This section of the FEDERAL REGISTER

contains notices to the public of the proposed

issuance of rules and regulations. The

purpose of these notices is to give interested

persons an opportunity to participate in the

rule making prior to the adoption of the final

rules.

Proposed Rules Federal Register

13206 

Vol. 77, No. 44 

Tuesday, March 6, 2012 

DEPARTMENT OF ENERGY 

10 CFR Part 1046 

[Docket No. DOE–HQ–2012–0002] 

RIN 1992–AA40 

Protective Force Personnel Medical, 

Physical Readiness, Training, and 

Access Authorization Standards 

AGENCY: Department of Energy. 

ACTION: Notice of proposed rulemaking 

and public hearings. 

SUMMARY: The Department of Energy 

(DOE or Department) proposes to revise 

the regulation governing the standards 

for medical, physical performance, 

training, and access authorizations for 

protective force (PF) personnel 

employed by contractors providing 

security services to the Department. The 

existing version of this regulation was 

promulgated in 1993 and substantial 

portions of the regulation date to the 

mid-1980s. Since 1993 DOE policy has 

placed greater reliance upon technology, 

vehicular response, and increased 

firepower and, correspondingly, has 

reduced its reliance upon the ability of 

PF personnel to perform the running 

tasks required in the current regulation. 

Furthermore, this shift in emphasis has 

placed a greater premium upon the 

retention of mature, tactically 

experienced, and technically 

sophisticated personnel, particularly 

since these personnel represent a 

considerable investment by DOE in 

security background investigations and 

training. The proposed revisions bring 

DOE PF medical and physical readiness 

requirements in line with these tactical 

and organizational priorities. The 

proposed revisions reduce the exposure 

of the PF population to injuries related 

to physical readiness testing. They 

would create a PF readiness 

classification designed specifically to 

encourage the retention of experienced 

personnel. The revisions would further 

ensure that PF personnel would be 

evaluated on a case-by-case basis on 

their ability to perform the essential 

functions of their positions without 

posing a direct threat to themselves or 

site personnel, the facility, or the 

general public. The proposed revisions 

would further ensure that reasonable 

accommodations would be considered 

before a determination is made that an 

individual cannot perform the essential 

functions of a particular position. The 

proposed rule also would provide for 

new medical review processes for PF 

personnel disqualified from medical 

certification. The proposed rule would 

ensure that DOE PF medical and 

physical readiness requirements would 

be compliant with the Americans with 

Disabilities Act (ADA) of 1990, as 

amended by the Americans with 

Disabilities Amendment Act of 2009 

(ADAAA), the Privacy Act and DOE 

implementing regulations, and changes 

in DOE policy regarding PF operations 

made since the publication of the last 

version of this rule. In addition, the 

proposed rule would promote 

operational efficiency through greater 

emphasis on aligning training with 

mission-essential tasks and the 

increased use of simulation 

technologies. Finally, the proposed 

revision would update the regulation to 

reflect organizational changes in the 

Office of Health, Safety and Security 

and the creation of the National Nuclear 

Security Administration (NNSA). 

DATES: Written comments must be 

received by DOE on or before April 5, 

2012. Oral views, data, and arguments 

may be presented at the public hearings, 

which are scheduled as follows: 

• March 15, 2012, in Germantown, 

MD, from 1:30 to 4:30 p.m. 

• March 21, 2012, in Albuquerque, 

New Mexico, from 1:30 to 4:30 p.m. 

ADDRESSES: The public hearings will be 

held at the following addresses: 

• Germantown, MD: DOE 

Germantown Auditorium, 19901 

Germantown Road, 20874 Albuquerque, 

NM: Technology Ventures 

Corporation—McCorkle Room, 1155 

University Blvd., SE 

Written comments should be 

addressed to: Mr. Glenn S. Podonsky, 

Chief Health, Safety and Security 

Officer, Office of Health, Safety and 

Security, HS–1/Forrestal Building, 

Department of Energy, Docket No. DOE– 

HQ–2012–0002, 1000 Independence 

Avenue SW., Washington, DC 20585 or 

via email at 1992–AA40@hq.doe.gov. 

Questions concerning submitting 

written comments should be addressed 

to: Mr. John Cronin, Office of Security 

Policy, Office of Health, Safety and 

Security, Department of Energy, HS–51/ 

Germantown Building, 1000 

Independence Avenue SW., 

Washington, DC 20585–1290, (301) 903– 

6209 or via email at 1992– 

AA40@hq.doe.gov. You may submit 

comments, identified by [DOE–HQ– 

2012–0002 and/or 1992–AA40], by any 

of the following methods: 

• Federal eRulemaking Portal: http:// 

www.regulations.gov. Follow the 

instructions for submitting comments. 

• Email: 1992-AA40@hq.doe.gov. 

Include [DOE–HQ–2012–0002 and/or 

1992–AA40] in the subject line of the 

message. 

• Mail: [Mailing Address for paper, 

disk, or CD–ROM submissions: 

Department of Energy, Office of Security 

Policy, (HS–51, Attn: John Cronin), 1000 

Independence Ave. SW., Washington, 

DC 20585–1290]. 

• Hand Delivery/Courier: [Street 

Address: Department of Energy, Office 

of Security Policy, (HS–51, Attn: John 

Cronin), 1000 Independence Ave. SW., 

Washington, DC 20585–1290]. 

Instructions: All submissions received 

must include the agency name and 

docket number or Regulatory 

Information Number (RIN) for this 

rulemaking. All comments received will 

be posted without change to [http:// 

www.regulations.gov], including any 

personal information provided. 

Docket: For access to the docket to 

read background documents or 

comments received, go to [http:// 

www.regulations.gov or contact John 

Cronin at (301) 903–6209 prior to 

visiting Department of Energy, Office of 

Security Policy, (HS–51), 19901 

Germantown Rd., Germantown, MD 

20874]. 

FOR FURTHER INFORMATION CONTACT: 

Mr. John Cronin, Office of Security 

Policy at (301) 903–6209; 

John.Cronin@hq.doe.gov. 

SUPPLEMENTARY INFORMATION: 

I. Background 

II. Section by Section Analysis 

III. Regulatory Review and Procedural 

Requirements 

A. Review Under Executive Order 12866 

B. Review Under the Regulatory Flexibility 

Act 

C. Review Under Paperwork Reduction Act 

D. Review Under the National 

Environmental Policy Act 


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E. Review Under Executive Order 13132 

F. Review Under Executive Order 12988 

G. Review Under the Unfunded Mandates 

Reform Act of 1995 

H. Review Under Executive Order 13211 

I. Review Under the Treasury and General 

Government Appropriations Act of 1999 

IV. Opportunity for Public Comment 

I. Background 

Pursuant to the Atomic Energy Act of 

1954 (42 U.S.C. 2011 et seq.) and DOE 

Organization Act of 1977 (42 U.S.C. 

7101 et seq.), DOE owns and leases 

defense nuclear and other facilities in 

various locations in the United States. 

These facilities are operated by 

contractors (including subcontractors at 

all tiers) with DOE oversight or are 

operated by DOE. Protection of the DOE 

facilities is provided by armed and 

unarmed PF personnel employed by 

Federal Government contractors. These 

PF personnel are required to perform 

both routine and emergency duties, 

which include patrolling DOE sites, 

manning security posts, protecting 

government and contractor employees, 

property, and sensitive and classified 

information, training for potential crisis 

or emergency situations, and responding 

to security incidents. PF personnel are 

required to meet various job-related 

minimum medical and physical 

readiness qualification standards 

designed to ensure they are capable of 

performing all essential functions of 

normal and emergency PF duties 

without posing a direct threat to 

themselves or others. 

DOE has developed the proposed 

modifications to 10 CFR part 1046 to 

update training and qualification 

criteria, clarify remediation 

requirements, ensure compliance with 

the Privacy Act (5 U.S.C. 552a) and DOE 

regulations implementing the Privacy 

Act (10 CFR part 1008), and ensure that 

medical and readiness qualifications for 

DOE PF personnel established in these 

regulations are in compliance with the 

ADA as amended by the ADAAA. The 

ADA, as amended by the ADAAA, and 

its implementing regulations provide 

that an individual with a disability is 

qualified for a position if he or she 

satisfies the skill, experience, education 

and other job-related requirements of 

the position and can perform the 

‘‘essential functions’’ of the position 

with or without reasonable 

accommodation. An employer must 

make ‘‘reasonable accommodation’’ to 

the known physical or mental 

limitations of a qualified individual 

with a disability, unless the employer 

can demonstrate that a particular 

accommodation would impose ‘‘undue 

hardship’’ on the operation of its 

business. Further, an employer may 

require, as a qualification standard, that 

an individual not pose a ‘‘direct threat’’ 

to that individual or others. This rule 

proposes the minimum medical and 

physical readiness performance 

standards for PF personnel, and the 

criteria required to develop, record, and 

communicate a medical opinion of each 

individual’s ability to perform, with or 

without accommodation, all essential 

functions of normal and emergency PF 

duties without posing a direct threat to 

that individual or to others. 

The proposed modifications to 10 

CFR part 1046 are described in the 

Section by Section Analysis in section 

II below. 

II. Section by Section Analysis 

The heading for this part would be 

revised to Protective Force Personnel 

Medical, Physical Readiness, Training 

and Access Authorization Standards. 

The revision is intended to more 

accurately reflect the contents of the 

regulation. 

Subpart A—General 

1. Proposed changes for § 1046.1, 

Purpose, would revise the language of 

this section for clarity, but would not 

change it substantively. 

2. Proposed changes for § 1046.2, 

Scope, would revise for clarity, but 

would not change it substantively 

except to provide the process for 

Department-approved exemptions from 

the requirements of these regulations. 

Language has been added to indicate 

that part 1046 would encourage the use 

of a single physician to fill multiple 

roles as required by this part and title. 

In addition, the requirements of part 

1046 could be fulfilled in the course of 

compliance with other DOE regulations. 

This is intended to facilitate efficiency, 

avoid duplicative examinations and 

testing, and the appropriate sharing of 

medical information related to PF 

personnel. 

3. Proposed changes for § 1046.3, 

Definitions, would add the following. 

The terms ‘‘direct threat’’ and 

‘‘essential functions of the job’’ would 

be defined consistent with the 

definitions of these terms in the 

ADAAA. 

The terms ‘‘defensive combative 

standard’’ and ‘‘offensive combative 

standard’’ would be replaced with 

‘‘basic readiness standard’’ (BRS) and 

‘‘advanced readiness standard’’ (ARS) 

personnel to better identify the 

requirements of these standards. 

Additionally, a new physical readiness 

standard which identifies requirements 

for personnel staffing stationary posts, 

the ‘‘fixed post readiness standard’’ 

(FPRS) has been added. 

The terms ‘‘guard’’ and ‘‘security 

inspector’’ would be replaced with 

‘‘security officer’’ (SO) and ‘‘security 

police officer’’ (SPO) to conform to 

current usage for the names of these 

positions. The term ‘‘PF personnel’’ 

would also be added to encompass SOs, 

SPOs and special response team (SRT)- 

qualified personnel. 

The term ‘‘Designated Physician’’ and 

its definition would be updated. 

The term ‘‘field organization’’ would 

be replaced with ‘‘field element’’ to 

conform to current usage. 

The term ‘‘applicants’’ as pertains to 

PF personnel would be added as a result 

of the use of this term in proposed 

section 1046.11. 

The term ‘‘corrective devices’’ as 

pertains to reasonable accommodation 

would be added as a result of the use 

of this term in proposed section 

1046.13. 

The term ‘‘emergency conditions’’ as 

an aspect of PF personnel performance 

requirements would be added due to the 

use of this term in proposed section 

1046.17. 

The terms ‘‘medical certification’’ and 

‘‘medical certification disqualification’’ 

would be added as a result of the use 

of these terms in proposed sections 

1046.13, 1046.14, and 1046.15. 

The term ‘‘medical examination’’ is 

added and its related requirements 

would be described in section 1046.13. 

The terms ‘‘Chief Medical Officer,’’ 

‘‘Site Occupational Medical Director’’ 

(SOMD), and ‘‘Physical Protection 

Medical Director’’ (PPMD) would be 

added to section 1046.3 and related 

requirements would be described in the 

new proposed section 1046.4. 

The term ‘‘semi-structured 

interviews’’ associated with examining 

PF personnel would be added to section 

1046.3 and related provisions provided 

in section 1046.13. 

The terms ‘‘Independent Review’’ and 

‘‘Final Review’’ would be added to 

section 1046.3 and the process 

associated with medical certification 

would also be added to section 1046.15 

in this proposed update of the 

regulations. 

The term ‘‘medical condition’’ is 

outdated and would therefore no longer 

be used in the regulations. 

4. Proposed changes for § 1046.4 to 

include addressing the PPMD. 

DOE proposes to delete the existing 

section 1046.4, Use of Number and 

Gender, as unnecessary. Standard rules 

of construction acknowledge that words 

in the singular also include the plural 

and words in the masculine also include 

the feminine, and vice versa, as the use 

may require. The new section 1046.4 

proposes the required qualifications of 


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the PPMD and the responsibilities of the 

PPMD to oversee site physical 

protection medical activities and to 

nominate and evaluate the performance 

of the Designated Physician. The 

required qualifications for Designated 

Physicians to be nominated are also 

proposed in this section. This section 

would also enhance DOE oversight of 

the PPMD and Designated Physicians 

DOE facilities. 

5. Proposed changes for § 1046.5 

Designated Physician. 

This new section proposes the roles 

and responsibilities for the position of 

Designated Physician. Among other 

duties, the Designated Physician would 

be responsible for the medical 

examination of SOs and SPOs and 

would determine whether portions of 

each certification examination could be 

performed by other qualified personnel. 

Subpart B—PF Personnel 

1. Proposed changes for § 1046.11 

Essential functions of PF personnel 

This new section proposes the 

essential functions for SOs, SPOs and 

SRT-qualified PF personnel. Specific 

requirements for FPRS, BRS, and ARS 

SPO personnel are proposed. 

2. Proposed changes for § 1046.12 

Medical, physical readiness, and 

training requirements for PF personnel. 

This section proposes to establish the 

medical certification requirements for 

PF personnel to support their meeting 

the physical readiness qualification 

requirements proposed in section 

1046.16; to have the required 

knowledge, skills and abilities; and to 

meet the requirements of a physical 

training program as proposed in section 

1046.17. 

3. Proposed changes for § 1046.13 

Medical certification standards and 

procedures. 

This section proposes to update 

language in the existing Appendix A to 

Subpart B and require all applicant and 

incumbent PF personnel to satisfy the 

applicable medical certification 

standards; proposes the medical 

standards for SOs and SPOs; and 

proposes that Field Elements may 

develop more stringent medical 

qualification requirements or additional 

medical or physical tests, in 

collaboration with the PPMD, where 

special assignment duties may require 

such additional testing. 

The required frequency of medical 

certification would remain unchanged. 

Incumbent SOs would be reexamined by 

the Designated Physician every two 

years (24 months) after beginning work. 

Incumbent SPOs would be reexamined 

by the Designated Physician every 12 

months. The recertification requirement 

for both SOs and SPOs would be 

clarified to require recertification within 

thirty days of the 24-month or 12-month 

anniversary of the previous 

qualification. In addition, this section 

proposes that the medical examination 

include a review by the Designated 

Physician of essential functions of the 

position, as provided by PF 

management and a requirement that a 

semi-structured interview with a 

psychologist who meets standards 

established by DOE be conducted for 

SOs and SPOs, as part of the initial 

medical evaluation and periodically 

thereafter. The proposed changes in this 

section also will allow the Designated 

Physician to require any other medical 

examination, test, consultation or 

evaluation he/she deems necessary. 

There are several changes proposed 

by DOE for compliance purposes with 

the ADA, as amended by the ADAAA, 

which does not permit blanket medical 

disqualification standards based on the 

presence of a particular medical 

condition. Individuals must be 

evaluated on a case-by-case basis to 

determine their ability to perform the 

essential functions of the job without 

posing a direct threat to themselves or 

others. Moreover, the ADAAA requires 

employers to make ‘‘reasonable 

accommodations’’ for individuals with 

disabilities unless it creates an undue 

hardship for the employer. Language 

has been added to paragraph (a) 

referring to ‘‘essential functions’’ as set 

forth in section 1046.11 and ‘‘direct 

threat.’’ The section would also require, 

consistent with ADAAA, that each 

member of the PF be medically certified 

as able to perform the essential 

functions of that individual’s job. 

