Physical readiness requalification must occur not later than 
during the twelfth month from the previous annual qualification. 
Failure to qualify within this one-month period, or earlier, must 
result in removal from SPO status. All attempts must be made within 30 
days of the medical approval required in Sec.  1046.16 (g)(5). Not more 
than five attempts may be allowed during the 30-day period.
    (8) Remedial training program: Each incumbent SPO who has not met 
the applicable physical readiness qualification standards as set forth 
herein for reasons other than injury or illness must participate in a 
supervised physical readiness remedial training program.
    (i) Supervision of the physical readiness remedial training program 
may be accomplished by direct observation of the SPO during the 
training program by personnel knowledgeable of Department physical 
readiness program requirements, or by these personnel monitoring the 
SPO's progress on a weekly basis.
    (ii) The remedial training program must be based upon an assessment 
of the SPO's individual physical readiness deficiencies and improvement 
needs which precluded the SPO from successfully completing the 
applicable physical readiness standard.
    (iii) The remedial training program must not exceed a period of 30 
days.
    (9) Re-testing after completion of remedial training program.
    (i) Once an incumbent SPO has begun a remedial training program, it 
must be completed before the SPO may attempt the applicable standard.
    (ii) Upon completion of the remedial training the incumbent SPO 
must be assessed using the same process that is used for the required 
semiannual assessment as required in (b)(4) of this section with the 
results indicating the SPO is ready to take the test.
    (iii) The incumbent SPO has seven days from the completion date of 
the remedial training program to meet the applicable physical readiness 
qualification standard. Only one attempt during this seven-day period 
may be made unless circumstances beyond the testing organization or 
participant's control (e.g., severe weather, equipment failure, or 
injury) interrupt the attempt.

[[Page 13224]]

When the attempt is interrupted, it may then be rescheduled within 
seven days.
    (iv) The SPO's original anniversary qualification date will remain 
the same.
    (10) Extensions: The physical readiness standards set forth in this 
part may not be waived or exempted. Time extensions, not to exceed six 
months, may be granted on a case-by-case basis for those individuals 
who, because of a temporary medical or physical condition certified by 
the Designated Physician, are unable to satisfy the physical readiness 
standards within the required period without suffering injury. When an 
extension is granted:
    (i) The granting of such a time extension does not eliminate the 
requirement for the incumbent SPO to be removed from SPO status during 
the time extension.
    (ii) When an extension is granted because of an inability to 
qualify without a certified medical or physical condition, the PF 
member is not entitled to temporary removal protection benefits.
    (iii) Upon completion of the time extension period and requisite 
physical readiness training, as applicable, the incumbent SPO must be 
assessed using the same process that is used for the required 
semiannual assessment as required in (b)(4) of this section with the 
results indicating the SPO is ready to take the test.
    (iv) For time extensions exceeding three months, the SPO's original 
anniversary qualification date may be revised to reflect the date for 
passing the applicable standard, which will become the new anniversary 
qualification date.


Sec.  1046.17  Training standards and procedures.

