[Federal Register Volume 78, Number 175 (Tuesday, September 10, 2013)]
[Rules and Regulations]
[Pages 55174-55202]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2013-22022]


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DEPARTMENT OF ENERGY

10 CFR Part 1046

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


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

AGENCY: Department of Energy.

ACTION: Final rule.

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SUMMARY: The Department of Energy (DOE or Department) is amending its 
regulations 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.
    Since the publication of the existing regulations in 1984, and 
particularly since 9/11, the DOE has totally transformed its approach 
to dealing with a much-evolved terrorist threat. This transformation 
has been informed by repeated analysis and testing since 9/11. The 
primary changes are: a move to more sophisticated weapons and detection 
and targeting systems, an increased reliance on hardened positions and 
armored response vehicles, and increased use of barriers to channel 
adversaries. The result is a defensive strategy designed to take full 
advantage of the fact that the terrorist must fight through the 
protective force to reach our SNM and other targets. This contrasts 
directly with the posture in the 1980s and 1990s. Today we expect the 
terrorist to fight his way through a pre-positioned, layered defense, 
which places a premium on operating sophisticated weapons and detection 
and tracking systems. The proposed revisions bring DOE protective force 
firearms qualification, training, medical and physical readiness 
requirements in line with these tactical and organizational priorities 
of 2013. It removes barriers to maintaining the desired experience 
levels of our protective forces while maintaining established 
qualification standards.
    The revised regulations: emphasize firearms training and 
proficiency testing that reflect current military practice and 
simulations technology, maximizing training time and decreasing cost; 
implements the Mission Essential Task List (METL) training framework 
adapted from the military, which allows for more effective use of 
training resources by aligning them with validated mission performance 
priorities, eliminate medical disqualifications for conditions which 
have become completely treatable since the 1980s, refines a physical 
readiness testing regimen that currently diverts time and training 
emphasis from tasks more directly supportive of mission success; and 
above all, encourage protective force personnel to stay sharp and 
mission-focused. 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 revisions bring DOE PF 
medical and physical readiness requirements in line with these tactical 
and organizational priorities. The revisions reduce the exposure of the 
PF population to injuries related to physical readiness testing. The 
revisions further ensure that PF personnel are 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 revisions further 
ensure that reasonable accommodations are considered before a 
determination is made that an individual cannot perform the essential 
functions of a particular position. The rule also provides for new 
medical review processes for PF personnel disqualified from medical 
certification. The rule ensures that DOE PF medical and physical 
readiness requirements are compliant with the Americans with 
Disabilities Act (ADA) of 1990, as amended by the Americans with 
Disabilities Act Amendments 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. 
Finally, the revision updates the regulation to reflect organizational 
changes in the Office of Health, Safety and Security and the creation 
of the National Nuclear Security Administration (NNSA) as a semi-
autonomous agency within the Department of Energy.

DATES: This rule is effective March 10, 2014. Compliance with the 
provisions of this rule is required March 10, 2014 consistent with the 
conditions set forth in Sec.  1046.2(e).

ADDRESSES: Docket: For access to the docket to read background 
documents, comments received or transcript of the public hearing, 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; [email protected].

SUPPLEMENTARY INFORMATION:

I. Background
II. Section by Section Analysis Including the Disposition of Public 
Comments
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
    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
    J. Review under Section 32 of the Federal Energy Administration 
Act of 1974
    K. Congressional Notification
IV. Approval of the Office of the Secretary

I. Background

    Pursuant to the Atomic Energy Act of 1954, as amended (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

[[Page 55175]]

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 proposed modifications to 10 CFR part 1046 on March 6, 2012 (77 
FR 13206). DOE proposed these modifications 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 for 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. DOE set forth in the proposal 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.
    After considering comments on the proposed rule, DOE issues today's 
final rule to amend the physical readiness requirements at 10 CFR part 
1046. The modifications are described below in the Section by Section 
Analysis in section II.

II. Section by Section Analysis Including the Disposition of Public 
Comments

    The heading for this part has been revised to be Medical, Physical 
Readiness, Training, and Access Authorization Standards for Protective 
Force Personnel. The revision more accurately reflects the contents of 
the regulation. Note that references to other DOE processes and 
procedures are intended to recognize the existence of these processes 
and procedures rather than to incorporate them into these regulations.

Subpart A--General

    1. Changes to Sec.  1046.1, Purpose. DOE revised the language of 
this section for clarity, but did not change it substantively.
    No comments were received during the public comment period on this 
section. DOE did not make any changes to the text of this section as 
set out in the proposed rule. (77 FR 13206, Mar. 6, 2012)
    2. Changes to Sec.  1046.2, Scope. DOE revised the text for 
clarity, but did 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, reports, and testing, and to facilitate the 
appropriate sharing of medical information related to PF personnel.
    Commenters expressed concern that the rule could require 
duplicative reporting. DOE modified the language in section 1046.2 to 
clarify that duplicative reporting is not required for this part as 
long as all required elements for this part are included in a 
comprehensive report.
    Commenters also requested further clarification on the compliance 
date for these amended regulations. DOE modified the language by adding 
1046.2(e) to clarify that compliance with the provisions of these 
regulations is required by March 10, 2014. DOE also provides for 
requests for extension of the compliance date if contractual conflicts 
or resource issues may prevent compliance by this date.
    The National Nuclear Security Administration added the following 
text during the final period of internal Departmental concurrence and 
approval. ``Nothing in this part shall prohibit NNSA from enhancing the 
requirements set forth in 1046.16, SPO Physical Readiness Qualification 
Standards and Procedures, as necessary to further the interests of 
national security.''
    3. Changes for Sec.  1046.3, Definitions, added the following.
    The terms ``direct threat'' and ``essential functions of the job'' 
have been defined consistent with the definitions of these terms in the 
ADAAA.
    The terms ``defensive combative standard'' and ``offensive 
combative standard'' have been replaced with ``basic readiness 
standard'' (BRS) and ``advanced readiness standard'' (ARS) 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'' have been replaced 
with ``security officer (SO)'' and ``security police officer (SPO)'' 
respectively to conform to current usage for the names of these 
positions. The term ``PF personnel'' has also been added to encompass 
SOs, SPOs and special response team (SRT)-qualified personnel.
    The term ``Designated Physician'' and its definition have been 
updated.
    The term ``field organization'' has been replaced with ``field 
element'' to conform to current usage.
    The term ``applicant'' as pertains to PF personnel has been added 
as a result of the use of this term in Sec.  1046.2 and Sec.  1046.13.
    The term ``corrective device'' as pertains to reasonable 
accommodation has been added as a result of the use of this term in 
Sec.  1046.13.
    The term ``emergency conditions'' as an aspect of PF personnel 
performance requirements has been added due to the use of this term in 
Sec.  1046.17.
    The terms ``medical certification'' and ``medical certification 
disqualification'' have been added as a result of the use of these 
terms in Sec.  1046.13, 1046.14, and 1046.15.
    The term ``medical examination'' is added and its related 
requirements are described in Sec.  1046.13.
    The terms ``Chief Medical Officer'' and ``Physical Protection 
Medical Director'' (PPMD) have been added to Sec.  1046.3 and related 
requirements are described in the new Sec.  1046.4.
    The term ``semi-structured interview'' associated with examining PF 
personnel

[[Page 55176]]

has been added to Sec.  1046.3 and related provisions provided in Sec.  
1046.13.
    The terms ``Independent review'' and ``Final review'' have been 
added to Sec.  1046.3 and the process associated with medical 
certification has also been added to Sec.  1046.15 in this update of 
the regulations.
    The term ``medical condition'' is outdated and therefore no longer 
used in the regulations.
    Several comments expressed concern regarding a site's authority to 
add site-specific measures of physical readiness. Therefore, the 
definitions for ``Advanced Readiness Standard,'' ``Basic Readiness 
Standard,'' and ``Fixed Post Readiness Standard'' were modified to 
emphasize that such additional tests are required to be applicable 
measures of site-specific essential functions.
    Commenters also requested clarification in the definition of 
``corrective device'' to specify who has authority to make the 
determination of reasonable accommodation. The revised definition 
clarifies that the front-line supervisor does not have the authority to 
determine whether a reasonable accommodation is appropriate. Instead, 
the contractor makes the determination that the use of the device is 
compatible with all actions associated with emergency and protective 
equipment without creating a hardship for the contractor. The 
Designated Physician and PPMD must determine that the reasonable 
accommodation is consistent with the medical certification standards 
without creating a direct threat to the individual or to others. 
Additionally, the definition of ``reasonable accommodation'' was 
revised to emphasize the link to the ADAAA.
    Commenters also requested that DOE include a definition of the term 
``work hardening.'' This term is used in section 1046.16. In response, 
DOE defines ``work hardening'' in this final rule as that term is used 
by the Department of Labor.
    4. Changes for Sec.  1046.4, renamed Physical Protection Medical 
Director, include addressing the PPMD.
    DOE deleted the previous Sec.  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 
Sec.  1046.4 establishes the required qualifications of the PPMD, and 
outlines the responsibilities of the PPMD to oversee site physical 
protection medical activities, to nominate individuals for the position 
of Designated Physician, and to evaluate the performance of these 
individuals. The qualifications for Designated Physicians, which are 
required for nomination, are also established in this section. This 
section also enhances DOE oversight of the PPMD and Designated 
Physicians at DOE facilities. The current ``NNSA organization 
responsible for occupational health and safety'' referenced in this 
section is NNSA's Office of Safety and Health, though this designation 
is subject to any reorganizational changes within NNSA.
    One comment was received requesting specificity of required 
reporting requirements under this section. DOE intends to provide 
additional specificity in the appropriate DOE Order, DOE Order 473.3, 
Protection Program Operations. As a result, no change was made to the 
text in this section.
    A suggestion was made to allow accreditation for physicians covered 
under this part to be provided by the Accreditation Association for 
Ambulatory Health Care. The DOE has not incorporated this suggestion 
because this accreditation is voluntary, and the opportunity to 
participate is provided only every two years. This could mean that a 
physician could be hired and work for two years prior to accreditation 
review.
    Another suggestion was to verify information about physicians by 
using state licensing agencies. The DOE has not adopted this suggestion 
because applicable requirements for history of acceptable performance 
and/or conduct vary from state to state.
    Commenters requested clarification on whether a site could have 
more than one PPMD. In response, DOE clarifies that there is to be only 
one PPMD per site. DOE also included additional language to emphasize 
the Department's intent that the PPMD is to provide oversight of all 
associated Designated Physicians who provide protective force related 
services pursuant to this part.
    Commenters also requested clarification regarding the certification 
process associated with nomination and approval of PPMDs. DOE included 
a specific requirement that nominees provide documentation of their 
standing with licensing and specialty boards. As the oversight 
authority for Designated Physicians, the PPMD is responsible for 
nominating Designated Physicians, so similar language clarifying the 
Designated Physicians' nomination process was also provided in this 
section (and referenced in Sec.  1046.5).
    Commenters also questioned whether the PPMD could fulfill multiple 
roles at a particular site. The regulation allows for the PPMD to 
fulfill multiple roles at a particular site, but DOE provides 
clarification to ensure the Office of Health, Safety and Security is 
notified if a PPMD is fulfilling multiple roles (e.g., is also the 
Designated Physician for this part and/or is fulfilling a role under 
another part, e.g., 712 or 851).
    Commenters requested clarification on whether the PPMD is required 
to review the current credentials of the Designated Physician(s) and 
recommend either retention or replacement to the employer. DOE 
clarified in section 1046.4(e), Annual Activity Report, that the PPMD 
is required to perform these functions. In addition, the employer is 
required to report any changes to the Office of Health, Safety and 
Security.
    5. Changes for Sec.  1046.5 Designated Physician.
    This new section establishes the roles and responsibilities for the 
position of Designated Physician. Among other duties, the Designated 
Physician is responsible for the medical examination of SOs and SPOs 
and determines whether portions of each certification examination could 
be performed by other qualified personnel. As in section 1046.4, the 
current ``NNSA organization responsible for occupational health and 
safety'' referenced in this section is NNSA's Office of Safety and 
Health, though this designation is subject to any reorganizational 
changes within NNSA.
    Several commenters requested clarification that the Designated 
Physician would be responsible for the supervision of physician 
extenders, e.g., physician assistants, certified occupational health 
nurses, or nurse practitioners. DOE has included language making it 
clear that Designated Physicians are responsible for the supervision of 
physician extenders, as required by state and local law.
    Commenters also requested clarification regarding the certification 
process associated with nomination and approval of Designated 
Physicians as required in Sec.  1046.4. In response, DOE added 
clarifying language that the requirements of section 1046.4(b) must be 
satisfied when a PPMD nominates a Designated Physician.
    Commenters also questioned whether the Designated Physician could 
fulfill multiple roles (e.g., also the Designated Physician for this 
part and/or is fulfilling a role under another part, e.g., 712 or 851). 
In response, DOE clarifies that the Designated Physician may fulfill 
more than one role and requires that the Office of Health, Safety and 
Security must be notified in such circumstances.
    A commenter questioned why the Designated Physician is not required 
to self-report adverse actions taken by state medical licensing 
entities, being named