Finally, as a result of the proposed 

1046.13, the reference to waivers of 

medical qualification standards would 

be deleted from the existing section 

1046.11, because each individual will 

be evaluated on a case-by-case basis to 

determine the individual’s ability to 

perform the essential functions of the 

individual’s specific position. This 

section also adds a requirement for a 

health status exit review for all 

employees leaving PF service. 

This section also amends the language 

regarding the use of corrective devices 

and reasonable accommodations that 

must be made to modify emergency and 

protective equipment to be compatible 

with these devices. Paragraph (g)(3) 

proposes that a determination regarding 

the compatibility of such devices with 

emergency and protective equipment be 

made by a designated supervisor in 

conjunction with the Designated 

Physician. Paragraph (g)(4) proposes to 

require that management personnel take 

reasonable steps to accommodate 

protective equipment for individuals 

with corrective devices. 

The ability of PF personnel to engage 

in physical training and testing without 

undue risk, and to safely and efficiently 

perform essential job functions, with or 

without reasonable accommodation, 

without posing a direct threat to their 

own or others’ safety, depends on the 

ability of those individuals to meet 

physical and medical standards 

(medical certification). Failure to 

comply with these medical standards 

will result in denial of medical 

certification for employment. 

• § 1046.14 Medical certification 

disqualification. 

This new section proposes the process 

for medical certification 

disqualification. Such disqualification is 

the determination by the PPMD that an 

individual, with or without reasonable 

accommodation, is unable to perform 

the essential functions of an SO or SPO 

job position, including the required 

physical fitness training and physical 

readiness qualifications (for SPOs), 

without creating a direct threat to that 

individual or others. 

A new provision has been added that 

would require responsible employers to 

offer an SPO medical removal if the 

Designated Physician determines in a 

written medical opinion that it is 

medically appropriate to remove the 

SPO from PF duties as a result of 

injuries sustained while engaging in 

required physical fitness or training 

activities (e.g., preparing for or 

participating in a physical readiness 

standard qualification attempt). The 

provision would require that the 

Designated Physician’s determination, 

approved by the PPMD, be based on an 

examining physician’s recommendation 

or any other signs or symptoms that the 

PPMD deems medically sufficient to 

remove an SPO. 

• § 1046.15 Review of medical 

certification disqualification. 

This new section would permit an 

individual denied medical certification 

for employment in a particular position 

to request in writing that an 

Independent Review of his/her case be 

conducted. If the Independent Review 

of an individual’s case results in an 

unfavorable decision from the Office of 

Health, Safety and Security, the 

individual would be able to petition the 

DOE Office of Hearings and Appeals for 

a Final Review. Procedures for the 

proposed review process are described 

in detail in this section. 

• § 1046.16 SPO physical readiness 

qualification program requirements. 

This section proposes the program 

requirements (FPRS, BRS, and ARS) for 


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individual SPO fitness assessments, 

physical readiness maintenance, 

remedial physical fitness training, and 

safety. The FPRS level is proposed to be 

added, which would be required to be 

physically demonstrated every year but 

would not require a running standard. 

These changes would result in an 

overall 90 percent reduction in exposure 

to potential injuries associated with 

physical readiness qualification running 

tests for the population of BRS and ARS 

SPOs. While the previous physical 

readiness running standards would be 

retained for the BRS and ARS levels, the 

number of officers annually asked to 

demonstrate that readiness would be 

reduced. Greater reliance would be 

placed on medical evaluation to 

determine physical readiness of BRS 

and ARS SPOs. In addition to the 

medical evaluation process, which is 

analogous to that used as the physical 

readiness evaluation by law 

enforcement agencies, the DOE 

evaluation program would be validated 

by testing of randomly selected BRS and 

ARS SPOs. 

• § 1046.17 Training standards and 

procedures. 

DOE proposes to modify the language 

of this section from the existing section 

1046.15, incorporating standards 

currently set forth in Appendix B to 

Subpart B, and DOE Order 473.3, 

Protection Program Operations, https:// 

www.directives.doe.gov/directives/ 

current-directives/473.3-BOrder/view. 

Specific training requirements and 

knowledge, skills, and abilities would 

be replaced with the requirement that 

PF personnel and their supervisors 

possess the knowledge, skills and 

abilities necessary to protect DOE 

security interests. The knowledge, skills 

and abilities that would be required 

would be developed based on the 

applicable Job Analysis (JA) or Mission 

Essential Task List (METL). This 

proposal would ensure that training 

requirements comport readily to 

existing conditions and essential job 

functions as dictated by the site-specific 

JA or METL. 

Firearms qualification requirements 

would be modified regarding how SPOs 

are required to qualify with the 

individually-issued and primary 

weapons required by their duty 

assignment (i.e., specialty weapon, long 

gun and/or handgun). These 

requirements would also require that to 

operate post-assigned site-specific 

specialized or crew-served weapons, the 

SPO must be trained and demonstrate 

proficiency in the safe use of such 

weapons in a tactical environment. 

DOE also proposes to clarify the 

procedure for developing site-specific 

and/or specialized courses of fire. 

• § 1046.18 Access authorization. 

The language of this section would be 

modified from the existing 1046.14 rule 

for clarity and to eliminate the 

requirement for all armed PF members 

to have a minimum ‘‘L’’ access 

authorization. The revised provision 

would instead require that, at a 

minimum, a favorably adjudicated 

background investigation including 

national agency check with local agency 

and credit check (NACLC) be conducted 

to ensure the individual’s suitability for 

arming. A ‘‘Q’’ access authorization 

would continue to be required under 

certain circumstances. 

• § 1046.19 Medical/fitness for duty 

status reporting requirements. 

This new section proposes to restate 

the reporting requirements for PF 

personnel but has not changed 

substantially from the requirements in 

Appendix A of the existing rule. The 

section would clarify the requirement 

that PF personnel advise their 

supervisors when they have an 

unspecified change in their health status 

that might impair their ability to 

perform job duties. PF personnel would 

also be required to provide a detailed 

report identifying the change to the 

Designated Physician. This section 

would also require PF personnel to 

advise their supervisors when a 

corrective device is not functioning 

properly. 

In addition, this section would restate 

the requirement that management report 

to the Designated Physician any 

physical, behavioral, or health changes 

or deterioration in work performance in 

PF personnel under their jurisdiction. 

The section contains new language 

requiring the Designated Physician to be 

informed of all anticipated job transfers 

involving either upward or downward 

recategorization (e.g., from SO to armed 

status, from armed status to SO, or from 

PF to other assignments). 

• § 1046.20 Medical record 

maintenance requirements. 

This section proposes to clarify record 

retention and confidentiality 

requirements contained in Appendix A, 

section C, of the existing version of the 

rule. This rule would substitute 

language on the inability to perform the 

essential functions of the job for the 

term ‘‘disqualifying defects.’’ Language 

has been added to make it clear that 

access to medical information 

developed pursuant to the requirements 

of this part can be appropriately shared 

to satisfy the requirements of other parts 

of this or other titles. Thus duplicative 

testing or examinations can be avoided. 

Additionally, a more explicit discussion 

of medical records confidentiality has 

been added for consistency with the 

requirements of the Privacy Act and 

DOE’s implementing regulations. 

• § 1046.21 Materials incorporated 

by reference. 

This section lists the industry 

standards proposed to be incorporated 

by reference in DOE’s PF regulations. 

• Appendix A to Subpart B of Part 

1046—Medical and Physical Fitness 

Qualifications Standards and Appendix 

B to Subpart B of Part 1046—Training 

Qualification for Security Skills and 

Knowledge. 

These Appendices have been removed 

and necessary elements have been 

incorporated into the rule for clarity and 

completeness, as described in the 

preceding discussion. 

III. Rulemaking Requirements 

A. Review Under Executive Order 12866 

This action does not constitute a 

‘‘significant regulatory action’’ as 

defined in section 3(f) of Executive 

Order 12866, ‘‘Regulatory Planning and 

Review’’ (58 FR 51735). 

B. Review Under the Regulatory 

Flexibility Act 

The Regulatory Flexibility Act (5 

U.S.C. 601 et seq.) requires preparation 

of a regulatory flexibility analysis for 

any rule that by law must be proposed 

for public comment, unless the agency 

certifies that the rule, if promulgated, 

will not have a significant economic 

impact on a substantial number of small 

entities. As required by Executive Order 

13272, ‘‘Proper Consideration of Small 

Entities in Agency Rulemaking’’ (67 FR 

53461, Aug. 16, 2002), DOE published 

procedures and policies on February 19, 

2003, to ensure that the potential 

impacts of its rules on small entities are 

properly considered during the 

rulemaking process. DOE has made its 

procedures and policies available on the 

Office of the General Counsel’s Web site 

(www.gc.doe.gov). 

DOE has reviewed today’s proposed 

rule under the Regulatory Flexibility 

Act and certifies that, if adopted, the 

rule would not have a significant impact 

on a substantial number of small 

entities. This proposed action would 

amend an existing rule which 

establishes medical and physical 

training requirements and standards for 

DOE PF personnel. The rule would 

affect approximately twenty private 

firms (e.g., integrated Management and 

Operating contractors, security services 

contractors and subcontractors) at the 

Department’s facilities around the 

United States. Some of those firms 


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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. 

which provide protective services are 

classified under NAICS Code 561612, 

Security Guards and Patrol Services. To 

be classified as a small business, they 

must have average annual receipts of 

$18.5 million or less. Some of the 

private firms affected by these standards 

and requirements would be classified as 

small businesses. 

The proposed rule would update the 

medical certification and physical 

readiness requirements for PF personnel 

and require PF contractors to make 

reasonable accommodations to modify 

emergency and protective equipment for 

qualified individuals. The rule would 

also set forth the essential functions that 

PF personnel would be required to 

meet, with or without such reasonable 

accommodation. Medical certification 

and physical readiness requirements are 

currently set forth in Appendix A to 

subpart B of 10 CFR part 1046, and the 

proposed updates, which are applicable 

to individual PF personnel rather than 

their employer, are not expected to 

impose a significant cost impact. While 

these essential functions for PF 

personnel have not previously been 

specified by regulation, DOE has 

determined that PF personnel must 

already be able to perform these 

functions to adequately perform their 

job responsibilities. In addition, while 

the reasonable accommodation 

provisions are not currently specified by 

the current regulation, such 

accommodations are already required by 

the ADA, as amended by the ADAAA. 

The rule also proposes a process for 

review of a medical certification 

disqualification and for medical 

removal protection benefits in certain 

circumstances. The proposed review 

process would be conducted by the DOE 

Office of Health Safety and Security 

(independent review) and the DOE 

Office of Hearings and Appeals (final 

review), and as such are therefore not 

expected to result in a significant 

impact on affected small businesses. 

Any medical removal protection 

benefits would be reduced to the extent 

worker’s compensation is provided and 

will be reimbursable to the contractor 

under the applicable contract with DOE. 

The rule would also update the 

training standards and procedures for 

PF officers, and makes minor updates to 

existing reporting and records 

maintenance requirements. The training 

standards and procedures are currently 

set forth at Appendix B to subpart B of 

10 CFR part 1046. The proposed 

updates, intended to tailor training 

requirements to existing conditions and 

essential job functions specified in a 

site-specific JA or METL, are not 

expected to result in significant 

increases in costs to meet these 

requirements. Medical records are 

maintained by the designated physician 

and the evaluating psychologist, and the 

proposed updates would require PF 

personnel management to develop plans 

to ensure the confidentiality of medical 

information. Such confidentiality is 

already required by other existing 

regulations.1

Because these standards and 

requirements are primarily clarifications 

and updates to existing standards and 

requirements, DOE does not believe that 

the impact on these firms would be 

significant. DOE seeks comment on its 

estimate of the number of small entities 

and the expected impacts of today’s 

proposed rule. DOE emphasizes that 

these firms are under contract to DOE 

either directly or indirectly, so any costs 

incurred while meeting the standards 

and requirements proposed in this rule 

would be invoiced and may be 

reimbursable in accordance with the 

terms of the contract and applicable 

law. 

For the above reasons, DOE certifies 

that the proposed rule, if adopted, will 

not have a significant economic impact 

on a substantial number of small 

entities. 

C. Review Under Paperwork Reduction 

Act 

No new information collection 

requirements subject to the Paperwork 

Reduction Act, 44 U.S.C. 3501 et seq., 

are imposed by this regulatory action. 

D. Review Under the National 

Environmental Policy Act 

This proposed rule amends existing 

policies and procedures establishing 

medical and physical readiness 

standards for DOE PF personnel and has 

no significant environmental impact. 

Consequently, the Department has 

determined that this rule is covered 

under Categorical Exclusion A–5, of 

Appendix A to Subpart D, 10 CFR part 

1021, which applies to a rulemaking 

that addresses amending an existing 

rule or regulation that does not change 

the environmental effect of the rule or 

regulation being amended. Accordingly, 

neither an environmental assessment 

nor an environmental impact statement 

is required. 

E. Review Under Executive Order 13132 

Executive Order 13132, ‘‘Federalism,’’ 

(64 FR 43255, August 4, 1999), imposes 

certain requirements on agencies 

formulating and implementing policies 

or regulations that preempt State law or 

that have federalism implications. 

Agencies are required to develop a 

formal process to ensure meaningful 

and timely input by State and local 

officials in the development of 

regulatory policies that have 

‘‘federalism implications.’’ Policies that 

have federalism implications are 

defined in the Executive Order to 

include regulations that have 

‘‘substantial direct effects on the States, 

on the relationship between the national 

government and the States, or on the 

distribution of power and 

responsibilities among the various 

levels of government.’’ On March 7, 

2011, DOE published a statement of 

policy describing the intergovernmental 

consultation process it will follow in the 

development of such regulations (65 FR 

13735, March 14, 2000). 

DOE has examined the proposed and 

revised rule and has determined that it 

does not have a substantial direct effect 

on the States, on the relationship 

between the national government and 

the States, or on the distribution of 

power and responsibilities among the 

various levels of government. No further 

action is required by Executive Order 

13132. 

F. Review Under Executive Order 12988 

Section 3 of Executive Order 12988, 

(61 FR 4729, February 7, 1996), instructs 

each agency to adhere to certain 

requirements in promulgating new 

regulations. These requirements, set 

forth in section 3(a) and (b), include 

eliminating drafting errors and needless 

ambiguity, drafting the regulations to 

minimize litigation, providing clear and 

certain legal standards for affected legal 

conduct, and promoting simplification 

and burden reduction. Agencies are also 

instructed to make every reasonable 

effort to ensure that the regulation 

describes any administrative proceeding 

to be available prior to judicial review 

and any provisions for the exhaustion of 

administrative remedies. The 

Department has determined that this 

regulatory action meets the 

requirements of section 3(a) and (b) of 

Executive Order 12988. 


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G. Review Under the Unfunded 

Mandates Reform Act of 1995 

Title II of the Unfunded Mandates 

Reform Act of 1995 (UMRA) requires 

each Federal agency to assess the effects 

of Federal regulatory action on state, 

local and tribal governments and the 

private sector. For proposed regulatory 

actions likely to result in a rule that may 

cause expenditures by State, local, and 

Tribal governments, in the aggregate, or 

by the private sector of $100 million or 

more in any one year (adjusted annually 

for inflation), section 202 of UMRA 

requires a Federal agency to publish 

estimates of the resulting costs, benefits, 

and other effects on the national 

economy. UMRA also requires Federal 

agencies to develop an effective process 

to permit timely input by elected 

officers of State, local, and Tribal 

governments on a proposed ‘‘significant 

intergovernmental mandate.’’ In 

addition, UMRA requires an agency 

plan for giving notice and opportunity 

for timely input to small governments 

that may be affected before establishing 

a requirement that might significantly or 

uniquely affect them. On March 18, 

1997, DOE published a statement of 

policy on its process for 

intergovernmental consultation under 

UMRA (62 FR 12820, March 18, 1997). 