    (a) Department contractors responsible for the management of PF 
personnel must establish training programs and procedures for PF 
members to develop and maintain the knowledge, skills and abilities 
required to perform assigned tasks. The qualification and training 
programs must be based upon criteria approved by the officially 
designated Federal security authority.
    (b) Department contractors responsible for training PF personnel 
must prepare and annually review mission essential tasks from which a 
JA or mission essential task list (METL). The JAs or METLs must be 
prepared detailing the required actions or functions for each specific 
PF job assignment. When a generic Department JA or METL does not exist 
for a site-specific PF assignment (e.g., dog handler, investigator, 
flight crew, pilot, etc.) the site must develop a site-specific JA or 
METL. The JA or METL must be used as the basis for local site-specific 
training programs.
    (c) The Designated Physician must approve in advance the 
participation by individuals in training and examinations of training 
competence prior to an individual's beginning employment as a PF member 
and annually thereafter.
    (d) The formal PF training program must:
    (1) Be based on identified essential functions and job tasks, with 
identified levels of knowledge, skills and abilities needed to perform 
the tasks required by a specific position;
    (2) Be aimed at achieving a well-defined, minimum level of 
competency required to perform each essential function and task 
acceptably, with or without reasonable accommodations;
    (3) Employ standardized lesson plans with clear performance 
objectives as the basis for instruction;
    (4) Include valid performance-based testing to determine and 
certify job readiness;
    (5) Be documented so that individual and overall training status is 
easily accessible. Individual training records and certifications must 
be retained for at least one year after termination of the employee 
from employment as a member of the PF;
    (6) Incorporate the initial and maintenance training and training 
exercise requirements expressly set forth in this part and as otherwise 
required by DOE;
    (7) Be reviewed and revised, as applicable, by PF management on an 
annual basis; and
    (8) Be reviewed and approved by the local officially designated 
Federal security authority on an annual basis.
    (e) SOs--(1) SO initial training requirements. (i) Prior to initial 
assignment to duty, each SO must successfully complete a basic SO 
training course, approved by the local officially designated Federal 
security authority, designed to provide the minimum level of skills, 
knowledge and ability needed to competently perform all essential 
functions and tasks associated with SO job responsibilities.
    (ii) The essential functions and minimum competency levels must be 
determined by a site-specific JA or METL. The essential functions and 
minimum competency levels will include, but are not limited to, the 
knowledge, skills, and abilities required to perform the essential 
functions set forth in this part, task areas as specified by DOE; and 
any other site specific task areas that will ensure the SO's ability to 
perform all aspects of the assigned position under normal and emergency 
conditions without posing a direct threat to themselves or to others.
    (2) SO maintenance training. Each SO must successfully complete an 
annual course of maintenance training to maintain the minimum level of 
competency required for the successful performance of tasks and 
essential functions associated with SO job responsibilities. The type 
and intensity of training must be based on a site-specific JA or METL. 
Failure to achieve a minimum level of competency must result in the 
SO's placement in a remedial training program. The remedial training 
program must be tailored to provide the SO with the necessary training 
to afford a reasonable opportunity to meet the level of competency 
required by the job analysis. Failure to demonstrate competency at the 
completion of the remedial program must result in loss of SO status.
    (3) SO knowledge, skills, and abilities. Each SO must possess the 
knowledge, skills, and abilities necessary to protect Department 
security interests from the theft, sabotage, and other acts that may 
harm national security, the facility, its employees, or the health and 
safety of the public. The requirements for each SO to demonstrate 
proficiency in, and familiarity with, the knowledge, skills, and 
abilities and the responsibilities necessary to perform the essential 
functions of the job must be based on the JA or METL.
    (f) SPOs--(1) SPO initial training requirements. Prior to initial 
assignment to duty, in addition to meeting SO training requirements 
described above in paragraph (e)(1), each SPO must successfully 
complete the approved Department basic SPO training course. In addition 
to the basic SPO training course, SPO initial training must include 
successful completion of site-specific training objectives derived from 
a site-specific JA or METL, task areas as specified by DOE, and any 
other site specific task areas that will ensure the SPO's ability to 
perform all aspects of the assigned position under normal and emergency 
conditions without posing a direct threat to themselves or to others.
    (2) SPO maintenance training. In addition to meeting the SO 
maintenance training requirements described in paragraph (e)(2) of this 
section, each SPO must successfully complete an annual course of 
maintenance training to maintain the minimum level of competency 
required for the successful performance of essential functions and 
tasks associated with SPO job responsibilities. The type and intensity 
of training must be determined by a site-

