55174 Federal Register / Vol. 78, No. 175 / Tuesday, September 10, 2013 / Rules and Regulations 

3. Insurance Guarantees, Coverage 

Levels, and Prices for Determining 

Indemnities. 

* * * * * 

(a) You may select only one price 

election percentage for all the 

processing sweet corn in the county 

insured under this policy. The 

percentage of the maximum price 

election you choose for one type will be 

applicable to all other types insured 

under this policy. 

* * * * * 

Signed in Washington, DC, on August 29, 

2013. 

Brandon Willis, 

Manager, Federal Crop Insurance 

Corporation. 

[FR Doc. 2013–21826 Filed 9–9–13; 8:45 am] 

BILLING CODE 3410–08–P 

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. 

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 missionfocused. 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 § 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; John.Cronin@

hq.doe.gov. 

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 


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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 § 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 § 1046.2, Scope. DOE 

revised the text for clarity, but did not 

change it substantively except to 

provide the process for Departmentapproved 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 § 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 § 1046.2 and 

§ 1046.13. 

The term ‘‘corrective device’’ as 

pertains to reasonable accommodation 

has been added as a result of the use of 

this term in § 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 § 1046.17. 

The terms ‘‘medical certification’’ and 

‘‘medical certification disqualification’’ 

have been added as a result of the use 

of these terms in § 1046.13, 1046.14, and 

1046.15. 

The term ‘‘medical examination’’ is 

added and its related requirements are 

described in § 1046.13. 

The terms ‘‘Chief Medical Officer’’ 

and ‘‘Physical Protection Medical 

Director’’ (PPMD) have been added to 

§ 1046.3 and related requirements are 

described in the new § 1046.4. 

The term ‘‘semi-structured interview’’ 

associated with examining PF personnel 


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55176 Federal Register / Vol. 78, No. 175 / Tuesday, September 10, 2013 / Rules and Regulations 

has been added to § 1046.3 and related 

provisions provided in § 1046.13. 

The terms ‘‘Independent review’’ and 

‘‘Final review’’ have been added to 

§ 1046.3 and the process associated with 

medical certification has also been 

added to § 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 sitespecific 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 § 1046.4, renamed 

Physical Protection Medical Director, 

include addressing the PPMD. 

DOE deleted the previous § 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 § 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 § 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 § 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 § 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 


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Federal Register / Vol. 78, No. 175 / Tuesday, September 10, 2013 / Rules and Regulations 55177 

as a defendant in criminal proceedings 

or other events detailed in 1046.4, in the 

same way the PPMD is required to selfreport such events. As a result, DOE 

added language requiring Designated 

Physicians to self-report when an event 

set forth in § 1046.4 takes place. This 

change now ensures programmatic 

consistency. 

Subpart B—PF Personnel 

1. Changes for § 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 § 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 § 1046.16; to have the 

required knowledge, skills and abilities; 

and to meet the requirements of a 

physical training program as identified 

in § 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 § 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 caseby-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 § 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 

§ 1046.13, the reference to waivers of 

medical qualification standards has 

been deleted from the existing 

§ 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 


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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 § 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-onforce 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. 


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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 § 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 § 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 


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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 


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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 § 1046.17 Training 

standards and procedures. 

DOE modified the language of this 

section from the previous § 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 sitespecific 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 § 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 


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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 § 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 § 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 sitespecific 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 § 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. 


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1 DOE notes that the rule would also set forth 

qualification requirements for the PPMD and 

designated physicians. While many Management 

and Operations contractors may have medical 

professionals on staff, subcontractor firms that 

employ physicians, psychologists, and psychiatrists 

may be classified under NAICS Codes 621111, 

Offices of Physicians (except Mental Health 

Specialists), 621112, Offices of Physicians, Mental 

Health Specialists, and 621330, Offices of Mental 

Health Practitioners (except Physicians). To be 

classified as small businesses, these firms must 

have average annual receipts of $10 million, $10 

million, and $7 million, respectively. Because 

individuals employed by these firms likely meet the 

proposed qualification requirements already in 

order to practice in the field, DOE does not believe 

that these requirements would result in a significant 

impact on any small firms employing these 

individuals. 

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

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 


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55184 Federal Register / Vol. 78, No. 175 / Tuesday, September 10, 2013 / Rules and Regulations 

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 

§ 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. 

§ 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 

§ 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 


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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. 

§ 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 § 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 


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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 § 1046.13. 

Mission Essential Task List (METL) 

means a list of common tasks required 

for PF assignments based on sitespecific 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 weaponshandling 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 dyemarking 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 


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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. 