[[Page 55177]]

as a defendant in criminal proceedings or other events detailed in 
1046.4, in the same way the PPMD is required to self-report such 
events. As a result, DOE added language requiring Designated Physicians 
to self-report when an event set forth in Sec.  1046.4 takes place. 
This change now ensures programmatic consistency.

Subpart B--PF Personnel

    1. Changes for Sec.  1046.11 Essential functions of PF personnel.
    This new section establishes the essential functions for SOs, SPOs 
and SRT-qualified PF personnel. Specific requirements for FPRS, BRS, 
and ARS SPO personnel are established.
    Commenters stated that the expression ``in conditions of darkness'' 
in 1046.11(e)(1) was unclear. As a result, DOE revised the language 
associated with essential functions of BRS personnel to require BRS 
SPOs to be able to read placards and street signs while driving or to 
see and respond to imminently hazardous situations, including during 
low light conditions.
    Additionally, DOE made editorial changes to this section for 
clarity.
    2. Changes for Sec.  1046.12 Medical, physical readiness, and 
training requirements for PF personnel.
    This section establishes the medical certification requirements for 
PF personnel to support their meeting the physical readiness 
qualification requirements in Sec.  1046.16; to have the required 
knowledge, skills and abilities; and to meet the requirements of a 
physical training program as identified in Sec.  1046.16.
    No comments were received expressing concern with the substance of 
this section. DOE made minor editorial changes for greater clarity in 
this section.
    3. Changes for Sec.  1046.13 Medical certification standards and 
procedures.
    This section updates language in the existing Appendix A to Subpart 
B and requires all applicant and incumbent PF personnel to satisfy the 
applicable medical certification standards; establishes the medical 
standards for SOs and SPOs; and establishes that Field Elements may 
develop more stringent medical qualification requirements or additional 
medical or physical tests, in consultation with the PPMD, where special 
assignment duties may require such additional testing.
    The required frequency of medical certification remains unchanged. 
Incumbent SOs will be reexamined by the Designated Physician every two 
years (24 months) after beginning work. Incumbent SPOs will be 
reexamined by the Designated Physician every 12 months. The 
recertification requirement for both SOs and SPOs has been clarified to 
require recertification within thirty days of the 24-month or 12-month 
anniversary, respectively, of the previous qualification. In addition, 
this section establishes a requirement 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 changes in 
this section also will allow the Designated Physician to require any 
other medical examination, test, consultation or evaluation he/she 
deems necessary.
    To comply with the ADA, as amended by the ADAAA, DOE made several 
changes to this section. The ADA, as amended by the ADAAA, 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 would 
create an undue hardship for the employer. Language has been added to 
paragraph (a) referring to ``essential functions'' as set forth in 
Sec.  1046.11 and ``direct threat.'' The section also requires, 
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 changes in Sec.  1046.13, 
the reference to waivers of medical qualification standards has been 
deleted from the existing Sec.  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 that a health status 
exit review be offered to 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) establishes that a determination regarding 
the compatibility of such devices with emergency and protective 
equipment be made by the contractor, with determination by the 
Designated Physician that the accommodation is consistent with the 
medical standard without creating a direct threat to the individual or 
to others. Paragraph (g)(4) requires 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, and 
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.
    A commenter challenged the Department's reliance on 
electrocardiogram and stress electrocardiogram tests and suggested that 
the Computed Tomography Angiogram would be a better suited tool. DOE 
determined, however, that Computed Tomography Angiogram technology 
looks at the heart only while it is not under stress, and that given 
the nature of the essential functions set forth in section 1046.11, the 
medical certification of PF personnel should include information about 
the heart while it is under stress. Additionally, the studies which 
support use of the commenter's proposed technology were based upon 
looking at individuals with preexisting conditions, which is not 
necessarily representative of the DOE PF population. Therefore, the 
Department did not adopt this suggested change.
    A comment suggested using the medical standards for commercial 
driver's licensure (CDL) for medical certification under this part. The 
Department determined, however, that the CDL standards do not 
adequately address the unique protective force mission within the DOE 
because the CDL standards address only one small element (driving) of 
the PF mission of: Normal duties, emergency response during all 
lighting and weather conditions, and the physical and mental readiness 
to employ deadly force if necessary. Therefore, DOE did not adopt this 
suggested change.
    Several commenters indicated that strengthening the language 
associated with reasonable accommodation pursuant to the ADAAA was 
needed based upon unnecessary work restrictions being placed on PF 
members. In response to these comments, DOE added a statement in this 
section requiring reasonable

[[Page 55178]]

accommodation to be made pursuant to ADAAA requirements.
    Commenters also expressed lack of understanding regarding the 
hearing standards and the reasons for having an identified decibel loss 
limit as measured between ears. In response to these comments, DOE 
provided clarification regarding the hearing standard of a maximum 
difference of 15db between ears which is associated with the ability to 
localize sounds. This ability to localize sounds is viewed by DOE as a 
critically important capability for emergency responders. It is an 
appropriate measure of capability, because of the need to locate the 
source of sounds as part of timely and effective resolutions of 
emergency situations.
    Commenters also requested clarification regarding evaluations of 
cardio respiratory function. In response to these comments, DOE added 
``with an established index of suspicion'' when referring to a past 
history of sleep apnea to clarify when review and approval of the PPMD 
is required. DOE also replaced ``continuous or continual'' with 
``ongoing'' regarding use of medications to support cardio respiratory 
function. DOE made the revision for clarity; no change in meaning is 
intended. Also in response to these comments, DOE clarified that 
appropriate evaluation by the Designated Physician of the 
cardiovascular system includes consideration of the results of the two 
semiannual assessments of the SPO's physical readiness as required in 
section 1046.16. DOE also clarified that the Framingham Point System 
can be used to determine evidence of cardiovascular abnormality or 
significantly increased risk for coronary artery disease. This system 
is a recognized method for making such determinations.
    Commenters also objected to required use of tuning forks to 
evaluate peripheral neuropathy. In response to these comments, DOE 
removed specificity regarding the method of evaluation for peripheral 
neuropathy to provide future flexibility in testing methods.
    Commenters also expressed concern that sites could establish 
unreasonable physical readiness testing requirements. DOE determined 
that it was necessary to allow sites to establish additional medical 
standards when site-specific essential functions are established. As a 
result of these comments, DOE added language linking any site-specific 
testing to ability to perform essential protective force functions.
    Commenters also requested clarification regarding the intended and 
authorized durations of qualification and testing periods. As a result 
of these comments, DOE modified text in this section and throughout the 
document to better identify the windows when qualification or testing 
has to be completed.
    Commenters also requested clarification requiring the mandatory 
exit health reviews. They wanted to know if the review was mandatory or 
voluntary, what actions needed to be taken if one was refused, and if 
duplicative reviews were intended to be required. As a result of these 
comments, DOE clarified the requirement for contractors to offer exit 
health reviews to protective force members. DOE noted that this review 
could be conducted in conjunction with the requirements of other DOE 
regulations but must include all of the medical standards for the PF 
position being vacated, to avoid the need for duplicative reviews. The 
fact that a PF member declines an exit health review must be 
documented.
    In response to comments requesting clarification on whether the 
first-line supervisor has the ability to determine whether a corrective 
device is a reasonable accommodation, and for consistency with the 
change to the definition of ``corrective device'' in 1046.3, DOE 
clarifies in 1046.13(g)(3) that the front-line supervisor does not have 
the authority to determine whether a reasonable accommodation is 
compatible with all required actions associated with emergency and 
protective equipment. Instead, the contractor makes the determination 
that the use of the device is compatible with all actions associated 
with emergency and protective equipment without creating a hardship for 
the contractor. The Designated Physician and PPMD must determine that 
the reasonable accommodation is consistent with the medical standard 
without creating a direct threat to the individual or to others. DOE 
made editorial changes in other sections of the rule to clarify this 
intent.
    4. Changes to Sec.  1046.14 Medical certification disqualification.
    This new section establishes 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 protection 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. 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.
    Several commenters indicated that greater specificity should be 
provided regarding which physical readiness activities are covered from 
the perspective of providing for medical removal protection benefits if 
an SPO is injured. Therefore text, in this section and throughout the 
document, has been revised to reflect that only those activities 
identified under the provisions of this part and those which have been 
specified by the site as being covered by medical removal protection 
benefits are covered. Covered activities must also be associated with 
training for or attempting to meet a physical readiness standard 
qualification, or training for security and emergency response (e.g., 
participating in force-on-force exercises for training, inspection, or 
validation purposes).
    Commenters also asked whether the contractor is mandated to provide 
alternative duties for temporary removal from duties associated with a 
physical readiness standard. Text was modified to clarify DOE's intent 
that the employer is not obligated to create a new position for an 
employee who qualifies for medical removal protection. However, the 
employer may assign temporary alternative duties or place the 
individual on administrative leave. The employer may not remove the 
employee from active payroll (e.g., in lieu of removing the employee 
from the payroll an alternative would be to place the employee on 
administrative leave) unless available alternative duties for which the 
worker is qualified are refused or performed unsatisfactorily.
    Commenters raised additional questions regarding the intent behind 
maintenance of pay and benefits during periods of removal. In response, 
DOE added language to 1046.14(b)(1) to indicate that site-specific 
worker rights and benefits are to be maintained for up to the maximum 
of one year. This new language reiterates the one-year limitation 
stated in section 1046.14(b) in the proposed rule (77 FR 13206, Mar. 6, 
2012).
    Commenters questioned to what extent the PPMD was responsible for 
discussing medical removal provisions.