[[Page 13225]]

specific JA or METL. Failure to achieve a minimum level of competency 
will result in the SPO being placed in a remedial training program. The 
remedial training program must be tailored to provide the SPO with 
necessary training to afford a reasonable opportunity to meet the level 
of competency required by the JA or METL within clearly established 
time frames. Failure to demonstrate competency at the completion of the 
remedial program must result in loss of SPO status.
    (3) SPO knowledge, skills and abilities. In addition to meeting the 
SO knowledge, skills and ability requirements described in paragraph 
(e)(3) of this section, the requirements for each SPO to demonstrate 
proficiency in, and familiarity with, the responsibilities identified 
in the applicable JA or METL and proficiency in the individual and 
collective knowledge, skills, and abilities necessary to perform the 
essential functions and the job tasks based on their applicable JA or 
METL.
    (g) SRT Members. In addition to satisfying the initial and 
maintenance training requirements for SPOs and meeting the SPO 
knowledge, skill, and ability requirements, SRT members must meet the 
following requirements.
    (1) SRT initial training requirements. Prior to initial assignment 
to duty, each SRT-qualified SPO must successfully complete the current 
approved SRT basic qualification course designed to provide the minimum 
level of skills, knowledge and ability needed to competently perform 
all the identified essential functions of the job and tasks associated 
with SRT job responsibilities. After completion of the SRT basic 
qualification course, the SRT-qualified SPO must participate in a site-
specific training program designed to provide the minimum level of 
skills and knowledge needed to competently perform all the identified 
essential functions of the job and tasks associated with site-specific 
SRT job responsibilities. The site-specific essential functions and 
minimum levels of competency will be based on a site-specific JA or 
METL, task areas as specified by DOE, and any other site specific task 
areas that will ensure the SRT-qualified SPO's ability to perform all 
aspects of the assigned position under normal and emergency conditions 
without posing a direct threat to himself or to others.
    (2) SRT maintenance training. After assignment to duties as a 
member of an SRT, an SRT-qualified SPO must, as a minimum, train 
semiannually in all of the areas determined necessary by a site-
specific JA or METL. Failure to achieve a minimum level of competency 
will result in the SRT-qualified SPO being placed in a remedial 
training program or removal from SRT qualification status, as 
determined by contractor management. The remedial training program must 
be tailored to provide the SRT-qualified SPO with necessary training to 
afford a reasonable opportunity to meet the level of competency 
required by the JA or METL. Failure to demonstrate competency at the 
completion of the remedial program will result in loss of SRT-
qualification status.
    (3) SRT knowledge, skills, and abilities. The requirements for each 
SRT-qualified SPO to demonstrate proficiency in, and familiarity with, 
the responsibilities identified in the applicable JA or METL and 
proficiency in the individual and collective knowledge, skills, and 
abilities necessary to perform the job tasks must include, but are not 
limited to, those identified for SPOs and based on their applicable JA 
or METL.
    (h) Specialized requirements. PF personnel who are assigned 
specialized PF responsibilities outside the scope of normal duties must 
successfully complete the appropriate basic and maintenance training, 
as required by DOE and other applicable governing regulating 
authorities (e.g., Federal Aviation Administration). This training must 
enable the individual to achieve and maintain the minimum level of 
skills, knowledge and ability needed to competently perform the tasks 
associated with the specialized job responsibilities, as well as 
maintain mandated certification, when applicable. Such personnel may 
include, but are not limited to, flight crews, instructors, armorers, 
central alarm system operators, crisis negotiators, investigators, 
canine handlers, and law enforcement specialists. The assignment of 
such specialists and scope of such duties must be based on site-
specific needs and approved by the local officially designated Federal 
security authority.
    (i) Supervisors--(1) Supervisor training requirements. Prior to 
initial assignment to duty, each PF supervisor must successfully 
complete a supervisor training program designed to provide the minimum 
level of skills, knowledge and ability needed to competently perform 
all essential functions of the job and tasks associated with 
supervisory job responsibilities. Appropriate annual refresher training 
must be provided. The essential functions and minimum levels of 
competency will be based on a site-specific JA or METL and will include 
the essential functions and task areas identified for the level of PF 
personnel to be supervised. Armed supervisors of SPOs must be trained 
and qualified as SPOs. They must meet applicable medical and physical 
readiness qualification and certification standards for assigned 
response duties.
    (2) Supervisor knowledge, skills, and abilities. Each PF supervisor 
must possess the skills necessary to effectively direct the actions of 
assigned personnel. Each supervisor must demonstrate proficiency in, 
and familiarity with, the responsibilities identified in the applicable 
JA or METL and proficiency in the skills and abilities necessary to 
perform those jobs.
    (j) PF training exercises. Exercises of various types must be 
included in the training and performance testing process for the 
purposes of achieving and maintaining skills and assessing individual, 
leader and collective competency levels. The types and frequency of 
training exercises must be determined by the training needs analysis 
conducted as part of the training program, and approved by the local 
officially designated Federal security authority. These exercises must 
be planned and conducted to provide site-specific training to the PF in 
the prevention of the successful completion of potential adversarial 
acts as specified by DOE.
    (k) Firearms qualification standards. (1) No person may be 
authorized to carry a firearm as an SPO until the responsible local 
ODFSA is assured that the individual who is to be armed with 
individually issued/primary weapons is qualified in accordance with 
firearms standards or that, in the case of post-specific crew-served 
and special weapons, a determination of proficiency and ability to 
operate the weapon safely has been made.
    (2) As a minimum, each SPO must meet the applicable firearms 
qualification or proficiency standards every 6 months. Requalification 
or proficiency demonstration must occur no later than the sixth month 
from the previous qualification. The requalification or proficiency 
demonstration may be accomplished at any time prior to or during the 
requalification month. In the case of individually assigned/primary 
weapons, if the SPO does not re-qualify during the re-qualification 
month, individual's authority to be armed and to make arrests must be 
suspended following the unsuccessful qualification attempts as provided 
in paragraph (k)(11) of this section. For post-specific and crew-served 
weapons, if the SPO does not demonstrate proficiency during the 
requalification month, the individual's