(This policy is also available at http:// 

www.gc.doe.gov). Today’s proposed rule 

contains neither an intergovernmental 

mandate, nor a mandate that may result 

in the expenditure of $100 million or 

more in any year, so these requirements 

do not apply. While the rule would 

require certain private sector employers 

and employees (i.e., DOE security 

contractors and certain PF personnel 

employed by them) to meet certain jobrelated medical and physical training 

standards and requirements, the impact 

is not likely to result in the expenditure 

of $100 million or more in any year. In 

addition, any costs incurred by 

employers in meeting these 

requirements would be invoiced and 

may be reimbursable in accordance with 

the terms of the contract and applicable 

law. 

H. Review Under Executive Order 13211 

Executive Order 13211, ‘‘Actions 

Concerning Regulations That 

Significantly Affect Energy Supply, 

Distribution, or Use,’’ (66 FR 28355, 

May 22, 2001) requires Federal agencies 

to prepare and submit to the Office of 

Information and Regulatory Affairs 

(OIRA), Office of Management and 

Budget, a Statement of Energy Effects for 

any proposed significant energy action. 

A ‘‘significant energy action’’ is defined 

as any action by an agency that 

promulgates or is expected to lead to the 

promulgation of a final rule, and that: 

(1) Is a significant regulatory action 

under Executive Order 12866, or any 

successor order; and (2) is likely to have 

a significant adverse effect on the 

supply, distribution, or use of energy; or 

(3) is designated by the Administrator of 

OIRA as a significant energy action. For 

any proposed significant energy action, 

the agency must give a detailed 

statement of any adverse effects on 

energy supply, distribution, or use 

should the proposal be implemented, 

and of reasonable alternates to the 

action and their expected benefits on 

energy supply, distribution, and use. 

This proposed rule is not a significant 

energy action, nor has it been 

designated as such by the Administrator 

of OIRA. Accordingly, DOE has not 

prepared a Statement of Energy Effects. 

I. Review Under the Treasury and 

General Government Appropriations 

Act, 1999 

Section 654 of the Treasury and 

General Government Appropriations 

Act, 1999 (Pub. L. 105–277) requires 

Federal agencies to issue a Family 

Policymaking Assessment for any 

proposed rule or policy that may affect 

family well-being. Today’s proposed 

rule would not have any impact on the 

autonomy or integrity of the family as 

an institution. Accordingly, DOE has 

concluded that it is not necessary to 

prepare a Family Policymaking 

Assessment. 

IV. Opportunity for Public Comment 

A. Participation in Rulemaking 

DOE encourages the maximum level 

of public participation in this 

rulemaking. Interested persons are 

encouraged to participate in the public 

hearings at the times and places 

indicated at the beginning of this 

proposed rulemaking. 

DOE has established a period of thirty 

days following publication of this 

proposed rulemaking for persons and 

organizations to comment. All public 

comments, hearing transcripts, and 

other docket material will be available 

for review and copying at the DOE 

offices at each of the hearing sites. The 

docket material will be filed under 

‘‘DOE–HQ–2012–0002.’’ 

B. Written Comment Procedures 

Interested persons are invited to 

participate in this proceeding by 

submitting written data, views or 

arguments with respect to the subjects 

set forth in this proposed rulemaking. 

Instructions for submitting written 

comments are set forth at the beginning 

of this notice and below. Where 

possible, comments should identify the 

specific section they address. 

Comments should be labeled both on 

the envelope and on the documents, 

‘‘Docket No. DOE–HQ–2012–0002’’ and 

must be received by the date specified 

at the beginning of this proposed 

rulemaking. All comments and other 

relevant information received by the 

date specified at the beginning of this 

proposed rulemaking will be considered 

by DOE in the subsequent stages of the 

rulemaking process. 

Pursuant to the provisions of 10 CFR 

part 1004, any person submitting 

information or data that is believed to be 

confidential and exempt by law from 

public disclosure should submit one 

complete copy of the document and 

three copies, if possible, from which the 

information believed to be confidential 

has been deleted. DOE will make its 

own determination with regard to the 

confidential status of the information or 

data and treat it according to its 

determination. 

C. Public Hearings 

The dates, times and places of the 

public hearings are indicated at the 

beginning of this proposed rulemaking. 

DOE invites any person or organization 

who has an interest in these proceedings 

to make a request to make an oral 

presentation at one of the public 

hearings. Requests can be phoned in 

advance to the telephone number 

indicated at the beginning of this 

proposed rulemaking. The person 

making the request should provide a 

telephone number where he or she may 

be contacted. 

DOE reserves the right to schedule the 

presentations, and to establish the 

procedures governing the conduct of the 

hearings. Each presentation is limited to 

ten minutes. 

A DOE official will be designated to 

preside at the hearings and ask 

questions. The hearings will not be 

judicial or evidentiary-type hearings, 

but will be conducted in accordance 

with section 501 of the DOE 

Organization Act, 42 U.S.C. 7191. At the 

conclusion of all initial oral statements, 

each person who has made an oral 

statement will be given the opportunity 

to make a rebuttal or clarifying 

statement, subject to time limitations. 

Any further procedural rules regarding 

proper conduct of the hearings will be 

announced by the presiding official. 

Transcripts of the hearings will be 

made and the entire record of this 

rulemaking, including the transcripts, 

will be retained by DOE and made 

available for inspection as provided at 

the beginning of this proposed 


srobinson on DSK4SPTVN1PROD with PROPOSALS
13212 Federal Register / Vol. 77, No. 44 / Tuesday, March 6, 2012 / Proposed Rules 

rulemaking. Any person may also 

purchase a copy of a transcript from the 

transcribing reporter. 

List of Subjects in 10 CFR Part 1046 

Government contracts, Incorporation 

by reference, Reporting and 

recordkeeping requirements, Security 

measures. 

Issued in Washington, DC, on February 10, 

2012. 

Daniel B. Poneman, 

Deputy Secretary of Energy. 

For the reasons set out in the 

preamble, the Department of Energy 

(DOE) proposes to amend Chapter X of 

Title 10 of the Code of Federal 

Regulations by revising part 1046 to 

read as follows: 

PART 1046—MEDICAL, PHYSICAL 

READINESS, TRAINING, AND ACCESS 

AUTHORIZATION STANDARDS FOR 

PROTECTIVE FORCE PERSONNEL 

Subpart A—General 

Sec. 

1046.1 Purpose. 

1046.2 Scope. 

1046.3 Definitions. 

1046.4 Physical Protection Medical Director 

(PPMD). 

1046.5 Designated Physician. 

Subpart B—Protective Force (PF) Personnel 

1046.11 Essential functions of PF positions. 

1046.12 Medical, physical readiness, and 

training requirements for PF personnel. 

1046.13 Medical certification standards and 

procedures. 

1046.14 Medical certification 

disqualification. 

1046.15 Review of medical certification 

disqualification. 

1046.16 SPO physical readiness 

qualification standards and procedures. 

1046.17 Training standards and procedures. 

1046.18 Access authorization. 

1046.19 Medical and fitness for duty status 

reporting requirements. 

1046.20 Medical records maintenance 

requirements. 

1046.21 Materials incorporated by 

reference. 

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

U.S.C. 7101, et seq.; 50 U.S.C. 2401, et seq. 

Subpart A—General 

§ 1046.1 Purpose. 

This part establishes the medical, 

physical readiness, training and 

performance standards for contractor 

protective force (hereinafter ‘‘PF’’) 

personnel who provide security services 

at Department of Energy (DOE) facilities 

including the National Nuclear Security 

Administration (NNSA). DOE and 

NNSA may choose to incorporate 

elements of these standards into Federal 

protective force programs. 

§ 1046.2 Scope. 

(a) This part applies to DOE, 

including NNSA, hereinafter ‘‘DOE’’ or 

the ‘‘Department,’’ contractor employees 

and applicants for contractor protective 

force positions at government-owned or 

government leased facilities, regardless 

of whether the facility is privately 

operated. This part provides for the 

establishment of physical security 

programs based on uniform standards 

for medical, physical performance, 

training, and access authorizations for 

PF personnel providing physical 

security services to the Department. 

(b) Use of a single, suitably qualified 

individual is encouraged when it is 

operationally, fiscally, or otherwise 

appropriate to perform multiple roles as 

required in this part (e.g., Designated 

Physician and Protection Program 

Medical Director). Similarly, when 

appropriate medical, psychological, or 

other examinations, evaluations, or 

testing required by other DOE 

regulations can be used to satisfy the 

requirements of multiple parts of this 

title; nothing in this part is intended to 

require duplicative examinations, 

evaluations, or testing as long as the 

requirements of this part are met. 

(c) The Department is authorized to 

grant such exemptions from the 

requirements of this part as it 

determines are authorized by law. 

Exemptions may not be granted from the 

requirement to meet any essential 

function of a position notwithstanding 

that reasonable accommodation must be 

granted as required by this part and the 

Americans with Disabilities Act of 1990 

(ADA), as amended by the Americans 

with Disabilities Act Amendment Act of 

2009 (ADAAA), and its implementing 

regulations. Exemptions from nonmedical requirements are allowed only 

on a case-by-case basis for a specific 

requirement covered under this part. 

The Department must document that the 

exemption will not endanger life or 

property or the common defense and 

security, and is otherwise in the public 

interest. The exemption process 

required by DOE must be used. 

Exemptions must be made from this part 

in consultation with the Chief Health, 

Safety and Security Officer and 

approved by the Secretary, Deputy 

Secretary, or for the National Nuclear 

Security Administration, the 

Administrator. Granting of 

equivalencies is not authorized. 

(d) Requests for technical clarification 

of the requirements of this part by 

organizations or individuals affected by 

its requirements must be made in 

writing through the appropriate program 

or staff offices of the Department. Such 

requests must be coordinated with the 

Office of Health, Safety and Security or 

its successor organization. The Office of 

Health, Safety and Security is 

responsible for providing a written 

response to such requests. Requests for 

interpretations of the requirements of 

this part may be made to the General 

Counsel. The General Counsel is 

responsible for providing responses to 

such requests. 

§ 1046.3 Definitions. 

The following definitions apply to 

this part: 

Active shooter means an individual 

actively engaged in killing or attempting 

to kill a person or persons in a confined 

and populated area. 

Advanced Readiness Standard (ARS) 

means a qualification standard that 

includes the requirements of the Fixed 

Post Readiness Standard (FPRS), but 

also requires the completion of a one 

mile run with a maximum qualifying 

time of 8 minutes 30 seconds, and a 40- 

yard dash from the prone position in 8.0 

seconds and any other site-specific 

measure of physical readiness 

prescribed by site management and 

approved by the respective program 

office. This standard applies to SPOs 

who staff security posts that normally 

require extensive tactical movement on 

foot or are assigned Special Response 

Team duties. 

Applicant means a person who has 

applied for and been conditionally 

offered a position as a Security Officer 

(SO) or a Security Police Officer (SPO), 

but who has not yet begun the active SO 

or SPO duties for which the person has 

applied. 

Basic Readiness Standard (BRS) 

means a qualification standard that 

includes the requirements of the FPRS, 

but also requires the completion of a 

one-half mile run with a maximum 

qualifying time of 4 minutes, 40 

seconds, and a 40-yard dash from the 

prone position in 8.5 seconds and any 

other site-specific measure of physical 

readiness prescribed by site 

management and approved by the 

respective program office. This standard 

applies to SPOs with mobile defensive 

duties in support of facility protection 

strategies. 

Chief Medical Officer means a Federal 

employee who is a doctor of medicine 

(MD) or doctor of osteopathic medicine 

(DO) who is licensed without restriction 

and qualified in the full range of 

occupational medicine services 

employed by the Department’s health, 

safety, and security programs. This 

individual provides leadership and 

technical support for these programs 

and must be identified in writing. 


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Contractor means a contractor for the 

Department and includes subcontractors 

at all tiers. 

Corrective device means devices, such 

as eyeglasses or hearing aids, which are 

necessary to enable an examinee to meet 

medical qualification standards, and 

which the supervisor responsible for the 

performance of the examinee and the 

Designated Physician have determined 

are compatible with the performance of 

the essential functions of the position. 

Designated Physician means an MD or 

DO, licensed without restriction in the 

state of practice, who has been approved 

by the Physical Protection Medical 

Director (PPMD). The Office of Health 

Safety and Security must be consulted 

regarding an individual’s suitability 

prior to appointment as a Designated 

Physician. 

Direct threat means a significant risk 

of substantial harm to the health or 

safety of the individual or others. The 

risk must be based on an assessment of 

the individual’s present ability to 

perform safely the essential functions of 

the job, and it must be determined that 

the risk cannot be eliminated or reduced 

by reasonable accommodation. 

DOE facility means any facility 

required by DOE to employ PF 

personnel and used by DOE, including 

NNSA, and its contractors for the 

performance of work under DOE 

jurisdiction. 

Efficiency, for the purposes of this 

part, pertains to the individual’s 

physical efficiency rather than 

operational efficiency. 

Emergency conditions are those 

conditions that could arise at a DOE 

facility as a result of a breach of security 

(e.g., sabotage or terrorism) or accident 

(e.g., fire, explosion, storm, or 

earthquake) and threaten the security or 

integrity of DOE facilities, assets, 

personnel, the environment or the 

general public. For the purposes of this 

rule, emergency conditions include PF 

drills and exercises relating to search, 

rescue, crowd control, fire suppression 

and special operations, including 

response to the scene of the incident, 

and all functions performed at the 

scene. 

Essential functions of the job are the 

fundamental job duties of PF members 

as set out in § 1046.11. 

Field element means the management 

and staff elements of DOE, including 

NNSA, with delegated responsibility for 

oversight and program management of 

major facilities, programs, and site 

operations. 

Final review means the process for an 

individual disqualified from medical 

certification to have a second and 

ultimate review of the individual’s case 

conducted by the DOE Office of 

Hearings and Appeals. 

Fixed Post Readiness Standard 

(FPRS) means a standard that requires 

an SPO to demonstrate the ability to 

assume and maintain the variety of 

cover positions associated with effective 

use of firearms at entry portals and 

similar static environments to include 

prone, standing, kneeling, and barricade 

positions; to use site specific 

intermediate force weapons and 

weaponless self-defense techniques; to 

effect arrest of suspects and place them 

under restraint, e.g., with handcuffs or 

other temporary restraint devices; and 

any other site-specific measure of 

physical readiness prescribed by site 

management and approved by the 

respective program office. 

Independent Physician means a 

physician who possesses an MD or DO 

degree, is licensed without restriction 

and board certified, and has experience 

in a relevant field of medicine. The 

Independent Physician must not have 

served as the requestor’s personal 

physician in any capacity or have been 

previously involved in the requestor’s 

case on behalf of the Department or a 

Department contractor. 

Independent review means the 

process through which a medically 

disqualified individual may appeal to 

have an independent review of his/her 

case conducted by an Independent 

Physician. 

Job analysis (JA) is a systematic 

method used to obtain a detailed listing 

of the tasks of a specific job. JAs will be 

derived from criteria determined and 

published by the DOE National Training 

Center or identified and documented 

through a site-specific Mission Essential 

Task List (METL)-based process based 

on a set of Departmental Nuclear 

Security Enterprise-wide standards. A 

METL-based process that identifies and 

formally documents duties, tasks, and 

sub-tasks to be trained is commensurate 

with the process to develop JAs. 

Medical approval means a 

determination by a Designated 

Physician that it is medically 

appropriate for an individual to attempt 

the physical performance qualification 

test. 

Medical certification means a 

determination by a Designated 

Physician approved by the PPMD that 

an individual is medically qualified for 

a particular category of PF positions, 

including the performance of the 

essential functions of an SO or SPO, and 

the required ongoing physical readiness 

training. 

Medical certification disqualification 

means a determination by a Designated 

Physician and approved by the PPMD 

that an individual, with or without 

reasonable accommodation, is unable to 

perform the essential functions of an SO 

or SPO job position, including the 

required physical readiness training, 

without creating a direct threat to that 

individual or others. 

Medical evaluation means the 

analysis of information generated by 

medical examinations and 

psychological evaluations and 

assessments of an individual to 

determine medical certification. 