[[Page 55179]]

In response, DOE modified text at 1046.14(b)(3)(ii) to clarify that the 
PPMD is responsible for discussing with the SPO only the medically-
related issues associated with medical removal provisions.
    Commenters raised questions regarding the limits of medical removal 
benefits as expressed in the rule. DOE modified the text in section 
1046.4(c)(3) to clarify that pay benefits provided by medical removal 
must be reduced in like amount by those funds received from any other 
benefit sources, to include workers' compensation programs and those 
negotiated through collective bargaining agreements. This new language 
reiterates the limitation stated in section 1046.14(c)(3) in the 
proposed rule (77 FR 13206, Mar. 6, 2012).
    Commenters also raised questions regarding whether it was the 
intent for employers to be responsible for providing payments for 
related medical treatments. DOE added clarifying language to 
1046.14(c)(2) to indicate that any such payments are excluded from the 
provisions of this part.
    5. Changes to Sec.  1046.15 Review of medical certification 
disqualification.
    This new section permits an individual denied medical certification 
for employment in a particular position to request in writing that the 
DOE Office of Health, Safety, and Security conduct an Independent 
Review of the individual's case. If the Independent Review of an 
individual's case results in an unfavorable decision, the individual 
may petition the DOE Office of Hearings and Appeals for a Final Review. 
Procedures for the review process are described in detail in this 
section.
    Commenters expressed concern about the role of the independent 
review process. As a result of these concerns, DOE added language to 
clarify that even if an independent review were to result in the 
reinstatement of an SPO, subsequent annual medical and physical 
readiness standards still must be met.
    DOE also made several editorial changes to this section for 
clarity.
    6. Changes to Sec.  1046.16 SPO physical readiness qualification 
program requirements.
    This section establishes the program requirements (FPRS, BRS, and 
ARS) for individual SPO fitness assessments, physical readiness 
maintenance, remedial physical fitness training, and safety. The FPRS 
level has been added. Qualification for the FPRS level must be 
physically demonstrated every year by all SPOs, but it does not include 
a running standard. Having the Designated Physician make a 
determination of reasonable expectation regarding an SPO's ability to 
meet a given standard will 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 will be 
retained for the BRS and ARS levels, the number of officers annually 
required to demonstrate that readiness is reduced. Greater reliance 
will be placed on evaluation to determine physical readiness of BRS and 
ARS SPOs. In addition to the evaluation process, which is analogous to 
that used as the physical readiness evaluation by law enforcement 
agencies, the DOE evaluation program will be validated by testing of 
randomly selected BRS and ARS SPOs.
    Several commenters requested that DOE change the running 
requirements associated with physical readiness standards for BRS and 
ARS SPOs. DOE has determined that it is necessary to maintain the 
running requirements associated with the physical readiness standards 
for BRS and ARS SPOs in today's final rule. Demonstrating the ability 
to rise from a prone position and run the specified distance within a 
certain time frame is still needed to ascertain the physical readiness 
of these PF personnel. DOE continues to welcome information on existing 
physical readiness standards in use by another agency or standards that 
DOE could develop as requirements for BRS and ARS SPOs.
    A commenter suggested that it would be more cost effective and 
better for the environment to ensure SPOs are provided access to their 
physical readiness standards and this regulation rather than to require 
each SPO have a copy of the information. DOE edited the text to support 
this approach because SPOs will still be able to access the 
requirements of the regulation, and a paper copy is not necessary.
    Second, as identified earlier, several commenters asked for 
clarification regarding the window of opportunity available for 
conducting annual physicals and physical readiness evaluations. Text 
was modified to allow these activities to be conducted within a window 
starting 30 days prior to and extending 30 days beyond the SPO's 
anniversary date to allow necessary flexibility for scheduling the 
physicals and evaluations.
    Commenters expressed concern that selecting a sample of SPOs to run 
each year instead of requiring 100 percent of the SPOs to physically 
demonstrate running standards might result in a tendency for some SPOs 
to neglect maintaining their physical readiness. DOE added language to 
emphasize the requirement that SPOs are required to maintain their 
ability to meet the physical readiness standard on a year round basis.
    Commenters questioned the need for PPMDs to approve physical 
readiness training and maintenance programs. In response to these 
comments, DOE believes that while PPMD approval of physical readiness 
training and maintenance programs is not required, the PPMD should 
ensure such programs are consistent with associated medical standards. 
Therefore, DOE modified the text to require that the PPMD be consulted 
regarding site physical readiness training and maintenance programs 
instead of approving those programs.
    Commenters asked whether all training associated with this part has 
to be accomplished on site. In response to these comments, DOE added 
language clarifying that training can be conducted off-site.
    Commenters asked about the timing and content of the required 
semiannual assessments of SPOs. In response, DOE modified language to 
require that the assessment be conducted semiannually instead of every 
six months. This modification is intended to provide sites greater 
scheduling flexibility. DOE also added the requirement that aerobic 
capacity be assessed against standard values as a part of the 
assessment. While other assessment values may be used, metabolic 
equivalents (METS) levels (which would be positive indicators of 
reasonable expectancy for meeting the BRS and ARS physical readiness 
categories) were provided. It is the Department's intent that these 
assessments provide feedback to the individual SPOs. The assessments 
are not to be viewed as a qualification. Additionally, the assessments 
are not required to include any running. The assessments are meant to 
provide an indication that either the SPO's physical condition is 
commensurate with being able to meet the required physical readiness 
standard, or that the SPO needs to take corrective action in order to 
have a reasonable expectation of being able to demonstrate the 
applicable standard.
    Commenters also expressed concern that the rule seemed to allow an 
SPO who failed to meet a physical readiness standard to remain armed 
for some additional period of time. As a result of these concerns, DOE 
revised language in several places to provide clarity. When an SPO is 
called upon to demonstrate the ability to meet a physical readiness

[[Page 55180]]

standard and fails to do so, the regulations require the SPO to be 
removed from duties associated with that physical readiness standard. 
This removal will remain in place until the SPO satisfactorily 
demonstrates the ability to meet the standard. These changes are 
intended to make it clear that whenever and for whatever reason an SPO 
fails to physically demonstrate the required physical readiness 
standard, the SPO must be removed from duties which require the ability 
to meet that standard.
    Commenters indicated that additional clarity was needed for several 
elements associated with meeting the requirements for the fixed post 
readiness standard. In response, DOE modified language regarding the 
fixed post readiness standard. All SPOs, whether FPRS, BRS, or ARS, 
must physically demonstrate the FPRS every year (and additionally, if 
called upon to do so during surveys and inspections). Additional 
language was added to require that while a standalone FPRS 
qualification test has to be developed at each site (incorporating any 
site-specific requirements), demonstration of all elements of the FPRS 
standard does not have to be accomplished on the same day. Meeting the 
individual elements of the standard can be aggregated. For example, 
ability to place a suspect under restraint can be documented during 
annual refresher training. The ability to take required positions of 
cover can be demonstrated during semiannual weapons qualification 
activities conducted at a different time.
    As a result of the clarification regarding meeting the FPRS, DOE 
also modified the BRS and ARS sections to require that the running 
elements and other site-specific requirements of these standards have 
to be attempted on the same day during anniversary qualifications. 
Ability to meet both elements on the same day is viewed as an indicator 
of overall conditioning. It is not DOE's intent, however, that should 
an SPO pass the mile and fail the 40-yard dash, that the SPO then would 
have to redo the mile run when making subsequent attempts to pass the 
40-yard dash.
    Commenters also expressed confusion regarding future revision of 
the physical readiness standards according to the requirements of the 
Administrative Procedure Act and other applicable law. DOE emphasizes 
that it is required to follow all legal requirements in revising these 
regulations; DOE determined that no changes were needed for this 
provision.
    Several commenters expressed concerns regarding the Designated 
Physician's new responsibility under this rule for making a 
determination of whether or not an SPO has a reasonable expectation of 
being able to meet the applicable BRS or ARS standard. Some stated that 
this evaluation should not fall under the purview of the Designated 
Physician. In this rule, Designated Physicians fulfill an occupational 
medicine role. Making determinations of ability to perform work-related 
functions is an occupational medicine function. Also, some stated that 
this would result in an additional medical malpractice exposure for the 
Designated Physicians. In response, DOE added language to clarify that 
two distinct evaluations are required by the Designated Physician for 
each SPO. The first evaluation is no different from the type of medical 
evaluation being performed under previous regulatory requirements. In 
this evaluation the Designated Physician must determine from a medical 
perspective if the SPO can fulfill the mission essential requirements 
of the applicable physical readiness category without being a risk to 
self or others. In other words, is the SPO healthy enough to perform 
mission essential requirements which include ability to physically 
demonstrate the appropriate physical readiness standard? If the 
Designated Physician determines the SPO is not healthy enough, the SPO 
is removed from status unless and until intervention is successful. 
Once the Designated Physician has determined the SPO is healthy enough 
to attempt to demonstrate the standard, the next step in the process is 
for the Designated Physician to make a second occupational medicine 
evaluation. In this new, second determination, the Designated Physician 
must determine whether the SPO has a reasonable expectation of being 
able to physically demonstrate the standard. In other words, is the SPO 
in good enough physical condition to physically demonstrate the 
standard? When conducting this second evaluation, the Designated 
Physician has already determined that the SPO is healthy enough to 
attempt to demonstrate the standard. If the answer to the second 
evaluation is yes, then the SPO is allowed to return immediately for 
duty without being required to physically demonstrate the standard 
unless the SPO has been selected as part of the random selection 
process. If the answer is no, then the SPO may request to demonstrate 
the physical readiness standard.
    Some commenters expressed concern that the rule's language 
precludes the use of physician extenders and exercise physiologists 
during the SPO's annual physical and determination of reasonable 
expectation that the SPO would be able to physically demonstrate the 
standard. DOE added language to specifically authorize their use. It is 
the Designated Physician's responsibility, however, to make the formal 
evaluation of the SPO's expectation of being able to meet the 
applicable standard.
    Commenters also suggested that acceptable values for aerobic 
capacities associated with the BRS and ARS standards should be provided 
to assist the Designated Physician in making determinations regarding 
an SPO's ability to physically demonstrate the readiness standard. In 
response, DOE added text to this section identifying METS values. It 
should be noted that DOE is not mandating the use of METS data, nor 
does it intend that METS data be used as the single pass/fail criteria. 
The Department intends that all related elements of the SPO's condition 
be considered by the Designated Physician while making the reasonable 
expectation determination.
    Several commenters expressed concern regarding which physical 
readiness standard would have to be met should an incumbent SPO fail to 
demonstrate a standard and then go through remedial training. DOE 
clarifies that the incumbent would have to meet the standard which had 
not been demonstrated successfully.
    A number of comments also indicated confusion about the process for 
random testing of SPOs. As a result of these comments, DOE made several 
changes to this section regarding testing of 10 percent of the physical 
readiness standard SPO populations. These changes were made to ensure a 
consistent process is used throughout the DOE. Clarification includes 
the timing of the selection process, the result should an insufficient 
number of SPOs fail to meet their required standard, and the process 
and timing for return to sampling.
    Commenters requested clarification regarding the requirements 
associated with SPOs who are returning from absence (e.g., due to 
illness/injury or military service) on their anniversary date. In 
response, DOE clarifies that should an SPO be absent during the period 
of their anniversary date, the SPO will be required to physically 
demonstrate the applicable physical readiness standard prior to return 
to SPO duties. A physical demonstration is required since there would 
be no obligation for the SPO to maintain ability to meet the applicable 
physical