[[Page 13226]]

eligibility for assignment to posts having those post-specific or crew-
served weapons must be suspended until such time as proficiency can be 
demonstrated. If requalification occurs prior to the anniversary month, 
the month of requalification becomes the new anniversary month.
    (3) PF personnel must maintain firearms proficiency on a continuing 
basis. Therefore, an SPO may be required to demonstrate an ability to 
meet the applicable firearms qualification or proficiency standard(s) 
during a Headquarters or field audit, survey, inspection, or other 
situation directed by the local officially designated Federal security 
authority. Failure to meet the standard will be treated as if the 
individual failed the first attempt during routine semiannual 
qualification or proficiency demonstration. In this event, the 
requirements of paragraphs (k)(11) through (k)(14) of this section 
apply.
    (4) Each SPO must qualify with primary/individually-issued weapons 
required by duty assignment (to include: specialty weapons, long gun 
and/or handgun, if so armed). Qualification is the semi-annual act of 
achieving a set score while demonstrating the ability to load, operate, 
and discharge a firearm or weapon system accurately and safely (to 
include clearing the weapon at the conclusion of firing) according to a 
Departmentally-approved course of fire. At least one of the two semi-
annual qualifications must be accomplished with the same type of 
firearm or weapon system and ammunition equivalent in trajectory and 
recoil as that authorized for duty use. All qualification courses must 
be constrained by time, identify the maximum amount of available 
ammunition, and include minimum scoring percentages required to 
qualify.
    (5) For the purposes of this part, weapons system simulator means a 
device that closely simulates all major aspects of employing the 
corresponding actual firearm/weapons system, without firing live 
ammunition. The simulator should permit all weapons-handling and 
operational actions required by the actual weapon, and should allow the 
use of sight settings similar to the corresponding actual weapon with 
assigned duty loads. Additionally, when weapons or weapons system 
simulators are used for qualification testing of protective force 
officers, the operation of the simulated weapon must closely 
approximate all weapons handling and operational manipulation actions 
required by the actual weapon. The simulation system must precisely 
register on-target hits and misses with accuracy comparable to the 
actual weapon at the same shooting distances. The weight, balance, and 
sighting systems should replicate those of the corresponding actual 
weapon, and noise signatures and felt recoil should be simulated to the 
extent technically feasible. Additionally, when used for qualification 
testing of protective force officers, the weight and balance of the 
simulated weapon with assigned duty loads must be closely approximated.
    (6) SPOs assigned to posts which require the operation of site-
specific post-specific specialized or crew-served weapons must be 
trained and must demonstrate proficiency in the safe use of such 
weapons in a tactical environment. These proficiency courses must 
provide for the demonstration of skills required to support the site 
security plan. Ammunition equivalent in both trajectory and recoil to 
that used for duty must be used during an initial demonstration of 
proficiency. A weapons proficiency demonstration means a process based 
on a predetermined, objective set of criteria approved by the 
respective program office in consultation with the Office of Health, 
Safety and Security that results in a grade (e.g., pass/fail). The 
process must ensure that an individual (or team, for crew-served 
weapons) demonstrates the ability to perform all weapons-handling and 