§ 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 § 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 


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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 selfreport 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. 

§ 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 § 1046.11, 

and the physical readiness requirements 

as identified in § 1046.16. 

(b) Nominations. The requirements of 

§ 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 § 1046.4(d) must be 

followed by incumbent Designated 

Physicians. 


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Subpart B—Protective Force (PF) 

Personnel 

§ 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 onscene 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 sitespecific 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 sitespecific 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 warmup; 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 


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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. 

§ 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 § 1046.13 to perform all of the 

applicable essential functions of the job, 

as set forth in § 1046.11; 

(b) Meet the physical readiness 

qualification standards set forth in 

§ 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 

§ 1046.16. 

§ 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 § 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 § 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 


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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 

§ 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 § 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 


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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 preplacement 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 preplacement 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 semistructured 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). 

§ 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 § 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-onforce 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 


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§ 1046.15(c) or, if one is held, the Final 

Review provided for in § 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. 

§ 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 


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55194 Federal Register / Vol. 78, No. 175 / Tuesday, September 10, 2013 / Rules and Regulations 

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 twelvemonth 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 § 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 


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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. 

§ 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 requalify 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 requalification does not affect the 

anniversary date under this section. 

(3) All qualification and requalification 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 yearround physical readiness training 

program consistent with paragraph 

(c)(2) and (3) of this section to: 

(1) Achieve and maintain the cardiorespiratory 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 requalify 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 


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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 sitespecific 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 § 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 


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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 cooldown 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 


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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 § 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. 

§ 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 sitespecific 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 sitespecific 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 


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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 sitespecific 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 sitespecific 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 Departmentapproved 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 sitespecific 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 sitespecific 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 


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55200 Federal Register / Vol. 78, No. 175 / Tuesday, September 10, 2013 / Rules and Regulations 

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 sitespecific 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 sitespecific 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 postspecific 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 crewserved weapons, if the SPO does not 

demonstrate proficiency during the requalification 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 weaponshandling 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 dyemarking 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 


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Federal Register / Vol. 78, No. 175 / Tuesday, September 10, 2013 / Rules and Regulations 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 Departmentallyapproved 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 Departmentallyapproved 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 sitespecific 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. 

§ 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. 

§ 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 


rmajette on DSK2TPTVN1PROD with RULES
55202 Federal Register / Vol. 78, No. 175 / Tuesday, September 10, 2013 / Rules and Regulations 

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. 

§ 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 

DEPARTMENT OF THE TREASURY 

Internal Revenue Service 

26 CFR Part 1 

[TD 9610] 

RIN 1545–BK68 

Regulations Relating to Information 

Reporting by Foreign Financial 

Institutions and Withholding on 

Certain Payments to Foreign Financial 

Institutions and Other Foreign Entities; 

Correction 

AGENCY: Internal Revenue Service (IRS), 

Treasury. 

ACTION: Correcting amendments. 

SUMMARY: This document contains 

corrections to final regulations (TD 

9610), which were published in the 

Federal Register on Monday, January 

28, 2013 (78 FR 5874). The regulations 

related to information reporting by 

foreign financial institutions (FFIs) with 

respect to U.S. accounts and 

withholding on certain payments to 

FFIs and other foreign entities. 

DATES: Effective Date: These corrections 

are effective September 10, 2013. 

Applicability Date: These corrections 

are applicable on January 28, 2013. 

FOR FURTHER INFORMATION CONTACT: John 

Sweeney, (202) 622–3840 (not a toll-free 

call). 

SUPPLEMENTARY INFORMATION: 

Background 

The final regulations that are the 

subject of these corrections are 

§§ 1.1471–1 through 1.1474–7, 

promulgated under sections 1471 

through 1474 of the Internal Revenue 

Code. These regulations affect persons 

making certain U.S.-related payments to 

FFIs and other foreign entities, and 

affect payments by FFIs to other 

persons. Sections 1471 through 1474 

were added to the Internal Revenue 

Code, as Chapter 4 of Subtitle A, by the 

Hiring Incentives to Restore 

Employment Act of 2010 (Pub. L. 111– 

147, 124 Stat. 71). 

Need for Correction 

As published, the final regulations 

contain a number of items that need to 

be corrected or clarified. Several 

citations and cross references are 

corrected. The correcting amendments 

also include the addition, deletion, or 

modification of regulatory language to 

clarify the relevant provisions to meet 

their intended purposes. Additions, 

deletions, and modifications are also 

made to ensure that the rules in the final 

regulations are coordinated with other 


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