[[Page 55181]]

readiness standard during such an absence.
    A commenter noted potential scheduling difficulties because of the 
requirement to have a physical readiness assessment completed within 30 
days of the SPO attempting the physical readiness standard. DOE revised 
the regulation to require the assessment be completed no more than 30 
days prior to or after the annual physical examination with the 
Designated Physician. This change creates a maximum 60-day window 
during which the physical readiness assessment, the annual physical, 
and an attempt to demonstrate the applicable physical readiness 
standard could be scheduled.
    Commenters requested clarification in section 1046.17 regarding the 
acceptable number of consecutive weapons qualification remediations. 
DOE also has examined similar requirements in section 1046.16 for 
ability to meet applicable physical readiness standards and added text 
to provide consistency for allowable remediations to demonstrate the 
appropriate physical readiness standard to be consistent with those 
regarding ability to qualify with firearms. Only three successive 
remedial trainings will be provided for failure to meet either an 
applicable physical readiness standard or weapons qualification. The 
fourth successive failure will result in loss of status. Some 
commenters questioned how rescheduling of an attempt would be 
authorized. As a result, DOE added clarifying language to emphasize 
that when rescheduling occurs, it will be at the discretion of the 
employer. The intent of making the change is to ensure that pursuant to 
the other requirements of this section, the employer is not placed 
under an undue burden to accommodate conducting an additional attempt.
    DOE added text in paragraph (c)(5) to clarify that additional time 
to meet the physical readiness standard may be granted only in unusual 
circumstances based on temporary medical conditions or physical 
injuries as certified by the Designated Physician. DOE determined that 
this clarification is appropriate because lack of proper physical 
conditioning is not a reason to grant additional time to meet the 
standard. DOE also edited the text in paragraph (g)(10) to ensure 
consistency with the previous paragraph.
    DOE also made a number of editorial changes to provide greater 
clarity as to the requirements in this section.
    7. Changes to Sec.  1046.17 Training standards and procedures.
    DOE modified the language of this section from the previous Sec.  
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 
have been 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 
required will be developed based on the applicable Job Analysis (JA) or 
Mission Essential Task List (METL). This ensures training requirements 
comport readily to existing conditions and essential job functions as 
dictated by the site-specific JA or METL.
    Firearms qualification requirements were modified to address SPO 
qualification with individually-issued and primary weapons required by 
their duty assignment (i.e., specialty weapon, long gun and/or 
handgun). These requirements also stipulate 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 clarified the procedure for developing site-specific and/
or specialized courses of fire.
    Commenters requested clarification that the Officially Designated 
Federal Security Authority (ODFSA) approves only the site-specific 
criteria for training programs. In response, DOE affirms the 
commenters' statement and adds the term ``site-specific'' in 
1046.17(a).
    A commenter also suggested that DOE use the broader term 
``instructional guidelines'' instead of the more specific term ``lesson 
plans.'' DOE adopted this change in today's final rule to provide DOE 
field sites greater flexibility in their approach to provide required 
PF training.
    Commenters questioned whether or not a previous DOE SPO basic 
course of instruction is not sufficient for rehired SPOs. In response 
to these comments, DOE clarifies that the full retraining of former 
SPOs may be required if a site-specific assessment of the individual 
indicates the need for retaking the full course. Language addressing SO 
initial training requirements also was adjusted to clarify that SOs 
must take the initial training requirement unless they were previously 
employed at the same facility. DOE determined that previous employment 
at the facility means that the individual would have already satisfied 
the initial training requirements.
    Several commenters requested that clarification be provided 
regarding the required number of training sessions to be provided for 
SRT maintenance training. In response to these comments, and to ensure 
that all elements of training are conducted during appropriate 
timeframes, DOE revised language addressing SRT maintenance or 
refresher training. Annual training requirements must be completed over 
a minimum of two training sessions and all elements of the site-
specific JA or METL must be covered annually.
    Commenters expressed concern that earlier proposed language could 
be interpreted to allow durations of excessive length between required 
requalifications. Additionally, DOE determined clarification should be 
provided that the intent is to require both daylight and reduced light 
demonstrations of proficiency or qualifications. Today's final rule 
requires that semiannual firearms proficiency or qualifications be 
conducted under both daylight and reduced light conditions, and that 
such qualifications may occur within 30 days (either before or after) 
of six months from the previous semiannual qualification or proficiency 
demonstration date. Additionally, language was added to allow employers 
to change the semiannual qualification dates as long as no more than 
seven months pass between the last qualification and the new date to be 
established.
    Commenters requested clarification regarding the acceptable number 
of consecutive weapons qualification remediations. DOE also has 
examined the requirements for ability to meet applicable physical 
readiness standards and ensures consistency for allowable remediations 
to demonstrate the appropriate physical readiness standard and to 
qualify with firearms. Only three successive remedial trainings will be 
provided for failure to meet either an applicable physical readiness 
standard or weapons qualification. The fourth successive failure will 
result in loss of status.
    DOE also made editorial changes to provide greater clarity as to 
the requirements in this section.
    8. Changes to Sec.  1046.18 Access authorization.
    The language of this section modifies the previous 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 
instead requires that, at a minimum, a favorably adjudicated

[[Page 55182]]

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 continues to be 
required under certain circumstances.
    Several comments were received on this section. Some of the 
commenters made statements without specific requests for change; no 
changes were made as a result of these statements. Other commenters 
suggested adding language already included in this section of the 
proposal. For instance, one commenter requested language in the final 
rule to establish that, at a minimum, a favorably adjudicated 
background check must be conducted prior to arming. Such a requirement 
is already set forth in this section. The text also requires that 
appropriate access authorization may be required under other 
circumstances. Therefore DOE made only editorial changes to enhance 
clarity to this section.
    9. Changes to Sec.  1046.19 Medical/fitness for duty status 
reporting requirements.
    This new section restates the reporting requirements for PF 
personnel but has not changed substantially from the requirements in 
Appendix A of the previous rule. The section clarifies 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 PF duties. PF personnel are also required to provide 
a detailed report identifying the change to the Designated Physician. 
This section also requires PF personnel to advise their supervisors 
when a corrective device associated with a reasonable accommodation is 
not functioning properly.
    In addition, this section restates the requirement that the 
contractor 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).
    DOE did not receive comments requesting changes to this section. No 
substantive changes were made to this section.
    10. Changes to Sec.  1046.20 Medical record maintenance 
requirements.
    This section clarifies record retention and confidentiality 
requirements contained in Appendix A, section C, of the previous 
version of the rule. This rule substitutes 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.
    One commenter made a comment on separate storage of psychological 
records based upon their current site-specific implementation of 
medical record maintenance and apparent use of an external 
psychologist. DOE recognizes that medical records are modular. 
Therefore, no substantive changes were made to this section.
    11. Changes to Sec.  1046.21 Materials incorporated by reference.
    This section addressed industry standards to be incorporated by 
reference in DOE's PF regulations.
    This section has been deleted because DOE did not incorporate any 
materials by reference in today's final rule.

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 rule under the Regulatory Flexibility Act 
and certifies that the rule does not have a significant impact on a 
substantial number of small entities. This action amends an existing 
rule which establishes medical and physical training requirements and 
standards for DOE PF personnel. The rule affects 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 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 rule updates the medical certification and physical readiness 
requirements for PF personnel and requires PF contractors to make 
reasonable accommodations to modify emergency and protective equipment 
for qualified individuals. The rule also sets 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. The 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 establishes a process for review of a medical 
certification disqualification and for medical removal protection 
benefits in certain circumstances. The review process will 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 
other collectively bargained benefits are paid for the same purposes, 
and will be reimbursable to the contractor under the applicable 
contract with DOE.

[[Page 55183]]

    The rule also updates 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 
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 updates 
require PF personnel management to develop plans to ensure the 
confidentiality of medical information. Such confidentiality is already 
required by other existing regulations.\1\
---------------------------------------------------------------------------

    \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 is significant. DOE 
emphasizes that these firms are under contract to DOE either directly 
or indirectly, so any costs incurred while meeting the standards and 
requirements in this rule would be invoiced and may be reimbursable in 
accordance with the terms of the contract and applicable law.
    DOE received no comments on this certification in response to the 
proposed rule (77 FR 13206, Mar. 6, 2012). DOE addresses comments 
related to the economic impact of the proposed rule elsewhere in the 
preamble. Those comments did not result in changes to the 
certification.
    For the above reasons, DOE certifies that the rule will not have a 
significant economic impact on a substantial number of small entities. 
DOE transmitted the certification to the Small Business Administration 
as required by 5 U.S.C. 605.

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 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 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 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.

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 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 requires 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

[[Page 55184]]

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 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 rule does 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.

J. Congressional Notification

    As required by 5 U.S.C. 801, DOE will report to Congress on the 
promulgation of today's rule before its effective date. The report will 
state that it has been determined that the rule is not a ``major rule'' 
as defined by 5 U.S.C. 804(2).