operational manipulations necessary to load, operate, and discharge a 
weapon system accurately and safely (to include clearing/returning to 
safe mode the weapons system at the conclusion of firing), without the 
necessity for scoring targets during the course of fire. Proficiency 
courses of fire must include tactically-relevant time constraints. 
Demonstrations of proficiency are allowed with the actual weapon and 
assigned duty load, with alternate loads (e.g., frangible or dye-
marking rounds), or with authorized weapons system simulators, as 
defined in this section. Proficiency courses of fire must be tactically 
relevant.
    (7) Weapon system simulators may be used for training, 
familiarization, and semi-annual proficiency verifications (e.g., 
engaging moving vehicles and/or aircraft). Demonstrations of 
proficiency must include all weapons-handling and operational 
manipulations necessary to load, operate, and discharge a weapon system 
accurately and safely (to include clearing the weapon at the conclusion 
of firing) according to a Departmentally-approved course of 
demonstration. Weapon demonstrations of proficiency are allowed with 
the same type of firearm or weapon system and ammunition equivalent in 
trajectory and recoil as that authorized for duty use, or with firearms 
simulators that have the features and capabilities as described in 
paragraph (k)(5) of this section.
    (8) Each SPO must be given a safety presentation on the basic 
principles of weapons safety prior to any range activity. This does not 
require that a weapons safety presentation be given for each course of 
fire, but does require that prior to the start of range training or 
qualification for a given period (e.g., initial qualification, 
semiannual qualification, training, familiarization, proficiency 
testing, or range practice) each SPO must be given a range safety 
presentation.
    (9) Standardized Departmentally-approved firearm/weapon 
qualification courses must be used for qualification. Site-specific 
conditions and deployment of specialized firearms/weapons may justify 
requirements for developing and implementing supplementary special 
training and proficiency courses. Proficiency courses or demonstrations 
must be constrained by time limits. Where standardized Department 
firearms/weapons courses do not exist for a weapons system that is 
required to address site-specific concerns, both daylight and reduced 
lighting site-specific qualification or proficiency courses (as 
applicable) must be developed. After approval by the local officially 
designated Federal security authority, the developed courses will be 
submitted to the respective program office for review and approval.
    (10) When qualification is prescribed, SPOs must be allowed two 
attempts to qualify with assigned firearms/weapons semiannually. A 
designated firearms instructor or other person in charge of the range 
will ensure the shooter understands that the attempt will be for 
qualification. Once this has been communicated by the firearms 
instructor or person in charge, the attempt will constitute an attempt 
to qualify or demonstrate proficiency. The SPO must qualify or 
demonstrate proficiency during one of these attempts.
    (11) Upon suspension of an SPO's authority to carry firearms, the 
SPO must enter a standardized, remedial firearms/weapons training 
program developed by the respective site PF contractor firearms 
training staff. The remedial training program will be a combination of 
basic weapon manipulation skills, firearms safety, and an additional 
segment of time tailored to provide the SPO with the necessary 
individual training to afford a reasonable opportunity to meet the 
firearms/weapons qualification or proficiency standards.
    (12) When qualification is required following the completion of the