Medical examination means an 

examination performed or directed by 

the Designated Physician that 

incorporates the components described 

in section 1046.13. 

Mission Essential Task List (METL) 

means a list of common tasks required 

for PF assignments based on 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 cognizant security 

authority. 

Pertinent negative means the absence 

of a sign or symptom that helps 

substantiate or identify a patient’s 

condition. 

Physical Protection Medical Director 

(PPMD) means the physician 

programmatically responsible for the 

overall direction and operation of the 

site medical program supporting the 

requirements of this part. 

Primary weapon as used in this part 

means any weapon individually 

assigned or available at the majority of 

posts/patrols to which the SPO may be 

assigned. 

Protective Force personnel means 

Special Response Team members, SPOs, 

and SOs who are employed to protect 

Department security interests. 

Qualification means the 

determination that an individual meets 

the applicable medical, physical, and as 

appropriate, firearms training standards, 

and possesses the knowledge, skills, 

abilities and clearances required for a 

particular SO or SPO position. 

Randomly selected means any process 

approved by the ODFSA, which ensures 

each member of the SPO population has 

an equal chance to be chosen every time 

the selection process is used. 

Reasonable accommodation means 

corrective devices and medications 

which allow the examinee to meet 

medical qualification standards, are 

compatible with the performance of the 


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13214 Federal Register / Vol. 77, No. 44 / Tuesday, March 6, 2012 / Proposed Rules 

essential functions of the position, and 

are documented in writing. 

Requalification date means the date of 

expiration of current qualification at 

which demonstration of knowledge, 

skills and/or abilities is required to 

maintain specific job status. 

Security interests include any 

Department asset, resource or property 

which requires protection from 

malevolent acts and/or unpermitted 

access. These interests may include (but 

are not limited to) Department 

personnel; sensitive technology; 

classified matter; nuclear weapons, 

components, and assemblies; special 

nuclear material (SNM) and other 

nuclear materials; secure 

communications centers; sensitive 

compartmented information facilities; 

automated data processing centers or 

facilities storing and transmitting 

classified information; vital equipment; 

or other Department property. 

Security Officer (SO) means an 

unarmed uniformed PF member who 

has no Departmental arrest or detention 

authority, used to support SPOs and/or 

to perform duties (e.g., administrative, 

access control, facility patrol, escort, 

assessment and reporting of alarms) 

where an armed presence is not 

required. 

Security Police Officer (SPO) means a 

uniformed PF member who is 

authorized under section 161(k) of the 

Atomic Energy Act of 1954, as amended, 

section 661 of the DOE Organization 

Act, or other statutory authority, to carry 

firearms and to make arrests without 

warrant for specifically enumerated 

offenses and who is employed for, and 

charged with, the protection of 

Department security interests. 

Semi-structured interview means, for 

the purpose of this part, an interview by 

a Psychologist who meets standards 

established by DOE and who has the 

latitude to vary the focus and content of 

the questions depending upon the 

interviewee’s responses. 

Site occupational medical program 

means the comprehensive occupational 

health services and basic worker 

protection requirements for contractor 

employees. 

Special Response Team (SRT) 

Member means SPOs who meet the 

Advanced Readiness Standard, with 

additional training and qualification 

requirements as necessary, and who are 

assigned to a Special Response Team 

that trains and responds as a team to 

perform recapture and recovery and to 

augment denial missions, e.g., those that 

require adversaries be denied proximity 

to the protected property. 

Special Response Team, commonly 

referred to as SRT, means a PF special 

operations unit comprised of SPOs 

whose primary mission is to resolve 

incidents that require activities and 

force options that exceed the capability 

of existing physical security systems 

(e.g., performance of recapture/recovery 

operations and augmentation of denial 

missions). 

Weapons proficiency demonstration 

means a process based on a 

predetermined, objective set of criteria 

approved by the respective program 

office in consultation with the Office of 

Health, Safety and Security that results 

in a grade (e.g., pass/fail). The process 

must ensure that an individual (or team, 

for crew-served weapons) demonstrates 

the ability to perform all 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 

firing live ammunition. The simulator 

should permit all weapons-handling 

and operational actions required by the 

actual weapon, and should allow the 

use of sight settings similar to the 

corresponding actual weapon with 

assigned duty loads. Additionally, when 

weapons or weapons system simulators 

are used for qualification testing of 

protective force officers, the operation of 

the simulated weapon must closely 

approximate all weapons handling and 

operational manipulation actions 

required by the actual weapon. The 

simulation system must precisely 

register on-target hits and misses with 

accuracy comparable to the actual 

weapon at the same shooting distances. 

The weight, balance, and sighting 

systems should replicate those of the 

corresponding actual weapon, and noise 

signatures and felt recoil should be 

simulated to the extent technically 

feasible. Additionally, when used for 

qualification testing of protective force 

officers, the weight and balance of the 

simulated weapon with assigned duty 

loads must be closely approximated. 

§ 1046.4 Physical Protection Medical 

Director (PPMD). 

(a) General. The PPMD is the 

physician programmatically responsible 

for the overall direction and operation 

of site medical programs supporting the 

requirements of this part. Appropriate 

contractual arrangements must ensure 

that the PPMD’s authority applies to all 

site contractors. 

(1) Nomination. The name of each 

PPMD candidate must be submitted by 

the contractor to the officially 

designated Federal security authority 

who in turn must consult with the 

Office of Health, Safety and Security 

prior to the PPMD’s approval. At the 

time of initial nomination for the PPMD 

designation, the nominee shall submit 

to the Office of Health, Safety and 

Security, through his or her employer 

and the Federal security authority, the 

following documents or copies thereof, 

translated into English if written in 

another language: 

(i) Applicable diplomas; 

(ii) Certificate of any postgraduate 

professional training (e.g., internship, 

residency, fellowship); and 

(iii) Current medical license in the 

state in which duties will be performed. 

If determined necessary by the Office of 

Health, Safety and Security, certification 

of good standing by all medical 

licensing bodies from which the 

applicant has held medical licenses, as 

well as documentation of any 

restrictions or limitations to practice 

medicine, past or present (such 

documentation may be obtained in 

written form or electronically) may be 

requested. The nominee may be 

requested to instruct the licensing body 

to send such certifications to the Office 

of Health, Safety and Security. Under no 

circumstances will such certifications of 

good standing be accepted directly from 

the applicant. Additionally, notice of 

certification by any additional American 

specialty board, if applicable, and/or 

current curriculum vitae may be 

requested. The curriculum vitae, if 

requested, must provide a discussion of 

any gaps in employment.. 

(2) Other roles and responsibilities. 

Nothing in this part is intended to 

preclude the PPMD from fulfilling 

similar or related roles under other 

parts, including providing occupational 

medical services under 10 CFR part 851, 

‘‘Worker Safety and Health Program.’’ 


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Additionally, the PPMD may fulfill the 

role of Designated Physician. 

(3) Qualifications. The PPMD shall 

possess an MD or DO degree; be board 

certified in or have equivalent advanced 

training, in occupational medicine; be a 

professionally qualified physician in 

good standing in his or her professional 

community, to include all medical 

licensing bodies from which the 

applicant has held medical licenses; 

demonstrate past professional 

performance and personal conduct 

suitable for a position of responsibility 

and trust; read, write, speak, and 

understand the English language 

proficiently; and possess an unrestricted 

license to practice medicine in the state 

in which the designation is sought or 

meet the medical licensing requirements 

of the applicable military or Federal 

service to which he/she belongs. 

(b) Nominations. The PPMD must 

nominate in writing, through the local 

officially designated Federal security 

authority, to the Office of Health, Safety 

and Security, one or more Designated 

Physicians. 

(1) Each nomination must describe 

the relevant training and experience of 

the nominee. 

(2) Each nominee must be 

professionally qualified in good 

standing in his or her professional 

community, to include all medical 

licensing bodies from which the 

applicant has held medical licenses; 

demonstrate past professional 

performance and personal conduct 

suitable for a position of responsibility 

and trust; read, write, speak, and 

understand the English language 

proficiently; and possess the applicable 

unrestricted license to practice in the 

state in which the designation is sought 

or meet the medical licensing 

requirements of the applicable military 

or Federal service to which he/she 

belongs. 

(3) To be nominated, a Designated 

Physician shall possess an MD or DO 

degree and be board certified or have 

equivalent advanced training in 

occupational medicine. 

(c) Documentation. At the time of 

initial nomination, the nominee shall 

submit to the PPMD the following 

documents or copies thereof, translated 

into English if written in another 

language: 

(1) Applicable diplomas; 

(2) Certificate of any postgraduate 

professional training (e.g., internship, 

residency, fellowship); and 

(3) Current medical license in the 

state in which duties will be performed. 

If determined necessary by the PPMD, 

certification of good standing by all 

medical licensing bodies from which 

the applicant has held medical licenses, 

as well as documentation of any 

restrictions or limitations to practice 

medicine, past or present (such 

documentation may be obtained in 

written form or electronically) may be 

requested. The PPMD may request the 

nominee to instruct the licensing body 

to send such certifications to the PPMD. 

Under no circumstances will such 

certifications of good standing be 

accepted directly from the applicant. 

Additionally, the PPMD may request 

notice of certification by any additional 

American specialty board, if applicable, 

and/or a current curriculum vitae. The 

curriculum vitae, if requested, must 

provide a discussion of any gaps in 

employment. 

(d) Self reporting. Each individual 

covered under paragraphs (a) and (b) of 

this section must agree to report the 

following information about him/herself 

as a condition of his/her designation. 

PPMDs must report to their employer, 

who must forward the information to 

the Office of Health, Safety and Security 

through the Federal security authority. 

Designated Physicians must report to 

the PPMD: 

(1) Any change in status or initiation 

of an adverse action by any state 

medical licensing board or any other 

professional licensing board; 

(2) Initiation of an adverse action by 

any Federal or state regulatory board; 

(3) Being named a defendant in any 

criminal proceedings (felony or 

misdemeanor); 

(4) Being named in a civil suit 

alleging professional malpractice; 

(5) Being evaluated or treated for 

alcohol use disorder or drug 

dependency or abuse; 

(6) Occurrence of a physical disorder, 

a mental disorder, or any other health 

condition that might affect his or her 

ability to perform professional duties; 

and 

(7) Any adverse action against the 

medical license(s) of the individual, 

past or present (these may be obtained 

in written form or electronically). The 

incumbent or nominee may be 

instructed to request the licensing body 

to provide such information to the 

appropriate individual. Under no 

circumstances will such information be 

accepted directly from the incumbent or 

nominee. All such actions must be 

submitted to DOE for consideration and 

possible action which may result in 

rejection of, or termination of, the 

applicable designation. 

(e) Annual activity report. The PPMD 

must send an annual activity report to 

the Office of Health, Safety and Security 

through the appropriate field element, 

reporting on the current credentials of 

each incumbent Designated Physician 

and recommending the retention or 

replacement of each incumbent. 

(f) Retention or replacement. The 

PPMD’s supervisor of record must send 

an annual letter to, the Office of Health, 

Safety and Security reporting on the 

current credentials of the PPMD 

recommending retention or 

replacement. Immediate notification 

must be made to the Office of Health 

Safety and Security if a PPMD is 

relieved of his duties or replaced. 

(g) Medical activity summary. The 

PPMD must submit an annual letter 

summarizing the medical activity 

during the previous year conducted 

under this part to the Chief Health, 

Safety and Security Officer or his or her 

designee through the manager of the 

Field Element. The PPMD must comply 

with applicable DOE requirements 

specifying report content. 

§ 1046.5 Designated Physician. 

(a) Responsibilities. The Designated 

Physician is responsible for the conduct 

of medical examinations, evaluations, 

and medical certification of SOs and 

SPOs. The Designated Physician must: 

(1) Annually determine whether to 

approve an individual’s participation in 

programmed training programs required 

under this rule and determine the 

individual’s ability to perform the 

physical readiness and training 

qualification tests without undue risk. 

Medical approval must be obtained 

within thirty days prior to the 

individual’s beginning such training or 

attempting the qualifying tests; 

(2) With the assistance of a 

psychologist or psychiatrist meeting 

standards established by DOE, 

determine: 

(i) An individual’s medical capability, 

with or without reasonable 

accommodation, to perform the 

essential functions of PF job duties 

without creating a direct threat to the 

individual or others; and 

(ii) Whether to certify that the 

individual meets the applicable medical 

and physical readiness standards as set 

forth herein for their position. 

(3) Determine whether any portion of 

any medical examination may be 

performed by other qualified personnel, 

such as another physician, physician’s 

assistant, or a nurse practitioner; 

(4) Be responsible for case 

management, including supervising, 

interpreting, and documenting PF 

personnel medical conditions; and 

(5) Be familiar with the required 

essential functions of the job duties for 

PF personnel, as set forth in § 1046.11. 

(b) Approval in lieu of nomination. If 

the Designated Physician has been 


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approved under the provisions of 10 

CFR part 712, ‘‘Human Reliability 

Program,’’ that approval will satisfy the 

requirement for nomination to, and 

approval by, DOE under this part. 

Subpart B—Protective Force (PF) 

Personnel 

§ 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), as 

appropriate, are the elements against 

which the initial and annual evaluations 

for PF personnel will be conducted. 

(b) SO essential functions. (1) The 

control of voluntary motor functions, 

strength, range of motion, 

neuromuscular coordination, stamina, 

and dexterity needed to meet physical 

demands associated with routine and 

emergency situations of the job; 

(2) The ability to maintain the mental 

alertness necessary to perform all 

essential functions without posing a 

direct threat to self or others; and 

(3) The ability to understand and 

share essential, accurate communication 

by written, spoken, audible, visible, or 

other signals while using required 

protective equipment. 

(c) Additional SO essential functions. 

SOs may be required to support SPOs 

and assist in the routine physical 

protection of DOE facilities, personnel, 

classified information, and property, as 

warranted by DOE facility operations, 

staff security posts used in controlling 

access to DOE facilities, conduct routine 

foot and vehicular patrols, escort 

visitors, check rooms and facilities, 

assess and report alarms, and perform 

basic first aid. Therefore, all SOs must 

also be able to: 

(1) Understand and implement post 

and patrol operations and access control 

systems; 

(2) Understand and implement 

departmental and site policies and 

procedures governing the SO’s role in 

site protection; 

(3) Understand and implement 

inspection techniques for persons, 

packages and vehicles, as well as detect 

and identify prohibited articles and 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; 

(13) Be fitted with and use respirators 

other than self-contained breathing 

apparatus when the use of such 

equipment is required by local 

assignment. 

(d) FPRS SPO essential functions. 

FPRS SPO personnel may be assigned 

only to fixed posts where there is no 

planned requirement for response away 

from that post. In addition to the SO 

essential functions listed in paragraphs 

(b) and (c) of this section, FPRS SPOs 

must be able to: 

(1) Apply basic tactics (to include use 

of intermediate force weapons) 

necessary to engage and neutralize 

armed adversaries and determine 

probable capabilities and motivations of 

potential adversaries; 

(2) Use site-specific hand tools and 

weapons required for the performance 

of duties; 

(3) Perform complex tasks, and make 

life or death decisions under stressful 

conditions while armed and authorized 

to use deadly force; 

(4) Perform physically demanding 

work under adverse weather and 

temperature conditions (extreme heat 

and extreme cold) on slippery or 

hazardous surfaces with the prolonged 

use of protective equipment and 

garments such as respirators, air supply 

hoods, or bullet-resistant garments, as 

required by site protection strategies; 

(5) Be fitted for and properly utilize 

personal duty equipment; 

(6) Work for long periods of time in 

conditions requiring sustained physical 

activity and intense concentration in 

environments of high noise, poor 

visibility, limited mobility, at heights, 

and in enclosed or confined spaces; 

(7) Accommodate to changing work 

and meal schedules or to a delay in 

meals without potential or actual 

incapacity; 

(8) Have no known significant 

abnormal intolerance to chemical, 

mechanical (e.g., heat, light or water), 

and other physical agent exposures to 

the skin that may be encountered during 

routine and emergency duties, as 

specified at the site; and 

(9) Make critical decisions and take 

appropriate actions in a confused and 

potentially life-threatening environment 

throughout the duration of an 

emergency situation, e.g., active shooter 

scenarios. 