IV. Approval of the Office of the Secretary

    The Secretary of Energy has approved publication of this final 
rule.

List of Subjects in 10 CFR Part 1046

    Government contract, Reporting and recordkeeping requirements, 
Security measures.

    Issued in Washington, DC, on August 29, 2013.
Daniel B. Poneman,
Deputy Secretary of Energy.

    For the reasons set out in the preamble, the Department of Energy 
(DOE) amends 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.


    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 (PF) personnel 
who provide security services at Department of Energy (DOE or 
Department) 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, 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 
Physical Protection Medical Director (PPMD)). Similarly, when 
appropriate medical, psychological, or other examinations, evaluations, 
testing, or reports 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, 
testing, or reports 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 requirements other than the 
medical certification standards 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. Consistent with the exemption process specified by 
DOE, 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. Nothing in this part shall prohibit NNSA from enhancing the 
requirements set forth in Sec.  1046.16, SPO Physical Readiness 
Qualification Standards and Procedures, as necessary to further the 
interests of national security.
    (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

[[Page 55185]]

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.
    (e) This part is effective March 10, 2014. Requirements of this 
rule that cannot be implemented by March 10, 2014 due to contractual 
conflicts or within existing resources must be documented by the 
officially designated federal security authority (ODFSA) and submitted 
to the relevant program officers: the Under Secretary; the Under 
Secretary for Science or the Under Secretary for Nuclear Security, 
NNSA; and the Chief Health, Safety and Security Officer. The 
documentation must include timelines and resources needed to fully 
implement this part.


Sec.  1046.3  Definitions.

    The following definitions apply to this part:
    Active shooter means an individual actively engaged in the 
unauthorized 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, a 40-yard dash from 
the prone position in 8.0 seconds or less, and any other measure of 
physical readiness necessary to perform site-specific essential 
functions as 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, a 40-yard dash from the prone position in 8.5 seconds or less, 
and any other measure of physical readiness necessary to perform site-
specific essential functions as 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 technical support for these 
programs and must be identified in writing.
    Contractor means a contractor for the Department and includes 
subcontractors at all tiers.
    Corrective device means a device, such as eyeglasses or hearing 
aid, necessary to enable an examinee to meet medical qualification 
standards and have been determined to be a reasonable accommodation 
compatible with the performance of the essential functions of the 
position. The contractor responsible for the performance of the 
examinee must determine that the use of the device is compatible with 
all actions associated with emergency and protective equipment without 
creating a hardship for the contractor. The Designated Physician and 
PPMD must determine that the reasonable accommodation is consistent 
with the medical certification standards without creating a direct 
threat to the individual or to others.
    Designated Physician means an MD or DO, licensed without 
restriction in the state of practice, who has been approved by the 
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.
    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), accident (e.g., fire or explosion), or naturally occurring 
event (e.g., 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 applicable PF 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 measure of physical 
readiness necessary to perform site-specific essential functions as 
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 the 
individual's 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 must be derived from 
criteria determined and published by the DOE National Training Center 
or identified and documented through a site-specific Mission Essential

[[Page 55186]]

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 an individual is medically cleared to attempt the physical 
readiness standard qualification test and perform SO or SPO duties.
    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 
Sec.  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 or Federal 
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 (PF) personnel means Special Response Team 
members, SPOs, and SOs employed to protect Department security 
interests.
    Qualification means the documented determination that an individual 
meets the applicable medical, physical, and as appropriate, firearms 
training standards, and possesses the knowledge, skills, abilities and 
access authorizations 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 an accommodation consistent with the 
Americans with Disabilities Act Amendment Act (ADAAA) that is 
documented in writing.
    Re-qualification 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 and contractor personnel; sensitive technology; 
classified matter; nuclear weapons, components, and assemblies; special 
nuclear material (SNM) as defined by the Atomic Energy Act of 1954 (as 
amended) and the Department; 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.
    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).
    Special Response Team (SRT) Member means SPOs who meet the ARS, 
with additional training and qualification requirements as necessary, 
and who are assigned to an SRT that trains and responds as a team to 
perform recapture and recovery and to augment denial missions, e.g., 
those missions that require adversaries be denied proximity to the 
protected property.
    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

[[Page 55187]]

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 closely replicate those of the 
corresponding actual weapon with assigned duty loads, and noise 
signatures and felt recoil should be simulated to the extent 
technically feasible.
    Work hardening is discussed by the Department of Labor in their 
Division of Federal Employees' Compensation Procedure Manual, 2-813-12 
(available at http://www.dol.gov/owcp/dfec/procedure-manual.htm), as a 
physical therapy program which will facilitate return-to-work. Work 
hardening is also known as an Occupational Rehabilitation Program.


Sec.  1046.4  Physical Protection Medical Director (PPMD).

    (a) General. The PPMD is the contractor physician programmatically 
responsible for the overall direction and operation of site medical 
programs supporting the PF requirements of this part. The PPMD is 
responsible for the programmatic oversight of all site Designated 
Physicians, including those who may operate physically separate 
clinics. 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 ODFSA who in turn must consult with the Office 
of Health, Safety and Security prior to approving the PPMD. For NNSA, 
PPMD nominations must be made to the NNSA organization responsible for 
occupational health and safety. At the time of initial nomination for 
the PPMD designation the nominee shall submit, through the nominee's 
employer and the ODFSA, 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);
    (iii) Current medical license in the state in which duties will be 
performed;
    (iv) 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). The nominee may be requested to instruct the licensing 
body to send such certifications to the Office of Health, Safety and 
Security and as applicable to the NNSA organization responsible for 
occupational health and safety. 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; and
    (v) A curriculum vitae, if requested, must include a discussion of 
any gaps in employment.
    (2) Updates. If determined necessary at any time and requested by 
the Office of Health, Safety and Security, the NNSA organization 
responsible for occupational health and safety, the ODFSA, or the 
PPMD's employer, updated information as identified in paragraphs 
(a)(1)(i) through (v) of this section must be provided.
    (3) Other roles and responsibilities. Nothing in this part is 
intended to preclude the PPMD from fulfilling similar or related roles 
under other parts or this title, including providing occupational 
medical services under 10 CFR part 851, ``Worker Safety and Health 
Program.'' Additionally, the PPMD may fulfill the role of Designated 
Physician. The PPMD's employer must notify the Office of Health, Safety 
and Security, and if appropriate the NNSA organization responsible for 
occupational health and safety, through the ODFSA if the PPMD will also 
be fulfilling the role of the Designated Physician.
    (4) Qualifications. The PPMD shall possess an MD or DO degree; be 
board certified or board eligible in occupational medicine; be a 
professionally qualified physician in good standing in the 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 the applicant belongs.
    (b) Nominations. Except as provided in Sec.  1046.5(c), prior to 
approval of a Designated Physician by the PPMD's employer, the PPMD 
must nominate in writing, through the local ODFSA, to the Office of 
Health, Safety and Security, one or more nominees for Designated 
Physician positions. For NNSA, Designated Physician nominations must be 
made through the NNSA organization responsible for occupational health 
and safety.
    (1) Each nomination must describe the relevant training and 
experience of the nominee.
    (2) Each nominee must be professionally qualified in good standing 
in the 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 the applicant belongs.
    (3) To be nominated, a Designated Physician shall possess an MD or 
DO degree and be board certified or board eligible 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);
    (3) Current medical license in the state in which duties will be 
performed; and
    (4) 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). 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

[[Page 55188]]

may request notice of certification by any additional American 
specialty board, if applicable; and
    (5) A current curriculum vitae may be requested. The curriculum 
vitae, if requested, must include a discussion of any gaps in 
employment.
    (6) If determined necessary by the PPMD, updated information, as 
identified in paragraphs (c)(1) through (5) of this section, may be 
requested at any time.
    (d) Self reporting. (1) Each incumbent individual covered under 
paragraphs (a) or (b) of this section must agree to self-report the 
following information as a condition of the designation. PPMDs must 
report to their employer, who must forward the information to the 
Office of Health, Safety and Security or as appropriate to the NNSA 
organization responsible for occupational health and safety through the 
ODFSA. Additionally, Designated Physicians must report to the PPMD the 
following:
    (i) Any change in status or initiation or taking of an adverse 
action, past or present, by any state medical licensing board or any 
other professional licensing board against the licenses of the 
individual (these may be provided in written or electronic form). The 
incumbent or nominee may be required to request the licensing body to 
provide such information to the ODFSA or PDMD, as appropriate. Under no 
circumstances will such information be accepted directly from the 
incumbent or nominee;
    (ii) Initiation of an adverse action by any Federal or state 
regulatory board;
    (iii) Being named a defendant in any criminal proceedings (felony 
or misdemeanor);
    (iv) Being named in a civil suit alleging professional malpractice;
    (v) Being evaluated or treated for alcohol use disorder or drug 
dependency or abuse; and
    (vi) Occurrence of a physical disorder, a mental disorder, or any 
other health condition that might affect the physician's ability to 
perform professional duties.
    (2) All information in paragraphs (d)(1)(i) through (vi) of this 
section must be submitted to DOE for consideration and possible action 
and may result in rejection or termination of the applicable 
designation. Failure to provide such information may also result in the 
rejection or termination of the applicable designation. For NNSA 
contractors, in consultation with the Office of Health, Safety and 
Security, the NNSA organization responsible for occupational health and 
safety will make the final decision on the appropriate action in light 
of the information received.
    (e) Annual activity report. The PPMD must review the current 
credentials of each Designated Physician annually and make a 
recommendation to the employer to either retain or replace each 
incumbent. The Office of Health, Safety and Security and as 
appropriate, the NNSA organization responsible for occupational health 
and safety must be notified by the employer through the appropriate 
field element of any changes.
    (f) Retention or replacement. For DOE, 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 duties 
or replaced. For NNSA, the PPMD's supervisor of record must send an 
annual letter to the NNSA organization responsible for occupational 
health and safety with a courtesy copy to the Office of Health, Safety 
and Security reporting on the current credentials of the PPMD 
recommending retention or replacement. For NNSA, immediate notification 
must be made to the NNSA organization responsible for occupational 
health and safety with a courtesy copy to the Office of Health, Safety 
and Security if a PPMD is relieved of 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 
designee through the manager of the Field Element. For NNSA the summary 
must be sent to the NNSA organization responsible for occupational 
health and safety with a courtesy copy to the Office of Health, Safety 
and Security. The PPMD must comply with applicable DOE requirements 
specifying report content.


Sec.  1046.5  Designated Physician.