[[Page 13227]]

remedial training course, any SPO who fails to qualify after two 
subsequent attempts must lose SPO status and the authority to carry 
firearms/weapons and to make arrests. When weapons-specific safety or 
proficiency cannot be demonstrated, the SPO must not be assigned to 
posts that require the operation of that weapon until such safety or 
proficiency standards can be met.
    (13) Any SPO who requires remedial training on three consecutive 
semiannual qualification periods with the same type of firearm/weapon 
(caliber, make, and model, but not necessarily the exact same weapon) 
must be suspended from duties that require the issuance of that weapon. 
If the weapon is considered a primary duty weapon, e.g., rifle or 
handgun, the contractor may, at its discretion, permanently remove that 
individual from SPO status based on recurring inability to maintain 
qualification status. Three consecutive recurrent remediations on 
specialty weapons shall result in permanent removal from duties that 
require those specific weapons. The contractor may consider reinstating 
an individual permanently removed from SPO status if the individual can 
demonstrate the ability to pass the current Department qualification 
course for that firearm with written validation from a certified 
firearms instructor. All such training and validation expenses are 
solely the responsibility of the SPO. If such an individual is 
reinstated, the contractor must provide all other training for 
returning protective force members according to the requirements of 
this part and as otherwise specified by DOE.
    (14) An appropriate Department record must be maintained for each 
SPO who qualifies or who attempts to qualify or to demonstrate 
proficiency. Records will be retained for one year after separation of 
a PF member from SPO duties, unless a longer retention period is 
specified by other requirements. A supervisor or a training officer 
will be designated, in writing, as the individual authorized to certify 
the validity of the scores.


Sec.  1046.18  Access authorization.

    PF personnel must have the access authorization for the highest 
level of classified matter to which they have access or SNM which they 
protect. The specific level of access authorization required for each 
duty assignment must be determined by the site security organization 
and approved by the local officially designated Federal security 
authority. At sites where access authorizations are not required, SPOs 
must have at least a background investigation based upon a national 
agency check with local agency and credit check (NACLC), with maximum 
duration between reinvestigations not to exceed 10 years. This 
background investigation must be favorably adjudicated by the 
applicable Departmental field element. Those SPOs who have access to 
Category I or Category II quantities of SNM with credible roll-up 
potential to Category I must have and maintain a DOE ``Q'' access 
authorization.


Sec.  1046.19  Medical and fitness for duty status reporting 
requirements.

    (a) SPOs and SOs must report immediately to their supervisor that 
they have a known or suspected change in health status that might 
impair their capacity for duty. To protect their medical 
confidentiality, they are required only to identify that they need to 
see the Designated Physician. SOs and SPOs must provide to the 
Designated Physician detailed information on any known or suspected 
change in health status that might impair their capacity for duty or 
the safe and effective performance of assigned duties.
    (b) SPOs and SOs must report to their supervisor and the Designated 
Physician for a determination of fitness for duty when prescription 
medication is started or a dosage is changed, to ensure that such 
medication or change in dosage does not alter the individual's ability 
to perform any of the essential functions of the job. SPOs and SOs must 
report to their supervisor and the Designated Physician for a 
determination of fitness for duty within 24 hours, and prior to 
assuming duty, after any medication capable of affecting the mind, 
emotions, and behavior is started, to ensure that such medication does 
not alter the individual's ability to perform any of the essential 
functions of the job. Where a written reasonable accommodation 
determination already has been made, any additional change to an SO's 
or SPO's health status affecting that accommodation must be reported to 
their supervisor and the Designated Physician for a determination of 
fitness for duty.
    (c) Supervisory personnel must document and report to the 
Designated Physician any observed physical, behavioral, or health 
changes or deterioration in work performance in SPOs and SOs under 
their supervision.
    (d)(1) PF management must inform the Designated Physician of all 
anticipated job transfers or recategorizations including:
    (i) From SO to FPRS, BRS, ARS, or SRT Member;
    (ii) From FPRS, to BRS, ARS or SRT Member;
    (iii) From BRS to ARS to SRT Member;
    (iv) From ARS to SRT Member;
    (v) From SRT Member to ARS, BRS, FPRS or SO;
    (vi) From ARS to BRS, FPRS, or SO;
    (vii) From BRS to FPRS or SO;
    (viii) From FPRS to SO; and
    (ix) From PF to other assignments.
    (2) For downward re-categorizations in paragraphs (d)(1)(v) through 
(ix) of this section, the anticipated transfer notification must 
include appropriate additional information such as the apparent 
inability of the employee to perform essential functions, meet physical 
readiness standards, or to serve without posing a direct threat to self 
or others.
    (e) The Designated Physician must notify the PPMD to ensure 
appropriate medical review can be made regarding any recommended or 
required changes to the PF member's status.