(e) BRS SPO essential functions. In 

addition to the FPRS SPO essential 

functions listed above, BRS SPOs must 

be able to: 

(1) Have night vision sufficient to read 

placards and street signs while driving 

or to see and respond to imminently 

hazardous situations in conditions of 

darkness; 

(2) Be capable of operating armored 

vehicles with an expectation of 

employing the capabilities of the 

vehicle; 

(3) Staff security posts which 

normally require movement on foot, by 

vehicle, watercraft, or aircraft in 

response to alarms and any breach of 

security; and to support site protection 

strategies; 

(4) Provide interdiction, interruption, 

neutralization, and support the 

recapture of a DOE asset/site/facility/ 

location; 

(5) Make rapid transitions from rest to 

near maximal exertion without 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) 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 section 1046.13 as meeting the 

medical certification standards 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 

§ 1046.17. 

§ 1046.13 Medical certification standards 

and procedures. 

(a) PF medical certification standards. 

All applicant and incumbent PF 

personnel must satisfy the applicable 

Medical Certification Standards set forth 

in this section. 

(b) Requirements of the medical 

evaluation to determine medical 

certification. (1) The medical evaluation 

must be made by the Designated 

Physician without delegation (e.g., to a 

physician’s assistant or nurse 

practitioner). 

(2) An evaluation of incumbent 

security police officer must include a 

medical history, the results of the 

examination, and a formal written 

determination. 

(3) A site standard form approved by 

the Chief Medical Officer must be used, 

and pertinent negatives must be 

documented on the form. 

(4) The Medical Certification 

Standards are the minimum medical 

standards to be used in determining 

whether applicants and incumbent PF 

personnel can effectively perform, with 

or without reasonable accommodation, 

all essential functions of normal and 

emergency duties without imposing an 

undue hardship on the employer or 

posing a direct threat to the PF member 

or others, the facility, or the general 

public. All reasonable accommodations 

as defined in this part must be approved 

in writing by the PPMD. 

(c) General medical standards for PF 

personnel. The examinee must possess 

the mental, sensorial, and motor skills 

to perform safely and efficiently all 

applicable essential job functions 

described in § 1046.11 and those 

designated in the job analysis submitted 

by PF management prior to each 

examination. Specific qualifications for 

SOs and SPOs are set forth in 

paragraphs (d) and (e), respectively, of 

this section. 

(d) Specific medical standards for 

SOs—(1) Head, face, neck, and scalp. 

Configuration suitable for fitting and 

effective use of personal protective 

equipment when the use of such 

equipment is required by assigned 

normal or emergency job duties. 

(2) Sense of smell. Ability to detect 

the odor of combustion products and of 

tracer or marker gases. 

(3) Speech. Capacity for clear and 

audible speech as required for effective 

communications on the job. 

(4) Hearing. Hearing loss with or 

without aids not to exceed 30 decibels 

(db) average at 500, 1000, and 2000 

Hertz (Hz), with no loss greater than 40 

db at any one of these frequencies and 

a difference of not more than 15 db 

average loss between the two ears; the 

ability to recognize speech as 

demonstrated by a Speech Recognition 

Threshold of 20 db or less (by ANSI 

S3.6, 2010audiometry (incorporated by 

reference, see § 1046.21)). If a hearing 

aid is necessary, suitable testing 

procedures shall be used to ensure 

auditory acuity equivalent to the above 

requirement. 

(5) Vision. Near and distant visual 

acuity, with or without correction, of at 

least 20/25 in one eye and no worse 

than 20/40 in the other eye. 

(6) Color vision. Ability to distinguish 

red, green, and yellow. Acceptable 

measures of color discrimination 

include the Ishihara; Hardy, Rand, & 

Rittler; and Dvorine pseudoisochromatic 

plates (PIP) when administered and 

scored according to the manufacturer’s 

instructions. Tinted lenses such as the 

X-Chrom contact lenses or tinted 

spectacle lenses effectively alter the 

standard illumination required for all 

color vision tests, thereby invalidating 

the results and are not permitted during 

color vision testing. 

(7) Cardiorespiratory. Capacity to use 

a respirator other than self-contained 

breathing apparatus (SCBA). 

(8) Nutritional/metabolic. Status 

adequate to meet the stresses and 

demands of assigned normal and 

emergency job duties. Ability to 

accommodate to changing work and 

meal schedules without potential or 

actual incapacity. 

(e) Specific medical standards for 

SPOs. In addition to the criteria 

identified in section 1046.16(f) the 

following standards must be applied. 

(1) Head, face, neck and scalp. 

Configuration suitable for fitting and 

effective use of personal protective 

equipment when the use of such 

equipment is required by assigned 

normal or emergency job duties. 

(2) Sense of Smell. The ability to 

detect the odor of combustion products 

and of tracer or marker gases. 

(3) Speech. Capacity for clear and 

audible speech as required for effective 

communications on the job. 

(4) Hearing. Hearing loss without aids 

not to exceed 30 db average at 500, 

1000, 2000 Hz, with no loss greater than 

40 db at any of these frequencies and a 

difference of not more than 15 db 

average loss between the two ears; the 

ability to recognize speech as 

demonstrated by a Speech Recognition 

Threshold of 25 db or less (by ANSI 

S3.6, 2010 audiometry (incorporated by 

reference, see § 1046.21)). Hearing loss 

beyond indicated level would interfere 

with ability to function and respond to 

commands in emergency situations. Use 

of a hearing aid is allowed for one ear 

only with the remaining ear qualifying 

for no more than an average of 30 db 

loss at all speech frequencies. If a 

hearing aid is necessary, suitable testing 

procedures must be used to assure 

auditory acuity equivalent to the above 

requirement for the difference between 

two ears. 

(5) Vision. (i) Near and distant vision. 

Near and distant visual acuity sufficient 

to effectively perform emergency-related 

essential functions: 


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(A) With or without correction, vision 

of 20/25 or better in the better eye and 

20/40 in the other eye. 

(B) If uncorrected distant vision in the 

better eye is not at least 20/25 and the 

SPO wears corrective lenses, the SPO 

must carry an extra pair of corrective 

lenses. 

(ii) Color vision. Ability to distinguish 

red, green, and yellow. Acceptable 

measures of color discrimination 

include the Ishihara; Hardy, Rand, & 

Rittler; and Dvorine pseudoisochromatic 

plates (PIP) when administered and 

scored according to the manufacturer’s 

instructions. Tinted lenses such as the 

X-Chrom contact lenses or tinted 

spectacle lenses effectively alter the 

standard illumination required for all 

color vision tests, thereby invalidating 

the results and are not permitted during 

color vision testing. 

(iii) Field of vision. Field of vision in 

the horizontal meridian at least a total 

of 140 degrees, contributed to by at least 

70 degrees from each eye. 

(iv) Depth perception. Ability to judge 

the distance of objects and the spatial 

relationship of objects at different 

distances. 

(6) Cardiorespiratory. (i) Respiratory. 

Capacity and reserve to perform 

physical exertion in emergencies at least 

equal to the demands of the job 

assignment. This will be measured by 

annual pulmonary function test, with no 

less than a 90 percent predicted forced 

vital capacity and forced expiratory 

volume. There must be no diagnosis of 

respiratory impairment requiring 

continuous or continual medications 

such as bronchodilators or beta agonists. 

A full evaluation and approval by the 

PPMD is required whenever there is a 

past history of sleep apnea, with or 

without treatment. 

(ii) Cardiovascular. (A) Capacity for 

tolerating physical and high levels of 

exertion during emergencies. Normal 

configuration and function, normal 

resting pulse, regular pulse without 

arrhythmia, full symmetrical pulses in 

extremities, and normotensive, with 

tolerance for rapid postural changes on 

rapid change from lying to standing 

position. The use of hypertensive 

medications is acceptable if there are no 

side effects present that would preclude 

adequate functions as herein specified. 

(B) If an examination reveals 

significant evidence of cardiovascular 

abnormality or significantly increased 

risk for coronary artery disease (CAD) as 

determined by the examining physician, 

an evaluation by a specialist in internal 

medicine or cardiology may be required 

and evaluated by the Designated 

Physician. An electrocardiogram is 

required at entry, at age 40 and annually 

thereafter, which must be free from 

significant abnormality. If such 

abnormalities are detected, then a stress 

electrocardiogram with non-ischemic 

results must be provided, or the 

individual must be referred to a 

cardiologist for a fitness for duty 

examination. A stress electrocardiogram 

must be performed every other year 

beginning at age 50 with the results 

reviewed by the Designated Physician. 

(7) Neurological, mental, and 

emotional. Absence of central and 

peripheral nervous system conditions 

that could adversely affect ability to 

perform normal and emergency duties 

or to handle firearms safely. A tuning 

fork test for peripheral neuropathy at 

fingers and toes is required anually. 

Absence of neurotic or psychotic 

conditions which would affect 

adversely the ability to handle firearms 

safely or to act safely and efficiently 

under normal and emergency 

conditions. Psychologists and 

psychiatrists identified to conduct 

evaluations, assessments, testing, and/or 

diagnoses associated with medical 

qualifications of this part must meet 

standards established by DOE. 

(8) Musculoskeletal. Absence of 

conditions that could reasonably be 

expected to interfere with the safe and 

effective performance of essential 

physical activities such as running, 

walking, crawling, climbing stairs, and 

standing for prolonged periods of time. 

All major joint range of motion limits 

must have no significant impairments in 

the performance of essential functions. 

This includes overhead reaching and 

the ability for full squatting. No history 

of spine surgery, a documented 

diagnosis of herniated disc, or 

mechanical back pain that has not been 

certified to have normal functional 

recovery with no activity limitations. 

(9) Skin. Have no known significant 

abnormal intolerance to chemical, 

mechanical, and other physical agent 

exposures to the skin that may be 

encountered during routine and 

emergency duties, as specified at the 

site. Capability to tolerate use of 

personal protective covering and 

decontamination procedures when 

required by assigned job duties. Facial 

hair cannot be allowed to interfere with 

respirator fitting, and any such growth 

or a skin condition precluding respirator 

fit is not acceptable. 

(10) Endocrine/nutritional/metabolic. 

Status adequate to meet the stresses and 

demands of assigned normal and 

emergency job duties. Ability to 

accommodate to changing work and 

meal schedules without potential or 

actual incapacity. A full evaluation and 

approval of reasonable accommodation 

by the PPMD is required for hiring and 

retention when metabolic syndrome is 

identified and/or when diabetes is 

controlled by other than diet. 

(f) Additional medical or physical 

tests. For those facilities where it is 

necessary to determine the medical 

qualification of SPOs or SPO applicants 

to perform special assignment duties 

which might require exposure to 

unusually high levels of stress or 

physical exertion, Field Elements may 

develop more stringent medical 

qualification requirements or additional 

medical or physical tests, in 

collaboration with the PPMD, as 

necessary for such determinations. All 

such additional qualification 

requirements must be coordinated with 

the Office of Health Safety and Security 

prior to application. 

(g) Medical examination procedures 

and requirements. (1) The medical 

examinations required for certification 

must be performed at the following 

intervals: 

(i) Applicants for PF member 

positions must undergo a 

comprehensive medical examination, as 

specified herein. The Chief Health, 

Safety and Security Officer or designee, 

the Chief, Defense Nuclear Security in 

the case of NNSA, and/or the PPMD 

may require additional evaluations. 

(ii) After initial certification, each SO 

must be medically examined and 

recertified at least every two years or 

more often if the PPMD so requires. 

Medical certification remains valid 

through the end of the twenty-fourth 

month following each certification or for 

the period indicated by the PPMD if less 

than twenty-four months. 

(iii) After initial certification, each 

SPO must be medically examined and 

recertified every twelve months or more 

often (pursuant to § 1046.14 or 

otherwise if the PPMD so requires). 

Medical certification remains valid 

through the end of the twelfth month 

following each qualification or for the 

time indicated by the PPMD if less than 

twelve months. 

(2) The medical examination must 

include a review of the essential 

functions of the job to which the 

individual is assigned. Medical 

examinations of SPO and SO applicants 

and incumbents must include the 

following evaluations of whether the 

individual meets the Medical 

Certification Standards for the 

applicable position: 

(i) An updated medical and 

occupational history, complete physical 

examination, vision testing, audiometry, 

and spirometry. In addition, laboratory 

testing must be performed, including a 

complete blood count (CBC), basic 


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blood chemistry, a fasting blood 

glucose, and a fasting lipid panel (the 

examination and testing is to identify 

baseline abnormalities, as well as 

trends); and 

(ii)(A) A psychologist who meets 

standards established by DOE must be 

used to fulfill the requirements of this 

part. A personal, semi-structured 

interview at the time of the preplacement medical evaluation and 

during the biennial or annual medical 

examination must be conducted by a 

psychologist. At the pre-placement 

medical examination and every third 

year for SPOs and every fourth year for 

SOs thereafter, a Minnesota MultiPhasic Personality Inventory (MMPI) 

(available only to appropriate medical 

professionals at, e.g., http://psychcorp.

pearsonassessments.com) or its revised 

form will be administered in order to: 

(1) Establish a baseline psychological 

profile; 

(2) Monitor for the development of 

abnormalities; and 

(3) Qualify and quantify 

abnormalities. 

(B) The information gathered from 

paragraph (g)(2)(i) of this section, 

together with the results of the semistructured interview, psychiatric 

evaluations (if required), and reviews of 

job performance may indicate 

disqualifying medical conditions. 

Additional generally-accepted 

psychological testing may be performed 

as required to substantiate findings of 

the MMPI. If medically indicated and 

approved by the PPMD, an additional 

evaluation by a psychiatrist who meets 

standards established by DOE may be 

required. Additional or more frequent 

psychological evaluations as determined 

by the psychologist, psychiatrist, 

Designated Physician, or the PPMD may 

be required. Unless otherwise indicated, 

a psychological evaluation performed in 

accordance with the other DOE 

requirements may satisfy the 

requirements of this part. 

(C) The Designated Physician may 

request any additional medical 

examination, test, consultation or 

evaluation deemed necessary to 

evaluate an incumbent SO’s or SPO’s 

ability to perform essential job duties or 

the need for temporary work 

restrictions. 

(3) When an examinee needs the use 

of corrective devices, such as eyeglasses 

or hearing aids, to enable the examinee 

to successfully meet medical 

qualification requirements, the 

supervisor responsible for the 

examinee’s performance, in conjunction 

with the Designated Physician, must 

make a determination that the use of 

any such device is compatible with all 

required emergency and protective 

equipment that the examinee may be 

required to wear or use while 

performing assigned job duties. This 

determination must be made before 

such corrective devices may be used by 

the examinee to meet the medical, 

physical readiness, or training 

requirements for a particular position. 

(4) Contractor management must 

provide reasonable accommodations to 

a qualified individual by taking 

reasonable steps to modify required 

emergency and protective equipment to 

be compatible with corrective devices or 

by providing equally effective, alternate 

equipment, if available. 

(5) The Designated Physician must 

discuss the results of the medical and 

physical readiness examinations with 

the individual. The results of the 

medical examinations also must be 

communicated in writing to PF 

management and to the individual and 

must include: 

(i) A statement of the certification 

status of the individual, including any 

essential functions for which the 

individual is not qualified, with or 

without reasonable accommodations, 

and an assessment of whether the 

individual would present a direct threat 

to self or others in the position at issue; 

(ii) If another medical appointment is 

required, the date of the next medical 

appointment; and 

(iii) Recommended remedial programs 

or other measures that may restore the 

individual’s ability to perform the 

essential functions or may negate the 

direct threat concern, if the individual 

is not qualified for physical training, 

testing, or the relevant position. 

(6) PF management must request from 

the PPMD a health status exit review for 

all employees leaving PF service. This 

review must include all of the medical 

standards for the PF position being 

vacated. 

§ 1046.14 Medical certification 

disqualification. 

(a) Removal. An individual is 

disqualified from medical certification 

by the PPMD if one or more of the 

medical certification standards 

contained in § 1046.13 are not met. An 

individual, temporarily or permanently, 

disqualified from medical certification 

by the PPMD must be removed from the 

protective force job classification by his 

or her employer when the employer is 

notified by the PPMD of such a 

determination. 