    (a) Responsibilities. Designated Physicians are responsible for the 
conduct of medical examinations, evaluations, and medical certification 
of SOs and SPOs. Additionally, Designated Physicians are responsible 
for the supervision of physician extenders (e.g., physician's 
assistants, certified occupational health nurses, or nurse 
practitioners), as required by applicable state or local law. The 
Designated Physician must:
    (1) Annually determine whether to approve an individual's 
participation in programmed physical readiness training programs 
required under this rule and determine the individual's ability to 
perform the physical readiness and PF 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 or 
physician extenders;
    (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, and the 
physical readiness requirements as identified in Sec.  1046.16.
    (b) Nominations. The requirements of Sec.  1046.4(b) and (c) must 
be followed by the individuals nominated for Designated Physician 
positions.
    (c) Approval in lieu of nomination. Designated Physicians approved 
under the provisions of 10 CFR part 712, ``Human Reliability Program,'' 
will also satisfy the requirement for nomination to, and approval by, 
DOE/NNSA under this part. The employer must notify the Office of 
Health, Safety and Security through the ODFSA if the physician will be 
fulfilling the role of Designated Physician for this part in addition 
to fulfilling a role for another part (e.g., 10 CFR part 712). For NNSA 
the notification must be sent to the NNSA organization responsible for 
occupational health and safety with a courtesy copy to the Office of 
Health, Safety and Security.
    (d) Self reporting. The self-reporting requirements of Sec.  
1046.4(d) must be followed by incumbent Designated Physicians.

[[Page 55189]]

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) of this section and other site-specific 
essential functions, as appropriate, and the medical certification 
standards provided in section 1046.13 if this part 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 departmental and site policies and 
procedures governing 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; and
    (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) While armed and authorized to use deadly force, perform complex 
tasks, make life or death and other critical decisions, and take 
appropriate actions under confusing, stressful conditions including 
potentially life-threatening environments throughout the duration of 
emergency situations, e.g., active shooter scenarios;
    (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; and
    (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.
    (e) BRS SPO essential functions. In addition to the FPRS SPO 
essential functions listed above, BRS SPOs must be able to:
    (1) Read placards and street signs while driving or to see and 
respond to imminently hazardous situations in both daylight and reduced 
light conditions;
    (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, pursuit and/or recovery 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 55190]]

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) Be able to 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 Sec.  1046.13 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.  1046.16.


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) Evaluations of incumbent security police officers 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 PF contractor with a determination that the use of 
the device is compatible with all actions associated with emergency and 
protective equipment without creating a hardship for the contractor. 
The Designated Physician and PPMD must determine that the reasonable 
accommodation is consistent with the medical standard without creating 
a direct threat to the individual or to others.
    (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 current job analysis submitted by 
PF management to the Designated Physician/PPMD. Specific qualifications 
for SOs and SPOs are set forth in paragraphs (d) and (e), respectively, 
of this section. Reasonable accommodations shall be provided pursuant 
to the requirements of the ADAAA.
    (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 of 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 the ability to 
localize sounds with a difference of not more than 15 db average loss 
between the two ears. If hearing aids are 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) when required by local 
assignment.
    (8) Nutritional/metabolic. Ability to accommodate to changing work 
and meal schedules without potential or actual incapacity. Status 
adequate to meet the stresses and demands of assigned normal and 
emergency job duties.
    (e) Specific medical standards for SPOs. In addition to the 
criteria identified in Sec.  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 the ability to localize sounds with a difference of not 
more than 15 db average loss between the two ears. 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 frequencies of 500, 1000 and 2000 Hz. 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

[[Page 55191]]

to effectively perform emergency-related essential functions:
    (A) With or without correction, vision of 20/25 or better in the 
better eye and 20/40 or better in the other eye.
    (B) If uncorrected, distant vision in the better eye is at least 
20/25, and if 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 must 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 ongoing use of medications such as 
bronchodilators or beta agonists. A full review and approval by the 
PPMD is required whenever there is a past history of sleep apnea (with 
an established index of suspicion), with or without treatment.
    (ii) Cardiovascular. (A) Capacity for tolerating physical exertion 
during emergencies. The results of the two semiannual assessments as 
identified in Sec.  1046.16(b)(4) must be considered. 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 (e.g., by 
using the Framingham Point System), 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 test for peripheral neuropathy at fingers and toes is 
required annually. Absence of neurotic or psychotic conditions which 
would adversely affect 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 full range of 
motion to include overhead reaching and 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 precluding the ability to perform SPO 
essential functions.
    (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 which could 
preclude respirator fit is not acceptable and must be documented.
    (10) Endocrine/nutritional/metabolic. Ability to accommodate to 
changing work and meal schedules without potential or actual 
incapacity. Status adequate to meet the stresses and demands of 
assigned normal and emergency job duties. 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. This initial certification date becomes the SO's 
anniversary date. Medical certification remains valid through 30 days 
beyond the anniversary date 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). This initial 
certification date becomes the SPO's anniversary date. Medical 
certification remains valid through 30 days from the anniversary date 
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

[[Page 55192]]

individual is assigned. Medical examinations of SPO and SO applicants 
and incumbents must include the following evaluations to determine 
whether the individual meets the Medical Certification Standards for 
the applicable position:
    (i) An up to date 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 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 or, as appropriate, a psychiatrist 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 (for SOs) or 
annual (for SPOs) examination must be conducted by a psychologist or, 
as appropriate, a psychiatrist. 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 must 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 of 
this paragraph, psychiatric evaluations (if required), and reviews of 
job performance may indicate disqualifying medical or psychological 
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 
conducted. 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 
(e.g., pursuant to 10 CFR part 712) 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 a candidate or an incumbent SO's or SPO's ability to perform 
essential job duties or for incumbents, 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 contractor responsible for the 
examinee's performance 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. The Designated Physician and the PPMD 
must determine that the reasonable accommodation is consistent with the 
medical standard and will not result in a direct threat to the 
individual or to others. 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 approved 
for physical training, testing, or the relevant position.
    (6) The PF contractor must offer a health status exit review for 
all employees leaving PF service. If the employee desires the review, 
it must be conducted by the PPMD or Designated Physician. The review, 
which may be conducted in conjunction with the requirements of other 
parts, must include all of the medical standards for the PF position 
being vacated. The reason(s) for any health status exit review not 
being performed must be documented (e.g., employee declined to have the 
review conducted).


Sec.  1046.14  Medical certification disqualification.

    (a) Removal. An incumbent SO or SPO 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 incumbent SO or 
SPO temporarily or permanently disqualified from medical certification 
by the PPMD must be removed from those protective force duties by the 
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 the disqualifying condition occurred as 
a result of site-approved training for or attempting to meet a physical 
readiness standard qualification, or site-approved training for 
security and emergency response (e.g., participating in force-on-force 
exercises for training, inspection, or validation purposes). 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 medically disqualify an SPO. The employee pay 
benefits specified in this section 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 basis 
for disqualification.
    (1) Temporary removal pending final medical determination. (i) 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, if appropriate. ``Final medical 
determination'' means the outcome of the Independent Review provided 
for in

[[Page 55193]]

Sec.  1046.15(c) or, if one is held, the Final Review provided for in 
Sec.  1046.15(d).
    (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 
payroll unless available alternative duties for which the worker is 
qualified or can be trained in a short period of time are refused or 
performed unsatisfactorily.
    (iii) While the SPO remains on the payroll pursuant to paragraph 
(b)(1)(i) of this section, the SPO's employer must maintain the SPO's 
total base pay (overtime not included), seniority, and other site-
specific worker rights and benefits (e.g., corporate benefit package 
and collective bargaining agreement benefits) as if the worker had not 
been removed. Funds reimbursable by the DOE which are provided to a SPO 
under medical removal protection must be reduced dollar for dollar for 
any other PF related pay or monetary benefit for associated lost 
earnings, including those negotiated through collective bargaining and 
from workers compensation. Medical removal protection in conjunction 
with these other benefits must not exceed the SPO's total base pay.
    (iv) If there are no suitable alternative duties available as 
described in paragraph (b)(1)(ii) of this section, 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 one year has elapsed from 
the date of the PPMD's determination that the SPO should be temporarily 
removed from duties, whichever comes first. During this period the SPO 
may be placed on administrative leave when alternative duties are not 
available.
    (2) Permanent medical removal resulting from injuries. (i) 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 (i.e., site 
approved training for or attempting to meet a physical readiness 
standard qualification or site approved training for security or 
emergency response), employer Human Resources policies, disability 
insurance, and/or collective bargaining agreements will dictate 
employment status and compensation beyond the requirements of 
paragraphs (b) and (c) of this section.
    (ii) If an SPO has been permanently removed from duty pursuant to 
paragraph (b)(2)(i) of this section, 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.
    (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 medical questions 
concerning medical removal answered; and
    (iii) Obtain the SPO's signature or document that the SPO has been 
advised on the provisions 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) Except as provided in 
paragraph (b)(4)(ii) of this section, the SPO's employer must not 
return an SPO, who has been granted medical removal protection under 
this section, to the SPO's former job status.
    (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. Within one year from the PPMD's original decision to 
remove the individual from SPO status and subject to the SPO's ability 
to meet all other position related requirements (e.g., weapons 
qualifications, physical readiness standard, human reliability program, 
and refresher training), the employer must return the SPO to duty 
status given PPMD authorization to return to work. For durations beyond 
one year from the original decision given PPMD authorization to return 
to work, return to SPO status will be at the employer's discretion.
    (c) Medical removal protection benefits. (1) If required by this 
section to provide medical removal protection benefits, the SPO's 
employer must maintain for not more than one year, as specified in 
paragraphs (b)(1) and (b)(2) of this section, the removed worker's 
total base pay, and seniority, as though the SPO had not been removed. 
The total base pay provision in this section must be reduced by any 
compensation for lost earnings provided by any other benefit or those 
negotiated through collective bargaining for both temporary and 
permanent removal protection as provided by this section.
    (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 until 
disposition of the claim, recovery of the claimant, or one year from 
the date the removal protection began, whichever comes first. If 
workers' compensation benefits are provided retroactively then the SPO 
must reimburse the employer to the extent the SPO is compensated for 
lost earnings for the same period that the medical removal protection 
benefits are received for both temporary and permanent removal 
protection as provided by this section. Expenses for medical/
rehabilitation treatments related to the basis for medical removal 
protection are not covered under this part.
    (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 site employer-funded compensation program.
    (d) Collective bargaining agreements. For the purposes of this 
section, the requirement that the SPO's 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 again 
medically certified by the PPMD. However, this limited duty may only 
include assignment to duties in a job classification where all 
essential functions for that job classification can be safely and 
efficiently performed. Medical certification is required to remain in 
armed status. A temporary medical certification disqualification may 
not exceed a period of twelve

[[Page 55194]]

months regardless of whether medical removal protection is authorized. 
Before 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 any time 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 the 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 ODFSA: 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 during 
the Independent Review process. The individual or representative may 
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) of this section 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 or have been 
previously involved in the requestor's case on behalf of the Department 
or a Department contractor. 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 ODFSA (for DOE HQ sites, the Director, Office of 
Security Operations; for NNSA sites, the cognizant local NNSA Security 
Director; and 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, and subject to 
subsequent annual medical examinations and the ability to meet 
applicable physical readiness requirements.
    (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 a 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 the request for appeal. In the request for a Final Review, 
the individual must state with specificity the basis for disagreement 
with the Independent Review confirming the medical certification 
disqualification. The Office of Health, Safety and Security must 
transmit the complete

[[Page 55195]]

record in the case to the Office of Hearings and Appeals within five 
business days of receiving notice from the individual that the SPO 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 must issue a Decision and 
Order setting forth its findings on appeal and its conclusions based on 
the record before it. Upon receipt of an unfavorable Final Review 
decision 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 the employer. However, nothing in the Final 
Review decision 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 a favorable Final Review decision from 
the Office of Hearings and Appeals, the individual must be reinstated 
to the PF job classification by the 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 and to meet 
applicable physical readiness standards.