Sec.  1046.20  Medical records maintenance requirements.

    (a) The Designated Physician must maintain all medical information 
for each employee or applicant as a confidential medical record, with 
the exception of the psychological record. The psychological record is 
part of the medical record but must be stored separately, in a secure 
location in the custody of the evaluating psychologist. These records 
must be kept in accordance with DOE Privacy Act System of Records 33--
Personnel Medical Records.
    (b) Nothing in this part is intended to preclude access to these 
records according to the requirements of other parts of this or other 
titles. Medical records maintained under this section may not be 
released except as permitted or required by law.
    (c) Medical records will be retained according to Paragraph 21.1, 
Department of Energy, Administrative Records Schedule 1: Personnel 
Records, September 2010, Revision 3 (http://energy.gov/sites/prod/files/cioprod/documents/ADM_1%281%29.pdf).
    (d) When an individual has been examined by a Designated Physician, 
all available history and test results must be maintained by the 
Designated Physician under the supervision of the PPMD in the medical 
record, regardless of whether:
    (1) The individual completes the examination;
    (2) It is determined that the individual cannot engage in physical 
training or

[[Page 13228]]

testing and cannot perform the essential functions of the job; or
    (3) It is determined that the individual poses a direct threat to 
self or others.
    (e) The Designated Physician will provide written work restrictions 
to the affected SPO/SO and PF management. PF management must approve 
and implement site-specific plans to ensure confidentiality of PF 
medical information. This plan must permit access to only those with a 
need to know the information and must identify those individuals by 
organizational position or responsibility. The plan must adhere to all 
applicable laws and regulations, including but not limited to the 
Health Insurance Portability and Accountability Act of 1996 (HIPAA), 
the Family and Medical Leave Act of 1993 (FMLA), and the ADA, as 
amended by the ADAAA.


Sec.  1046.21  Materials incorporated by reference.

    (a) General. DOE incorporates by reference the following standards 
into part 1046. The material has been approved for incorporation by 
reference by the Director of the Federal Register in accordance with 5 
U.S.C. 552a and 1 CFR part 51. Any subsequent amendment to a standard 
by the standard-setting organization will not affect the DOE 
regulations unless and until amended by DOE. Material will be 
incorporated as it exists on the date of the approval and a notice of 
any change to the material will be published in the Federal Register. 
All approved material will be available for inspection at the National 
Archives and Records Administration (NARA). For information on the 
availability of this material at NARA, call 202-741-6030, or go to 
http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html. Also, this material will be available 
for inspection at U.S. Department of Energy, Office of Health, Safety 
and Security, 1000 Independence Ave. SW., Washington, DC 20585. 
Standards can be obtained from the sources below.
    (b) ANSI. American National Standards Institute, 25 W. 43rd St., 
4th Floor, New York, NY 10036, 212-642-4900, or go to http://www.ansi.org.
    (1) ANSI/ASA S3.6-2010 (``ANSI S3.6''), American National Standard 
Specification for Audiometers, approved 2010; IBR approved for Sec.  
1046.13.
    (2) [Reserved].

[FR Doc. 2012-5280 Filed 3-5-12; 8:45 am]
BILLING CODE 6450-01-P