(b) Medical removal protection. The 

employer of a disqualified SPO must 

offer the SPO medical removal 

protection if the PPMD determines in a 

written medical opinion that it is 

medically appropriate to remove the 

SPO from PF duties as a result of 

injuries sustained while engaging in 

required physical readiness activities 

(e.g., preparing for or participating in a 

physical readiness standard 

qualification attempt) or training 

activities requiring physical exertion. 

The PPMD’s determination must be 

based on an examining physician’s 

recommendation or any other signs or 

symptoms that the Designated Physician 

deems medically sufficient to remove an 

SPO. The employee pay benefits 

specified in this part for combined 

temporary and permanent medical 

removal shall not be provided for more 

than one year from the date of the initial 

PPMD written determination regarding 

the same injury. 

(1) Temporary removal pending final 

medical determination. The employer of 

a disqualified SPO must offer the SPO 

temporary medical removal from PF 

duties on each occasion that the PPMD 

determines in a written medical opinion 

that the worker should be temporarily 

removed from such duties pending a 

final medical determination of whether 

the SPO should be removed 

permanently. 

(i) In this section, ‘‘final medical 

determination’’ means the outcome of 

the Independent Review process or the 

Final Review process provided for in 

§ 1046.15(c) and (d), as appropriate. 

(ii) If an SPO is temporarily removed 

from PF duties pursuant to this section, 

the SPO’s employer must not remove 

the employee from the active payroll 

unless alternative duties for which the 

worker is qualified or can be trained in 

a short period of time are refused or 

alternative duties are performed 

unsatisfactorily. 

(iii) When the SPO remains on the 

active payroll pursuant to paragraph 

(b)(1)(ii) of this section, the SPO’s 

employer must maintain for the 

duration of the temporary assignment 

the SPO’s total base pay, seniority, and 

other worker rights and benefits as if the 

worker had not been removed. 

(iv) If there are no suitable alternative 

duties available as described in 

paragraph (ii), the SPO’s employer must 

provide to the SPO the medical removal 

protection benefits specified in 

paragraph (c)(1) of this section until 

alternative duties become available, the 

SPO has recovered, or for one year, 

whichever comes first. 

(2) Permanent medical removal 

resulting from injuries. If the PPMD 

determines in a written medical opinion 

that the worker should be permanently 

removed from PF duties as a result of 

injuries sustained while engaging in 

required physical readiness activities 


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(e.g., preparing for or participating in a 

physical readiness standard 

qualification attempt) or training 

activities requiring physical exertion, 

employer Human Resources policies, 

disability insurance, and/or collective 

bargaining agreements will dictate 

further employment status and 

compensation. 

(3) Worker consultation before 

temporary or permanent medical 

removal. If the PPMD determines that an 

SPO should be temporarily or 

permanently removed from PF duties, 

the PPMD must: 

(i) Advise the SPO of the 

determination that medical removal is 

necessary to protect the SPO’s health 

and well-being or prevent the SPO from 

being a hazard to self or others; 

(ii) Provide the SPO the opportunity 

to have any questions concerning 

medical removal answered; and 

(iii) Obtain the SPO’s signature or 

document that the SPO has been 

advised on the benefits of medical 

removal as provided in this section and 

the risks of continued participation in 

physically demanding positions. 

(4) Return to work after medical 

removal. (i) The SPO’s employer, 

subject to paragraph (b)(4)(ii) of this 

section, must not return an SPO who 

has been permanently removed under 

this section to the SPO’s former job 

status unless the PPMD first determines 

in a written medical opinion that 

continued medical removal is no longer 

necessary to protect the SPO’s health 

and well-being or to prevent the SPO 

from being a direct threat to self or 

others. 

(ii) If, in the PPMD’s opinion, 

continued participation in PF duties 

will not pose an increased risk to the 

SPO’s health and well-being or an 

increased risk (beyond those normally 

associated with SPO duties) of the SPO 

being a direct threat to self or others, the 

PPMD must fully discuss these matters 

with the SPO and then, in a written 

determination, may authorize the SPO’s 

employer to return the SPO to former 

job status. 

(c) Medical removal protection 

benefits. If an SPO has been removed 

from duty pursuant to paragraph (b)(2) 

of this section as a result of injuries 

sustained while engaging in required 

physical readiness activities (e.g., 

preparing for or participating in a 

physical readiness standard 

qualification attempt) or other training 

activities requiring physical exertion, 

the SPO’s employer must provide the 

SPO the opportunity to transfer to 

another available position, or one which 

later becomes available, for which the 

SPO is qualified (or for which the SPO 

can be trained in a short period), subject 

to collective bargaining agreements, as 

applicable; 

(1) If required by this section to 

provide medical removal protection 

benefits, the SPO’s employer must 

maintain for a period of one year, 

beginning from the date of the PPMD’s 

determination as described in paragraph 

(b)(1) of this section, the removed 

worker’s total base pay, and seniority, as 

though the SPO had not been removed. 

(2) If a removed SPO files a claim for 

workers’ compensation payments for a 

physical disability, then the SPO’s 

employer must continue to provide 

medical removal protection benefits 

pending disposition of the claim, the 

claimant has recovered, or one year, 

whichever comes first. The SPO’s 

employer will receive no credit towards 

the SPO’s base pay for the SPO’s 

compensation payments received by the 

SPO for treatment related expenses. 

(3) The SPO’s employer’s obligation to 

provide medical removal protection 

benefits to an SPO is reduced to the 

extent that the worker receives 

compensation for earnings lost during 

the period of removal either from a 

publicly or employer-funded 

compensation program, or from 

employment with another employer 

made possible by virtue of the worker’s 

removal. 

(d) Collective Bargaining Agreements. 

For the purposes of this section, the 

requirement that the SPO employer 

provide medical removal protection 

benefits is not intended to expand upon, 

restrict, or change any rights to a 

specific job classification or position 

under the terms of an applicable 

existing collective bargaining 

agreement. 

§ 1046.15 Review of medical certification 

disqualification. 

(a) Temporary medical and physical 

conditions. Should the PPMD determine 

that an individual is disqualified from 

medical certification because of a 

temporary medical or physical 

condition which results in the 

individual not being able to perform any 

of the essential functions of the job 

classification, the employer may assign 

the individual to alternate, limited duty, 

if available, until the individual is 

determined by the PPMD to be removed 

from a disqualification status. This 

limited duty may include assignment to 

duties in any job classification where all 

essential functions can be safely and 

efficiently performed. A temporary 

medical certification disqualification 

may not exceed a period of twelve 

months. During or by the end of the 

twelve-month period, the PPMD must 

determine whether the individual is 

permanently disqualified from medical 

certification because of a continuing 

medical or physical condition which 

results in the individual not being able 

to perform all essential functions of the 

job classification. The individual may 

request an Independent Review of the 

disqualification at the initial 

notification of disqualification, and at 

any time during or at the end of the 

twelve-month period. 

(b) Permanent medical and physical 

conditions. If the PPMD determines that 

an individual is disqualified from 

medical certification because of a 

permanent medical or physical 

condition which results in the 

individual not being able to perform all 

essential functions of the job 

classification, and the individual 

requests an Independent Review, the 

employer may assign the individual to 

alternate, limited duty, if available. This 

limited duty may include assignment to 

duties in any job classification where all 

essential functions can be safely and 

efficiently performed. Subject to the one 

year limit as identified in § 1046.14, 

assignment to alternate, limited duty, 

may remain in effect until an 

Independent Review determination, and 

if applicable, the Final Review 

determination by the DOE Office of 

Hearings and Appeals. 

(c) Independent Review. An 

individual PF member disqualified from 

medical certification, temporarily or 

permanently, by the PPMD may request 

an Independent Review of his case. The 

individual initiating such a review must 

submit the request for an Independent 

Review in writing to the Office of 

Health, Safety and Security within ten 

working days of the date of notification 

(date of written correspondence) of 

disqualification. A copy of the request 

must be sent to the individual’s 

employer and to the local officially 

designated Federal security authority: 

For DOE HQ sites, to the Director, Office 

of Security Operations; for NNSA sites, 

to the cognizant NNSA Security 

Director; and for any other DOE sites, to 

the cognizant DOE Security Director. 

(1) The Office of Health, Safety and 

Security, in coordination with the 

respective PPMD, must provide for the 

Independent Review. The Independent 

Review must be conducted within sixty 

calendar days of the receipt of the 

request for an Independent Review. The 

Independent Review must include a 

complete review of the record of the 

case. 

(2) The disqualified individual may 

select a representative of his/her choice 

during the Independent Review process. 

The individual or representative may 


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provide additional evidence relating 

solely to the medical or physical 

readiness of the individual. The 

individual must execute a consent 

document authorizing the release of 

relevant medical information to the 

Office of Health, Safety and Security. 

(3) The disqualified individual must 

provide a copy of the request for 

Independent Review and the signed 

consent document for the release of 

medical information to the respective 

PPMD and the individual’s employer 

within ten working days of the 

submission of the request to the Office 

of Health, Safety and Security. 

(4) Within ten working days of receipt 

of a copy of the request for an 

Independent Review, the disqualified 

individual’s employer must provide the 

Office of Health, Safety and Security 

with the following: 

(i) A copy of the job analysis (JA)/ 

mission essential task list (METL) 

available to the respective Designated 

Physician at the time of the individual’s 

medical evaluation; 

(ii) A listing of the essential functions 

for the individual’s PF job classification; 

and 

(iii) Any additional information 

relating to the medical or physical 

readiness of the requestor that the Office 

of Health, Safety and Security may 

request. 

(5) The Office of Health, Safety and 

Security must provide the information 

in paragraph (c)(4) to the Independent 

Physician for use in the independent 

review. 

(6) A medical examination of the 

disqualified individual must be 

conducted by an Independent Physician 

approved by the Office of Health, Safety 

and Security. The Independent 

Physician must not have served as the 

requestor’s personal physician in any 

capacity. The Independent Review must 

confirm or disagree with the medical 

certification disqualification and must 

consider: 

(i) The validity of the stated physical 

requirements and essential function(s) 

for the applicable job classification; 

(ii) The PPMD’s medical 

determination of the individual’s 

inability to perform essential functions 

or to undertake training or the physical 

readiness qualification test without 

undue medical risk to the health and 

safety of the individual; 

(iii) The completeness of the medical 

information available to the PPMD; and 

(iv) If applicable, the determination 

by the PPMD that the performance of 

the individual poses a direct threat to 

self or others. 

(7) The results of the Independent 

Physician’s medical examination of the 

individual must be provided to the 

Office of Health, Safety and Security for 

review. The Office of Health, Safety and 

Security must then recommend a final 

determination confirming or reversing 

the medical certification 

disqualification. The recommendation 

of the Office of Health, Safety and 

Security must be forwarded to the 

applicable local Federal authority for 

security: For DOE HQ sites, the Director, 

Office of Security Operations; for NNSA 

sites, the cognizant local NNSA Security 

Director; for any other DOE sites, the 

cognizant local DOE Security Director; 

and the respective PPMD. This 

individual will either adopt or reject the 

recommendation of the Office of Health, 

Safety and Security. 

(8) The Office of Health, Safety and 

Security must provide the results of the 

Independent Review and the final 

determination regarding the individual’s 

medical disqualification to the 

requestor, the respective PPMD, the 

respective local ODFSA, and the 

requestor’s employer. 

(9) If the Independent Review 

determination confirms the individual 

is disqualified from medical 

certification, the individual must be 

removed from the PF job classification 

by the individual’s employer. If the 

Independent Review disagrees with the 

medical certification disqualification, 

the individual must be reinstated to the 

PF job classification by the individual’s 

employer, subject to successful 

completion of any required 

qualifications or training requirements 

that were due during the temporary 

disqualification. 

(d) Final Review. An individual 

receiving an unfavorable Independent 

Review Determination may request a 

Final Review of the Independent 

Review Determination by the Office of 

Hearings and Appeals. The individual 

must submit his or her request for a 

Final Review to the Office of Hearings 

and Appeals, in writing, within 30 days 

of receiving an unfavorable 

determination, and notify the Office of 

Health, Safety and Security of his or her 

appeal. In the request for a Final 

Review, the individual must state with 

specificity why he or she disagrees with 

the Independent Review confirming his 

or her medical certification 

disqualification. The Office of Health, 

Safety and Security will transmit the 

complete record in the case to the Office 

of Hearings and Appeals within five 

business days of receiving notice from 

the individual that he or she has filed 

an appeal of the Independent Review 

Determination. The Office of Hearings 

and Appeals may request additional 

information, if necessary, to clarify any 

issue on appeal. Within 45 days of the 

closing of the record, the Office of 

Hearings and Appeals will issue a 

Decision and Order setting forth its 

findings on appeal and its conclusions 

based on the record before it. Upon 

receipt of the unfavorable results of a 

Final Review determination by the 

Office of Hearings and Appeals, the 

individual must be permanently 

removed from that PF job classification, 

SO or SPO (FPRS, BRS, ARS, or SRT 

member) by his or her employer. 

However, nothing in this determination 

shall prevent the employee from being 

allowed to qualify for a less strenuous 

physical readiness job classification 

given the availability of said position 

subject to successful completion of any 

other required qualifications or training 

requirements. Upon receipt of the 

favorable results of a Final Review 

determination from the Office of 

Hearings and Appeals, the individual 

must be reinstated to the PF job 

classification by his or her employer, 

subject to successful completion of any 

required qualifications or training 

requirements due during the temporary 

disqualification and future ability to be 

medically certified for the PF job 

classification. 

§ 1046.16 SPO physical readiness 

qualification standards and procedures. 

(a) General. Employers must provide 

SPOs with a copy of the applicable 

physical readiness standards, a copy of 

these regulations, and must inform 

SPOs of their rights associated with the 

physical readiness requirements. 

(1) All SPO applicants must satisfy 

the applicable physical readiness 

standard for their assigned position and 

must physically demonstrate the 

physical training and skills, knowledge 

and abilities set out in paragraph (g) of 

this section, as required for their 

assigned position before beginning 

active duty in that position. 

(2) All incumbent SPOs must 

requalify every year according to their 

applicable readiness standard, pursuant 

to paragraph (d)(1), (f), or (g) of this 

section. Requalification must occur no 

later than the twelfth month following 

the previous annual qualification. The 

requalification may be accomplished at 

any time during, or prior to, the 

requalification month. 

(3) All qualification and 

requalification activities must be 

conducted under the supervision of 

personnel knowledgeable of DOE 

physical readiness program 

requirements and approved by the local 

officially designated Federal security 

authority. 


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(b) Physical readiness training 

program. Each SPO must engage in a 

year-round physical readiness training 

program to: 

(1) Achieve and maintain the cardiorespiratory and musculoskeletal fitness 

necessary to safely perform all essential 

functions of normal and emergency PF 

duties at any time, without posing a 

direct threat to self or others; and 

(2) Enable the individual SPO to pass 

(on an annual basis) the applicable SPO 

physical readiness standard without any 

undue risk of physical injury. 

(c) Training program requirements. 

(1) The training program must include 

the following elements: 

(i) Activities with appropriate 

durations which address aerobic, agility, 

flexibility, and strength conditioning. 

(ii) Instruction on techniques and 

exercises designed to ensure SPOs can 

safely rise quickly from the prone 

position, and if required by qualification 

standard, transition into a run. 

(iii) Appropriate stretching/warm-up 

and cool down activities designed by 

certified exercise physiologists to 

support injury free workouts and 

physical readiness testing. 

(2) An SPO physical readiness 

training and maintenance program must 

be developed by the employing 

organization and approved by the PPMD 

in consultation with the local officially 

designated Federal security authority. 

(3) After initial training and 

qualification, each SPO must participate 

in the physical readiness training and 

maintenance program on a continuing 

basis. The physical readiness 

maintenance program must be based on 

assessment of the individual SPO’s 

physical readiness levels and be tailored 

to the individual SPO’s physical 

readiness maintenance requirements 

and improvement needs. The SPO’s 

participation in this training program 

must be validated by the SPO’s 

employing organization. 