Sec.  1046.16  SPO physical readiness qualification standards and 
procedures.

    (a) General. Employers must ensure SPOs have access to their 
applicable physical readiness standard and the provisions of this part. 
Employers must also 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 knowledge, skills, 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 re-qualify every year according to 
their applicable readiness standard, pursuant to paragraphs (d)(1), 
(f), or (g) of this section. Re-qualification must occur no earlier 
than 30 days prior to and no later than 30 days following the SPOs 
anniversary date. The actual date of re-qualification does not affect 
the anniversary date under this section.
    (3) All qualification and re-qualification activities must be 
conducted under the supervision of personnel knowledgeable of DOE 
physical readiness program requirements as approved by the local ODFSA.
    (b) Physical readiness training program. SPOs must maintain 
physical readiness standards on a continuing basis. Each SPO must 
engage in a year-round physical readiness training program consistent 
with paragraph (c)(2) and (3) of this section to:
    (1) Achieve and maintain the cardio-respiratory and musculoskeletal 
fitness necessary to safely perform, without posing a direct threat to 
self or others, all essential functions of normal and emergency PF 
duties at any time; 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 specific to the physical 
readiness standard, which appropriately 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 warm-up and cool down activities designed by 
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 in consultation with the 
PPMD and the local ODFSA.
    (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. Whether training is 
conducted on or off site, the SPO's participation must be documented.
    (4) Assessments of an SPO's level of physical readiness must be 
conducted at least semiannually by personnel knowledgeable of DOE 
requirements. The results of the assessments must be provided to the 
Designated Physician. The assessments must include recognized 
assessment standard values for aerobic capacity (e.g., American College 
of Sports Medicine [http://www.acsm.org/], Cooper Fitness Institute 
[http://www.cooperinstitute.org/], or Rockport Walk Protocol [available 
online from a variety of Web sites]). Though not a qualification, the 
assessment report 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 with the capability of 
responding within a reasonable time must be available at the assessment 
site. An individual trained in cardio-pulmonary resuscitation and 
automatic external defibrillator equipment must be present.
    (5) 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. An SPO who 
fails to re-qualify must be removed from armed SPO status and must 
participate in a remedial physical readiness training program, as 
specified in paragraphs (g)(8) and (9) of this section.
    (6) 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 ODFSA. Failure to meet the physical 
readiness standard must be treated as if the SPO failed the first 
attempt during routine qualification, and the procedures of paragraphs 
(g)(5) and (8) of this section apply. An SPO who fails to demonstrate 
the standard must be removed from armed status.
    (7) 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).
    (8) When a physical readiness deficiency is first identified, the 
employer must provide the SPO access to remedial training or, based 
upon PPMD evaluation validating the medical need, to a work hardening 
or rehabilitation program.
    (d) Physical readiness standards for SPOs. Any failure, at any 
time, by an SPO to physically demonstrate ability to meet the required 
physical readiness standard, must result in temporary

[[Page 55196]]

removal from being authorized to perform the functions of that 
standard. The physical readiness standards for SPOs are as follows:
    (1) Fixed Post Readiness Standard (FPRS). This qualification 
standard applies to all SPOs. Regardless of an SPO's physical readiness 
category, the FPRS must be physically demonstrated every year by all 
SPOs.
    (i) The standard requires 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 arrests of suspects 
and place them under restraint, e.g., with handcuffs or other physical 
restraint devices; and meet any other measure of physical readiness 
necessary to perform site-specific essential functions as prescribed by 
site management and approved by the respective program office.
    (ii) A stand-alone qualification test which requires the 
demonstration of all of the required elements (both general and site-
specific, if applicable) must be developed and maintained by each site 
and approved by the ODFSA. This qualification test can be used for 
annual qualification, or sites may choose to document an SPO's ability 
to meet specific elements of the standard during annual refresher 
training sessions and/or during weapons qualification activities. All 
elements of this standard must be demonstrated annually in the 
aggregate.
    (iii) The results must be provided to the Designated Physician 
prior to the annual medical examination. Inability to physically 
demonstrate the FPRS requirements must result in temporary loss of SPO 
status. Remedial training must be provided pursuant to the requirements 
of paragraph (g)(8) of this section.
    (2) Basic Readiness Standard (BRS). In addition to demonstrating 
the FPRS requirements as stated in paragraph (d)(1) of this section, 
the BRS qualification consists 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 or less, and any other site-specific 
measure of physical readiness necessary to perform essential functions 
as prescribed by site management and approved by the respective program 
office. The running elements and other site-specific measures of the 
BRS must be demonstrated on the same day.
    (3) Advanced Readiness Standard (ARS). In addition to demonstrating 
the FPRS requirements as stated in paragraph (d)(1) of this section, 
the ARS qualification consists 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 or less, and any other site-specific 
measure of physical readiness necessary to perform site-specific 
essential functions as prescribed by site management and approved by 
the respective program office. The running elements and other site-
specific measures of the ARS must be demonstrated on the same day.
    (e) Revisions to Physical Readiness Standards. 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 for BRS and ARS SPOs. Two distinct 
determinations must be made by the Designated Physician for BRS and ARS 
SPOs. First, a medical examination that meets the requirements of Sec.  
1046.13(g) must be conducted. A written determination must be made 
whether the SPO is medically certified for SPO duties without being a 
danger to self or others. This includes being able to attempt to 
physically demonstrate the applicable physical readiness standard. 
Given a favorable medical clearance determination, the second 
determination assesses the SPO's physical readiness capability by 
comparing the SPO's current examination results, medical history, 
normative data, past qualifying times, and the results of physical 
assessments. The Designated Physician's evaluation and documentation 
that an incumbent BRS or ARS SPO has reasonable expectation of meeting 
the appropriate physical readiness standard is deemed to have met the 
annual physical readiness qualification requirement without having to 
take the appropriate BRS or ARS test unless the SPO is randomly 
selected pursuant to paragraph (f)(7) of this section. Physician 
extenders (e.g., physician's assistants, certified occupational health 
nurses, or nurse practitioners) and exercise physiologists may perform 
appropriate elements of the physical examination and the physical 
assessments required in paragraph (b)(4) of this section. However, both 
the medical clearance determination and the formal physical readiness 
capability evaluation must be made by the Designated Physician without 
delegation. A site standard form must be used, and pertinent negatives 
must be documented on the form. 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.
    (1) Evaluation of BRS and ARS SPOs must include consideration of 
past medical history and normative data when available for individuals 
deemed to be physically capable. The following criteria must be 
evaluated: Cardiac function to include resting pulse rate and pulse 
recovery after exertion; neuromuscular function to include assessments 
of strength, range/freedom of motion, and movement without pain. While 
they are not required to be used or intended to be the sole determining 
criterion, for Designated Physicians using metabolic equivalents (METS) 
data the following values may be included in the overall process to 
determine if an individual SPO has a reasonable expectation of being 
able to physically demonstrate the appropriate physical readiness 
standard.
    (i) For BRS SPOs a METS value of seven or greater would be a 
positive indicator of sufficient aerobic capacity to successfully 
demonstrate the half mile run associated with the BRS.
    (ii) For ARS SPOs a METS value of 12 or greater would be a positive 
indicator of sufficient aerobic capacity to successfully demonstrate 
the mile run associated with the ARS.
    (2) The designated physician may medically certify the BRS or ARS 
SPO for 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, unless the SPO is randomly selected pursuant to paragraph 
(f)(7) of this section.
    (3) The designated physician may indicate the BRS or ARS SPO meets 
medical standards for SPO duties, but also indicate that the SPO does 
not appear to have the physical capability to pass the appropriate 
physical readiness test. In this case, the file must be immediately 
forwarded to the PPMD for review.
    (4) If the PPMD concurs with the Designated Physician that the SPO 
does not have a reasonable expectation of being able to meet the 
readiness standard, the SPO may request to attempt to demonstrate the 
appropriate physical readiness test, which must be accomplished 
successfully within 30 days of the date of the medical certification 
for the SPO to remain in

[[Page 55197]]

status. If the SPO chooses not to attempt to demonstrate the readiness 
standard, then the SPO must be removed immediately from duties 
associated with that physical readiness standard. 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 
duties associated with that standard would require following the new 
hire process of medical clearance for SPO duties and then physically 
demonstrating the readiness standard which had not been met.
    (5) Should the PPMD determine that the SPO does appear to have a 
reasonable expectation of meeting the appropriate physical readiness 
standard, the SPO is 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 certified for SPO duties. In this case, the SPO must be 
removed from armed status with appropriate PPMD review and medical 
intervention recommendations.
    (7) Each year, 10 percent of the BRS and ARS SPO populations 
(supervisors included) at each site must be randomly selected by the 
employer and physically tested pursuant to paragraph (g) of this 
section. At the beginning of the testing year as established by each 
site, the site must ensure that a sufficient number of individuals and 
alternates are selected in one drawing to ensure that the 10 percent 
testing requirement can be achieved even though some SPOs selected may 
not receive a reasonable expectation determination for the Designated 
Physician as identified in paragraph (f)(2) of this section. Once 10 
percent of the SPOs successfully demonstrating the standard has been 
achieved, the remaining alternates are not required to be physically 
tested unless they do not receive a reasonable expectation 
determination. The identity of an individual as a selectee for testing 
shall be kept confidential by the employer in a manner that ensures 
this information does not become known to the selected individual, the 
PPMD, 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 (5) of 
this section. The selected individuals must successfully complete the 
applicable physical readiness standard 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)(i) Should the passing percentage of those randomly selected and 
attempting to physically demonstrate the standard in a particular 
physical readiness category at a particular site drop below 90 percent 
(on the first attempt) then all SPOs in that category at that site must 
be tested on their ability to physically demonstrate the standard. The 
following parameters apply.
    (A) All percentages are based upon first attempts.
    (B) The total population of SPOs (supervisors included) in that 
physical readiness category at the beginning of that testing year at 
that site must be used to determine the percentage thresholds.
    (C) The 100 percent testing of SPOs in that category must commence 
immediately upon the failure that renders achievement of a 90 percent 
success rate mathematically impossible for that readiness category 
during that testing year. The date of this failure will establish the 
anniversary date of the new testing year.
    (D) An insufficient number of randomly selected individuals and 
alternates available to constitute the 10 percent selection criterion 
represents a failure to achieve the 90 percent threshold. 
Identification of additional randomly selected individuals for that 
testing year is not authorized.
    (ii) The 100 percent testing described in paragraph (f)(8)(i) of 
this section must continue for a minimum of 365 days. With a 95 percent 
successful demonstration rate of the standard over the year, 10 percent 
testing may return at the beginning of the new testing year.
    (iii) Should 95 percent successful demonstration not be achieved in 
the 365 days of 100 percent testing, the 100 percent testing described 
in paragraph (f)(8)(i) of this section must continue for the next 365 
days under the conditions specified in paragraphs (f)(8)(i)(A) through 
(D) of this section. This process must be repeated until 95 percent 
successful demonstration is achieved.
    (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) of this section in any given year 
shall physically meet the applicable physical readiness standard within 
30 days of 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 from protective force duties 
which encompasses their anniversary date must physically meet at least 
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 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. Incumbents also must have successfully 
completed a physical readiness assessment within thirty days prior to 
their annual physical examination by the Designated Physician.
    (6) Incumbent SPOs must qualify on the applicable standard annually 
by physically passing the required test if they have not received a 
reasonable expectation determination as described in paragraph (f) of 
this section. The testing protocol shall include mandated participation 
by the SPO being tested in pre-test warm-up and post-test cool-down 
activities as described in paragraph (c) of this section. The 
responsible person in charge of the qualification activity must inform 
the SPO that 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 with the capability of responding within a reasonable time 
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 re-qualification for randomly selected 
incumbent SPOs must occur not more than 30 days from the anniversary 
date. Failure to qualify within 30 days past the anniversary date must 
result in removal from SPO status for that physical readiness category. 
Not more than five attempts may be allowed during the 30-day period. 
All attempts must be made within 30 days of the medical approval 
required in paragraph (g)(5) of this section.
    (8) Remedial training program: If an SPO fails all attempts 
pursuant to paragraph (g)(7) of this section for reasons other than 
injury or illness, the

[[Page 55198]]

PF contractor must offer the SPO the opportunity to participate in a 
supervised physical readiness remedial training program developed by an 
exercise physiologist.
    (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 of incumbent SPOs after completion of remedial 
training program.
    (i) Once an 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 ARS/BRS SPO must 
be offered an assessment using the same process that is used for the 
required semiannual assessment as required in paragraph (c)(4) of this 
section. Any deficiencies and improvement needs must be identified to 
the SPO.
    (iii) The 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 as determined by the employer) interrupt the attempt. When the 
attempt is interrupted, the employer may reschedule it within seven 
days.
    (iv) If the SPO meets the standard on the attempt specified in 
paragraph (f)(9)(iii) of this section, the original anniversary 
qualification date remains the same.
    (v) Failure to meet the standard must result in the SPO being 
permanently removed from duties requiring ability to meet that physical 
readiness standard.
    (vi) If an SPO requires remedial training during three consecutive 
annual qualification periods, then a fourth remediation shall not be 
offered for subsequent failures to achieve the physical readiness 
standard. The SPO must be permanently removed from duties requiring 
ability to meet that physical readiness standard.
    (10) The physical readiness standards set forth in this part may 
not be waived or exempted. Additional time, not to exceed six months, 
may be granted on a case-by-case basis for those individuals who, 
because of a temporary medical condition or physical injury certified 
by the Designated Physician, are unable to satisfy the physical 
readiness standards within the required period without suffering 
injury. Additional time totaling more than one year may not be granted. 
When additional time is granted:
    (i) The granting of such time does not eliminate the requirement 
for the incumbent SPO to be removed from that SPO physical readiness 
standard status during the time extension.
    (ii) When additional time is granted because of an inability to 
qualify without a certified medical condition or injury, the PF member 
is not entitled to temporary removal protection benefits. Granting 
additional time due to deconditioning is not authorized.
    (iii) Upon completion of the additional time period and requisite 
physical readiness training, as applicable, the incumbent SPO must be 
assessed using the same process that is used for the semiannual 
assessment as required in paragraph (c)(4) of this section if the 
results indicate the SPO is ready to take the test. The test must be 
taken within 30 days of medical clearance as described in Sec.  
1046.13(g).
    (iv) For a duration exceeding three months, the SPO's original 
anniversary qualification date may be revised at the discretion of the 
employer to reflect the most recent date that the SPO qualified under 
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 site-specific qualification and 
training programs must be based upon criteria approved by the ODFSA.
    (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) is developed. 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 
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 at least a well-defined, minimum level of 
competency required to perform each essential function and task 
acceptably, with or without reasonable accommodations;
    (3) Employ standardized instructional guidelines, based on approved 
curricula, 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 ODFSA on an annual basis.
    (e) SOs--(1) SO initial training requirements. (i) Prior to initial 
assignment to duty, unless they previously have been employed as an SPO 
at the same DOE facility, each SO must successfully complete a basic SO 
training course, approved by the local ODFSA, designed to provide the 
knowledge, skills, 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 must 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

[[Page 55199]]

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 the 
SO 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) of this section, each SPO must 
successfully complete the approved Department basic SPO training 
course. SPOs who are rehired at the same DOE facility or who have 
worked as an SPO at another DOE facility are not required to retake the 
basic training course as determined by a site-specific assessment of 
the individual. 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 the SPO 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-specific JA or METL. Failure 
to achieve a minimum level of competency must 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 must be 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 
Department-approved SRT basic qualification course designed to provide 
at least the minimum level of knowledge, skills, and ability needed to 
competently perform all the identified essential functions of the job 
and tasks associated with SRT job responsibilities. SPOs who have 
previously successfully completed the SRT basic qualification course to 
work at another DOE facility do not have to retake the SRT basic 
qualification as determined by a site-specific assessment of the 
individual. 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 knowledge and skills 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 must 
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 
the SPO or to others.
    (2) SRT maintenance training. After assignment to duties as a 
member of an SRT, an SRT-qualified SPO must receive maintenance 
training annually on each area required by a site-specific JA or METL. 
The annual maintenance training program must be completed over two or 
more sessions appropriately spaced throughout the year. Failure to 
achieve a minimum level of competency must 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 must 
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 at least the minimum 
level of knowledge, skills, 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

[[Page 55200]]

specialists and scope of such duties must be based on site-specific 
needs and approved by the local ODFSA.
    (i) Supervisors--(1) Supervisor training requirements. Prior to 
initial assignment to supervisory duty, each PF supervisor must 
successfully complete a supervisor training program designed to provide 
at least the minimum level of knowledge, skills, 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 must be based on a site-specific JA or 
METL and must 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. SPO supervisors 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 
ODFSA. 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 six months under daylight 
and reduced lighting conditions. Requalification or proficiency 
demonstration must occur no earlier than 30 days prior to, and no later 
than 30 days after, six months from the previous qualification. In the 
case of individually assigned/primary weapons, if the SPO does not re-
qualify during the re-qualification period, the 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 re-qualification period, 
the individual's eligibility for assignment to posts having those post-
specific or crew-served weapons must be suspended until such time as 
proficiency can be demonstrated. To facilitate training programs, 
employers may adjust qualification and proficiency demonstration 
schedules as long as the maximum durations as noted in this section are 
not exceeded.
    (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 ODFSA. Failure to meet the standard 
must be treated as if the individual failed the first attempt during 
routine semiannual qualification or proficiency demonstration. See 
paragraph (k)(10) of this section. In the event the SPO fails both 
attempts, the requirements of paragraphs (k)(11) through (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 semiannual 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 
semiannual 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 closely replicate those of the corresponding 
actual weapon with assigned duty loads, and noise signatures and felt 
recoil should be simulated to the extent technically feasible.
    (6) SPOs assigned to posts which require the operation of 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 weapon 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

[[Page 55201]]

semiannual 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 proficiency 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 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 and weapon 
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 ODFSA, the 
developed courses must be submitted to the respective program office 
for review and approval.
    (10) When qualification or demonstration of proficiency 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 must 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 must 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, in 
order to return to status, 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 must 
be a combination of basic weapon manipulation skills, firearms safety, 
and an additional segment of time individually designed to provide the 
SPO with the necessary individual training to afford a reasonable 
opportunity to meet the firearms/weapons qualification or proficiency 
standards by addressing specific areas of performance.
    (12) When qualification is required following the completion of the 
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 removed from duties that require the issuance of that weapon. 
If the weapon is considered a primary duty weapon; e.g., rifle or 
handgun, the officer must be removed from SPO status based on recurring 
inability to maintain qualification status. If an SPO requires remedial 
training for the same firearm during three consecutive semiannual 
qualification periods, then a fourth remediation shall not be offered 
for subsequent failures to achieve that firearms qualification 
standard. The employer may reinstate an individual removed from SPO 
status if the individual can demonstrate the ability to pass the 
current Department qualification course for that firearm. Prior to 
being given the opportunity to obtain reinstatement, the SPO must 
provide the employer written validation from a certified firearms 
instructor that the SPO has demonstrated the ability to meet applicable 
DOE standards. All such training and validation expenses are solely the 
responsibility of the SPO. If reinstatement under these circumstances 
occurs, the employer 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 must 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 
must 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 ODFSA. 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 
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 as defined by DOE or with 
access to credible roll-up potential to Category I according to site-
specific determination 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

[[Page 55202]]

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 contractor 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 or 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 the appropriate DOE Privacy Act System 
of Records, available at http://energy.gov/sites/prod/files/maprod/documents/FinalPASORNCompilation.1.8.09.pdf.
    (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 must be retained according to the appropriate 
DOE Administrative Records Schedule, available at: http://energy.gov/sites/prod/files/cioprod/documents/ADM_1%281%29.pdf (paragraph 21.1)
    (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 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 must provide written work restrictions 
to the affected SPO/SO and PF management. PF management must develop, 
approve, implement, and operate according to site-specific plans based 
upon the PF contractor's operational and contract structure to ensure 
confidentiality of PF medical information. This plan must permit access 
only to those with a need to know specific 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 Privacy Act of 1974, the 
Health Insurance Portability and Accountability Act of 1996, the Family 
and Medical Leave Act of 1993, and the ADA, as amended by the ADAAA.
[FR Doc. 2013-22022 Filed 9-9-13; 8:45 am]
BILLING CODE 6450-01-P