(4) Assessments of an SPO’s level of 

physical readiness must be conducted at 

least every six months by personnel 

knowledgeable of DOE requirements 

and be based upon recognized 

assessment standard values (e.g., 

American College of Sports Medicine 

[http://www.acsmstore.org/], Cooper 

Fitness Institute [http:// 

www.cooperinstitute.org/], and Rockport 

Walk Protocol [available online from a 

variety of Web sites]). Though not a 

qualification, the assessment must 

include an evaluation of the SPO’s level 

of physical readiness and provide 

recommendations for maintenance 

requirements and improvement needs, if 

any. Ability to summon appropriate 

medical emergency response must be 

available at the assessment site. An 

individual trained in cardio-pulmonary 

resuscitation and automatic external 

defibrillator equipment must be present. 

(5) An SPO who fails to requalify 

during the twelfth month following the 

anniversary of the date of initial or 

previous qualification must be removed 

from armed SPO status and must 

participate in a remedial physical 

readiness training program. No 

additional training or time extension to 

meet the standards is permitted except 

for unusual circumstances based on a 

temporary medical or physical 

condition as certified by the PPMD that 

causes the SPO to be unable to satisfy 

the physical readiness standards within 

the required time period without 

suffering undue physical harm. 

(6) SPOs must maintain physical 

readiness standards on a continuing 

basis. Employees must notify the 

employer when the requirements of the 

training program cannot be successfully 

completed on a recurring basis (e.g., 

exercises cannot be completed and/or 

completed within time limits several 

times in a row due to injury and/or 

conditioning issues). The employer 

must provide access to a work 

hardening or rehabilitation program 

upon PPMD medical evaluation 

validating the need for such a program. 

(7) An SPO may be required to 

demonstrate the ability to meet the 

applicable physical readiness 

qualification standard during a 

Headquarters or field audit/inspection/ 

survey or other similar activity, as 

directed by the local officially 

designated Federal security authority. 

Failure to meet the physical readiness 

standard will be treated as if the SPO 

failed the first attempt during routine 

qualification, and the procedures of 

paragraphs (g)(3), (4) and (5) of this 

section will apply. 

(d) Physical readiness standards for 

SPOs. The physical readiness standards 

for SPOs are as follows: 

(1) Fixed Post Readiness Standard 

(FPRS). This standard applies to all 

SPOs and must be physically 

demonstrated every year. The standard 

is sufficient agility and range of motion 

to: Assume, maintain, and recover from 

the variety of cover positions associated 

with effective use of firearms at entry 

portals and similar static environments 

to include prone, standing, kneeling, 

and barricade positions; use site-specific 

deadly and intermediate force weapons 

and employ weaponless self-defense 

techniques; effect arrest of suspects and 

place them under restraint, e.g., with 

handcuffs or other physical restraint 

devices; and meet any other site-specific 

measure of physical readiness 

prescribed by site management and 

approved by the respective program 

office. 

(2) Basic Readiness Standard (BRS). 

In addition to demonstrating the FPRS 

requirements as stated in paragraph 

(d)(1) of this section, the BRS consists 

of a one-half mile run with maximum 

qualifying times of 4 minutes 40 

seconds and a 40-yard dash from the 

prone position in 8.5 seconds, and any 

other site-specific measure of physical 

readiness prescribed by site 

management and approved by the 

respective program office. 

(3) Advanced Readiness Standard 

(ARS). In addition to demonstrating the 

FPRS requirements as stated in 

paragraph (d)(1) of this section, the ARS 

consists of a one mile run with 

maximum qualifying times of 8 minutes 

30 seconds and a 40-yard dash from the 

prone position in 8.0 seconds, and any 

other site-specific measure of physical 

readiness prescribed by site 

management and approved by the 

respective program office. 

(e) Administrative Procedure Act. The 

Department may revise the physical 

readiness standards or establish new 

standards consistent with the 

Administrative Procedure Act and other 

applicable law. 

(f) Evaluation and documentation. 

The Designated Physician’s evaluation 

and documentation that an incumbent 

BRS or ARS SPO has reasonable 

expectation of meeting the appropriate 

physical readiness standard will be 

deemed to have met the annual physical 

readiness qualification requirement 

without having to take the appropriate 

BRS or ARS test. The following 

procedures apply regarding the 

Designated Physician’s evaluation and 

documentation that an incumbent BRS 

or ARS SPO has a reasonable 

expectation of meeting the appropriate 

physical readiness standard. The 

physical readiness capability evaluation 

must be made by the Designated 

Physician without delegation (e.g., to a 

physician’s assistant or nurse 

practitioner). A site standard form must 

be used, and pertinent negatives must 

be documented on the form. 

(1) Evaluation of BRS and ARS SPOs 

must include consideration of 

normative data where it is available for 

individuals deemed to be physically 

capable. The following criteria must be 

evaluated: Cardiac function to include 

resting pulse rate, pulse recovery after 

exertion; neuromuscular function to 

include assessments of strength, range/ 

freedom of motion, and movement 

without pain. 

(2) The designated physician may 

clear the BRS or ARS SPO medically for 


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SPO duties and document that the SPO 

has a reasonable expectation of meeting 

the appropriate physical readiness 

standard. In this case, the SPO is 

deemed to have met the annual physical 

readiness qualification requirement 

without having to take the appropriate 

BRS or ARS test. 

(3) The designated physician may 

indicate the BRS or ARS SPO meets 

medical standards for SPO duties but 

indicate that the SPO does not appear to 

have the physical capability to pass the 

appropriate physical readiness test. In 

this case, the file will be immediately 

forwarded to the PPMD for review. 

(4) If the PPMD concurs with the 

Designated Physician, the SPO may 

challenge the decision by taking and 

passing the appropriate physical 

readiness test, which must be 

accomplished successfully within 30 

days of the date of the physical 

evaluation for the SPO to remain in 

status. Should the SPO fail to meet the 

standard, the retesting process described 

below in paragraph (g) of this section 

must be followed. Ultimate return to 

work would require following the new 

hire process for medical clearance and 

physical readiness testing. 

(5) Should the PPMD determine that 

the SPO does appear to have a 

reasonable expectation of meeting the 

appropriate physical readiness standard, 

the SPO will be deemed to have met the 

annual qualification requirement for the 

appropriate physical readiness standard. 

(6) The Designated Physician may 

find that the SPO cannot be medically 

cleared for SPO duties. In this case, the 

SPO will be removed from status with 

appropriate PPMD review and medical 

intervention provided. 

(7) Each year, 10 percent of the BRS 

and ARS SPO populations at each site 

will be randomly selected by the 

employer for physical testing pursuant 

to paragraph (g). The identity of an 

individual as the selectee shall be kept 

confidential by the employer in a 

manner that ensures this information 

does not become known to the selected 

individual and the Designated Physician 

until after the individual SPO has been 

deemed to have a reasonable 

expectation of meeting the appropriate 

physical readiness standard pursuant to 

paragraphs (f) (2) or (f)(5) of this section. 

The selected individuals must 

successfully complete the applicable 

physical readiness standard in order to 

retain SPO status. During a given year’s 

testing, at least 90 percent of those 

tested in each physical readiness 

category must meet the requirements. 

(8) Should the passing percentage of 

those randomly selected in a particular 

physical readiness category at a 

particular site drop below 90 percent on 

their first attempts at annual 

qualification, then subsequently all 

incumbent SPOs in that category at that 

site must be tested against their 

appropriate physical readiness standard 

when their anniversary date occurs. 

This testing will continue until a 95 

percent successful completion rate for 

that category of physical readiness is 

achieved at the site. Once a 95 percent 

successful completion rate on the first 

attempt is achieved for a given testing 

year, the required testing ratio will 

return to 10 percent for that category. 

(g) Physical testing for BRS and ARS 

SPOs. The following procedures apply 

to an individual physically 

demonstrating the physical readiness 

standards for applicants and incumbent 

SPOs. 

(1) Incumbent BRS and ARS SPOs 

randomly selected for physical testing 

pursuant to paragraph (f) in any given 

year, shall physically meet the 

applicable physical readiness standard 

during the month of, or prior to, their 

anniversary date. 

(2) Incumbent SPOs shall physically 

meet the applicable physical readiness 

standard prior to their assignment to 

duties which require a more stringent 

standard. 

(3) All newly hired SPOs must 

physically meet the most stringent 

standard required at the site. 

(4) SPOs returning after an absence of 

more than one year from protective 

force duties must physically meet the 

standard they were required to meet 

when they left SPO duties, should such 

a position requiring that standard be 

available. 

(5) Each applicant and incumbent 

SPO must be medically approved by the 

Designated Physician and have 

successfully completed a physical 

readiness assessment within thirty days 

prior to initial participation in any 

physical readiness training program and 

prior to attempting the applicable 

standard to determine whether the 

individual can undertake the standard 

without undue medical risk to the 

health and safety of the individual. 

(6) SPOs must qualify on the 

applicable standard annually either by 

medical clearance or by physically 

passing the required test. The testing 

protocol shall include mandated 

participation by the officer being tested 

in pre-test stretching, warm-up, and 

cool-down activities as described in 

paragraph (c) of this section. The 

responsible person in charge of the 

qualification activity must ensure that 

the SPO understands the attempt will be 

for qualification. Once this has been 

communicated by the person in charge, 

the attempt will constitute a 

qualification attempt. Ability to 

summon appropriate medical 

emergency response must be available at 

the testing site. An individual trained in 

cardio pulmonary resuscitation and 

automatic external defibrillator 

equipment must be present. 

(7) Physical readiness requalification 

must occur not later than during the 

twelfth month from the previous annual 

qualification. Failure to qualify within 

this one-month period, or earlier, must 

result in removal from SPO status. All 

attempts must be made within 30 days 

of the medical approval required in 

§ 1046.16 (g)(5). Not more than five 

attempts may be allowed during the 

30-day period. 

(8) Remedial training program: Each 

incumbent SPO who has not met the 

applicable physical readiness 

qualification standards as set forth 

herein for reasons other than injury or 

illness must participate in a supervised 

physical readiness remedial training 

program. 

(i) Supervision of the physical 

readiness remedial training program 

may be accomplished by direct 

observation of the SPO during the 

training program by personnel 

knowledgeable of Department physical 

readiness program requirements, or by 

these personnel monitoring the SPO’s 

progress on a weekly basis. 

(ii) The remedial training program 

must be based upon an assessment of 

the SPO’s individual physical readiness 

deficiencies and improvement needs 

which precluded the SPO from 

successfully completing the applicable 

physical readiness standard. 

(iii) The remedial training program 

must not exceed a period of 30 days. 

(9) Re-testing after completion of 

remedial training program. 

(i) Once an incumbent SPO has begun 

a remedial training program, it must be 

completed before the SPO may attempt 

the applicable standard. 

(ii) Upon completion of the remedial 

training the incumbent SPO must be 

assessed using the same process that is 

used for the required semiannual 

assessment as required in (b)(4) of this 

section with the results indicating the 

SPO is ready to take the test. 

(iii) The incumbent SPO has seven 

days from the completion date of the 

remedial training program to meet the 

applicable physical readiness 

qualification standard. Only one attempt 

during this seven-day period may be 

made unless circumstances beyond the 

testing organization or participant’s 

control (e.g., severe weather, equipment 

failure, or injury) interrupt the attempt. 


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When the attempt is interrupted, it may 

then be rescheduled within seven days. 

(iv) The SPO’s original anniversary 

qualification date will remain the same. 

(10) Extensions: The physical 

readiness standards set forth in this part 

may not be waived or exempted. Time 

extensions, not to exceed six months, 

may be granted on a case-by-case basis 

for those individuals who, because of a 

temporary medical or physical 

condition certified by the Designated 

Physician, are unable to satisfy the 

physical readiness standards within the 

required period without suffering 

injury. When an extension is granted: 

(i) The granting of such a time 

extension does not eliminate the 

requirement for the incumbent SPO to 

be removed from SPO status during the 

time extension. 

(ii) When an extension is granted 

because of an inability to qualify 

without a certified medical or physical 

condition, the PF member is not entitled 

to temporary removal protection 

benefits. 

(iii) Upon completion of the time 

extension period and requisite physical 

readiness training, as applicable, the 

incumbent SPO must be assessed using 

the same process that is used for the 

required semiannual assessment as 

required in (b)(4) of this section with the 

results indicating the SPO is ready to 

take the test. 

(iv) For time extensions exceeding 

three months, the SPO’s original 

anniversary qualification date may be 

revised to reflect the date for passing the 

applicable standard, which will become 

the new anniversary qualification date. 

§ 1046.17 Training standards and 

procedures. 

(a) Department contractors 

responsible for the management of PF 

personnel must establish training 

programs and procedures for PF 

members to develop and maintain the 

knowledge, skills and abilities required 

to perform assigned tasks. The 

qualification and training programs 

must be based upon criteria approved 

by the officially designated Federal 

security authority. 

(b) Department contractors 

responsible for training PF personnel 

must prepare and annually review 

mission essential tasks from which a JA 

or mission essential task list (METL). 

The JAs or METLs must be prepared 

detailing the required actions or 

functions for each specific PF job 

assignment. When a generic Department 

JA or METL does not exist for a 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 competence 

prior to an individual’s beginning 

employment as a PF member and 

annually thereafter. 

(d) The formal PF training program 

must: 

(1) Be based on identified essential 

functions and job tasks, with identified 

levels of knowledge, skills and abilities 

needed to perform the tasks required by 

a specific position; 

(2) Be aimed at achieving a welldefined, minimum level of competency 

required to perform each essential 

function and task acceptably, with or 

without reasonable accommodations; 

(3) Employ standardized lesson plans 

with clear performance objectives as the 

basis for instruction; 

(4) Include valid performance-based 

testing to determine and certify job 

readiness; 

(5) Be documented so that individual 

and overall training status is easily 

accessible. Individual training records 

and certifications must be retained for at 

least one year after termination of the 

employee from employment as a 

member of the PF; 

(6) Incorporate the initial and 

maintenance training and training 

exercise requirements expressly set 

forth in this part and as otherwise 

required by DOE; 

(7) Be reviewed and revised, as 

applicable, by PF management on an 

annual basis; and 

(8) Be reviewed and approved by the 

local officially designated Federal 

security authority on an annual basis. 

(e) SOs—(1) SO initial training 

requirements. (i) Prior to initial 

assignment to duty, each SO must 

successfully complete a basic SO 

training course, approved by the local 

officially designated Federal security 

authority, designed to provide the 

minimum level of skills, knowledge and 

ability needed to competently perform 

all essential functions and tasks 

associated with SO job responsibilities. 

(ii) The essential functions and 

minimum competency levels must be 

determined by a site-specific JA or 

METL. The essential functions and 

minimum competency levels will 

include, but are not limited to, the 

knowledge, skills, and abilities required 

to perform the essential functions set 

forth in this part, task areas as specified 

by DOE; and any other site specific task 

areas that will ensure the SO’s ability to 

perform all aspects of the assigned 

position under normal and emergency 

conditions without posing a direct 

threat to themselves or to others. 

(2) SO maintenance training. Each SO 

must successfully complete an annual 

course of maintenance training to 

maintain the minimum level of 

competency required for the successful 

performance of tasks and essential 

functions associated with SO job 

responsibilities. The type and intensity 

of training must be based on a 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), each SPO must 

successfully complete the approved 

Department basic SPO training course. 

In addition to the basic SPO training 

course, SPO initial training must 

include successful completion of sitespecific training objectives derived from 

a site-specific JA or METL, task areas as 

specified by DOE, and any other site 

specific task areas that will ensure the 

SPO’s ability to perform all aspects of 

the assigned position under normal and 

emergency conditions without posing a 

direct threat to themselves or to others. 

(2) SPO maintenance training. In 

addition to meeting the SO maintenance 

training requirements described in 

paragraph (e)(2) of this section, each 

SPO must successfully complete an 

annual course of maintenance training 

to maintain the minimum level of 

competency required for the successful 

performance of essential functions and 

tasks associated with SPO job 

responsibilities. The type and intensity 

of training must be determined by a siteVerDate Mar<15>2010 14:53 Mar 05, 2012 Jkt 226001 PO 00000 Frm 00019 Fmt 4702 Sfmt 4702 E:\FR\FM\06MRP1.SGM 06MRP1

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specific JA or METL. Failure to achieve 

a minimum level of competency will 

result in the SPO being placed in a 

remedial training program. The 

remedial training program must be 

tailored to provide the SPO with 

necessary training to afford a reasonable 

opportunity to meet the level of 

competency required by the JA or METL 

within clearly established time frames. 

Failure to demonstrate competency at 

the completion of the remedial program 

must result in loss of SPO status. 

(3) SPO knowledge, skills and 

abilities. In addition to meeting the SO 

knowledge, skills and ability 

requirements described in paragraph 

(e)(3) of this section, the requirements 

for each SPO to demonstrate proficiency 

in, and familiarity with, the 

responsibilities identified in the 

applicable JA or METL and proficiency 

in the individual and collective 

knowledge, skills, and abilities 

necessary to perform the essential 

functions and the job tasks based on 

their applicable JA or METL. 

(g) SRT Members. In addition to 

satisfying the initial and maintenance 

training requirements for SPOs and 

meeting the SPO knowledge, skill, and 

ability requirements, SRT members 

must meet the following requirements. 

(1) SRT initial training requirements. 

Prior to initial assignment to duty, each 

SRT-qualified SPO must successfully 

complete the current approved SRT 

basic qualification course designed to 

provide the minimum level of skills, 

knowledge and ability needed to 

competently perform all the identified 

essential functions of the job and tasks 

associated with SRT job responsibilities. 

After completion of the SRT basic 

qualification course, the SRT-qualified 

SPO must participate in a site-specific 

training program designed to provide 

the minimum level of skills and 

knowledge needed to competently 

perform all the identified essential 

functions of the job and tasks associated 

with site-specific SRT job 

responsibilities. The site-specific 

essential functions and minimum levels 

of competency will be based on a sitespecific JA or METL, task areas as 

specified by DOE, and any other site 

specific task areas that will ensure the 

SRT-qualified SPO’s ability to perform 

all aspects of the assigned position 

under normal and emergency conditions 

without posing a direct threat to himself 

or to others. 

(2) SRT maintenance training. After 

assignment to duties as a member of an 

SRT, an SRT-qualified SPO must, as a 

minimum, train semiannually in all of 

the areas determined necessary by a 

site-specific JA or METL. Failure to 

achieve a minimum level of competency 

will result in the SRT-qualified SPO 

being placed in a remedial training 

program or removal from SRT 

qualification status, as determined by 

contractor management. The remedial 

training program must be tailored to 

provide the SRT-qualified SPO with 

necessary training to afford a reasonable 

opportunity to meet the level of 

competency required by the JA or 

METL. Failure to demonstrate 

competency at the completion of the 

remedial program will result in loss of 

SRT-qualification status. 

(3) SRT knowledge, skills, and 

abilities. The requirements for each 

SRT-qualified SPO to demonstrate 

proficiency in, and familiarity with, the 

responsibilities identified in the 

applicable JA or METL and proficiency 

in the individual and collective 

knowledge, skills, and abilities 

necessary to perform the job tasks must 

include, but are not limited to, those 

identified for SPOs and based on their 

applicable JA or METL. 

(h) Specialized requirements. PF 

personnel who are assigned specialized 

PF responsibilities outside the scope of 

normal duties must successfully 

complete the appropriate basic and 

maintenance training, as required by 

DOE and other applicable governing 

regulating authorities (e.g., Federal 

Aviation Administration). This training 

must enable the individual to achieve 

and maintain the minimum level of 

skills, knowledge and ability needed to 

competently perform the tasks 

associated with the specialized job 

responsibilities, as well as maintain 

mandated certification, when 

applicable. Such personnel may 

include, but are not limited to, flight 

crews, instructors, armorers, central 

alarm system operators, crisis 

negotiators, investigators, canine 

handlers, and law enforcement 

specialists. The assignment of such 

specialists and scope of such duties 

must be based on site-specific needs and 

approved by the local officially 

designated Federal security authority. 

(i) Supervisors—(1) Supervisor 

training requirements. Prior to initial 

assignment to duty, each PF supervisor 

must successfully complete a supervisor 

training program designed to provide 

the minimum level of skills, knowledge 

and ability needed to competently 

perform all essential functions of the job 

and tasks associated with supervisory 

job responsibilities. Appropriate annual 

refresher training must be provided. The 

essential functions and minimum levels 

of competency will be based on a sitespecific JA or METL and will include 

the essential functions and task areas 

identified for the level of PF personnel 

to be supervised. Armed supervisors of 

SPOs must be trained and qualified as 

SPOs. They must meet applicable 

medical and physical readiness 

qualification and certification standards 

for assigned response duties. 

(2) Supervisor knowledge, skills, and 

abilities. Each PF supervisor must 

possess the skills necessary to 

effectively direct the actions of assigned 

personnel. Each supervisor must 

demonstrate proficiency in, and 

familiarity with, the responsibilities 

identified in the applicable JA or METL 

and proficiency in the skills and 

abilities necessary to perform those jobs. 

(j) PF training exercises. Exercises of 

various types must be included in the 

training and performance testing 

process for the purposes of achieving 

and maintaining skills and assessing 

individual, leader and collective 

competency levels. The types and 

frequency of training exercises must be 

determined by the training needs 

analysis conducted as part of the 

training program, and approved by the 

local officially designated Federal 

security authority. These exercises must 

be planned and conducted to provide 

site-specific training to the PF in the 

prevention of the successful completion 

of potential adversarial acts as specified 

by DOE. 

(k) Firearms qualification standards. 

(1) No person may be authorized to 

carry a firearm as an SPO until the 

responsible local ODFSA is assured that 

the individual who is to be armed with 

individually issued/primary weapons is 

qualified in accordance with firearms 

standards or that, in the case of 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 6 months. Requalification or 

proficiency demonstration must occur 

no later than the sixth month from the 

previous qualification. The 

requalification or proficiency 

demonstration may be accomplished at 

any time prior to or during the 

requalification month. In the case of 

individually assigned/primary weapons, 

if the SPO does not re-qualify during the 

re-qualification month, individual’s 

authority to be armed and to make 

arrests must be suspended following the 

unsuccessful qualification attempts as 

provided in paragraph (k)(11) of this 

section. For post-specific and crewserved weapons, if the SPO does not 

demonstrate proficiency during the 

requalification month, the individual’s 


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eligibility for assignment to posts having 

those post-specific or crew-served 

weapons must be suspended until such 

time as proficiency can be 

demonstrated. If requalification occurs 

prior to the anniversary month, the 

month of requalification becomes the 

new anniversary month. 

(3) PF personnel must maintain 

firearms proficiency on a continuing 

basis. Therefore, an SPO may be 

required to demonstrate an ability to 

meet the applicable firearms 

qualification or proficiency standard(s) 

during a Headquarters or field audit, 

survey, inspection, or other situation 

directed by the local officially 

designated Federal security authority. 

Failure to meet the standard will be 

treated as if the individual failed the 

first attempt during routine semiannual 

qualification or proficiency 

demonstration. In this event, the 

requirements of paragraphs (k)(11) 

through (k)(14) of this section apply. 

(4) Each SPO must qualify with 

primary/individually-issued weapons 

required by duty assignment (to include: 

specialty weapons, long gun and/or 

handgun, if so armed). Qualification is 

the semi-annual act of achieving a set 

score while demonstrating the ability to 

load, operate, and discharge a firearm or 

weapon system accurately and safely (to 

include clearing the weapon at the 

conclusion of firing) according to a 

Departmentally-approved course of fire. 

At least one of the two semi-annual 

qualifications must be accomplished 

with the same type of firearm or weapon 

system and ammunition equivalent in 

trajectory and recoil as that authorized 

for duty use. All qualification courses 

must be constrained by time, identify 

the maximum amount of available 

ammunition, and include minimum 

scoring percentages required to qualify. 

(5) For the purposes of this part, 

weapons system simulator means a 

device that closely simulates all major 

aspects of employing the corresponding 

actual firearm/weapons system, without 

firing live ammunition. The simulator 

should permit all weapons-handling 

and operational actions required by the 

actual weapon, and should allow the 

use of sight settings similar to the 

corresponding actual weapon with 

assigned duty loads. Additionally, when 

weapons or weapons system simulators 

are used for qualification testing of 

protective force officers, the operation of 

the simulated weapon must closely 

approximate all weapons handling and 

operational manipulation actions 

required by the actual weapon. The 

simulation system must precisely 

register on-target hits and misses with 

accuracy comparable to the actual 

weapon at the same shooting distances. 

The weight, balance, and sighting 

systems should replicate those of the 

corresponding actual weapon, and noise 

signatures and felt recoil should be 

simulated to the extent technically 

feasible. Additionally, when used for 

qualification testing of protective force 

officers, the weight and balance of the 

simulated weapon with assigned duty 

loads must be closely approximated. 

(6) SPOs assigned to posts which 

require the operation of site-specific 

post-specific specialized or crew-served 

weapons must be trained and must 

demonstrate proficiency in the safe use 

of such weapons in a tactical 

environment. These proficiency courses 

must provide for the demonstration of 

skills required to support the site 

security plan. Ammunition equivalent 

in both trajectory and recoil to that used 

for duty must be used during an initial 

demonstration of proficiency. A 

weapons proficiency demonstration 

means a process based on a 

predetermined, objective set of criteria 

approved by the respective program 

office in consultation with the Office of 

Health, Safety and Security that results 

in a grade (e.g., pass/fail). The process 

must ensure that an individual (or team, 

for crew-served weapons) demonstrates 

the ability to perform all 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. 

(7) Weapon system simulators may be 

used for training, familiarization, and 

semi-annual proficiency verifications 

(e.g., engaging moving vehicles and/or 

aircraft). Demonstrations of proficiency 

must include all weapons-handling and 

operational manipulations necessary to 

load, operate, and discharge a weapon 

system accurately and safely (to include 

clearing the weapon at the conclusion of 

firing) according to a Departmentallyapproved course of demonstration. 

Weapon demonstrations of proficiency 

are allowed with the same type of 

firearm or weapon system and 

ammunition equivalent in trajectory and 

recoil as that authorized for duty use, or 

with firearms simulators that have the 

features and capabilities as described in 

paragraph (k)(5) of this section. 

(8) Each SPO must be given a safety 

presentation on the basic principles of 

weapons safety prior to any range 

activity. This does not require that a 

weapons safety presentation be given for 

each course of fire, but does require that 

prior to the start of range training or 

qualification for a given period (e.g., 

initial qualification, semiannual 

qualification, training, familiarization, 

proficiency testing, or range practice) 

each SPO must be given a range safety 

presentation. 

(9) Standardized 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 

officially designated Federal security 

authority, the developed courses will be 

submitted to the respective program 

office for review and approval. 

(10) When qualification is prescribed, 

SPOs must be allowed two attempts to 

qualify with assigned firearms/weapons 

semiannually. A designated firearms 

instructor or other person in charge of 

the range will ensure the shooter 

understands that the attempt will be for 

qualification. Once this has been 

communicated by the firearms 

instructor or person in charge, the 

attempt will constitute an attempt to 

qualify or demonstrate proficiency. The 

SPO must qualify or demonstrate 

proficiency during one of these 

attempts. 

(11) Upon suspension of an SPO’s 

authority to carry firearms, the SPO 

must enter a standardized, remedial 

firearms/weapons training program 

developed by the respective site PF 

contractor firearms training staff. The 

remedial training program will be a 

combination of basic weapon 

manipulation skills, firearms safety, and 

an additional segment of time tailored to 

provide the SPO with the necessary 

individual training to afford a 

reasonable opportunity to meet the 

firearms/weapons qualification or 

proficiency standards. 

(12) When qualification is required 

following the completion of the 


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remedial training course, any SPO who 

fails to qualify after two subsequent 

attempts must lose SPO status and the 

authority to carry firearms/weapons and 

to make arrests. When weapons-specific 

safety or proficiency cannot be 

demonstrated, the SPO must not be 

assigned to posts that require the 

operation of that weapon until such 

safety or proficiency standards can be 

met. 

(13) Any SPO who requires remedial 

training on three consecutive 

semiannual qualification periods with 

the same type of firearm/weapon 

(caliber, make, and model, but not 

necessarily the exact same weapon) 

must be suspended from duties that 

require the issuance of that weapon. If 

the weapon is considered a primary 

duty weapon, e.g., rifle or handgun, the 

contractor may, at its discretion, 

permanently remove that individual 

from SPO status based on recurring 

inability to maintain qualification 

status. Three consecutive recurrent 

remediations on specialty weapons shall 

result in permanent removal from duties 

that require those specific weapons. The 

contractor may consider reinstating an 

individual permanently removed from 

SPO status if the individual can 

demonstrate the ability to pass the 

current Department qualification course 

for that firearm with written validation 

from a certified firearms instructor. All 

such training and validation expenses 

are solely the responsibility of the SPO. 

If such an individual is reinstated, the 

contractor must provide all other 

training for returning protective force 

members according to the requirements 

of this part and as otherwise specified 

by DOE. 

(14) An appropriate Department 

record must be maintained for each SPO 

who qualifies or who attempts to qualify 

or to demonstrate proficiency. Records 

will be retained for one year after 

separation of a PF member from SPO 

duties, unless a longer retention period 

is specified by other requirements. A 

supervisor or a training officer will be 

designated, in writing, as the individual 

authorized to certify the validity of the 

scores. 

§ 1046.18 Access authorization. 

PF personnel must have the access 

authorization for the highest level of 

classified matter to which they have 

access or SNM which they protect. The 

specific level of access authorization 

required for each duty assignment must 

be determined by the site security 

organization and approved by the local 

officially designated Federal security 

authority. At sites where access 

authorizations are not required, SPOs 

must have at least a background 

investigation based upon a national 

agency check with local agency and 

credit check (NACLC), with maximum 

duration between reinvestigations not to 

exceed 10 years. This background 

investigation must be favorably 

adjudicated by the applicable 

Departmental field element. Those SPOs 

who have access to Category I or 

Category II quantities of SNM with 

credible roll-up potential to Category I 

must have and maintain a DOE ‘‘Q’’ 

access authorization. 

§ 1046.19 Medical and fitness for duty 

status reporting requirements. 

(a) SPOs and SOs must report 

immediately to their supervisor that 

they have a known or suspected change 

in health status that might impair their 

capacity for duty. To protect their 

medical confidentiality, they are 

required only to identify that they need 

to see the Designated Physician. SOs 

and SPOs must provide to the 

Designated Physician detailed 

information on any known or suspected 

change in health status that might 

impair their capacity for duty or the safe 

and effective performance of assigned 

duties. 

(b) SPOs and SOs must report to their 

supervisor and the Designated Physician 

for a determination of fitness for duty 

when prescription medication is started 

or a dosage is changed, to ensure that 

such medication or change in dosage 

does not alter the individual’s ability to 

perform any of the essential functions of 

the job. SPOs and SOs must report to 

their supervisor and the Designated 

Physician for a determination of fitness 

for duty within 24 hours, and prior to 

assuming duty, after any medication 

capable of affecting the mind, emotions, 

and behavior is started, to ensure that 

such medication does not alter the 

individual’s ability to perform any of 

the essential functions of the job. Where 

a written reasonable accommodation 

determination already has been made, 

any additional change to an SO’s or 

SPO’s health status affecting that 

accommodation must be reported to 

their supervisor and the Designated 

Physician for a determination of fitness 

for duty. 

(c) Supervisory personnel must 

document and report to the Designated 

Physician any observed physical, 

behavioral, or health changes or 

deterioration in work performance in 

SPOs and SOs under their supervision. 

(d)(1) PF management must inform 

the Designated Physician of all 

anticipated job transfers or 

recategorizations including: 

(i) From SO to FPRS, BRS, ARS, or 

SRT Member; 

(ii) From FPRS, to BRS, ARS or SRT 

Member; 

(iii) From BRS to ARS to SRT 

Member; 

(iv) From ARS to SRT Member; 

(v) From SRT Member to ARS, BRS, 

FPRS or SO; 

(vi) From ARS to BRS, FPRS, or SO; 

(vii) From BRS to FPRS or SO; 

(viii) From FPRS to SO; and 

(ix) From PF to other assignments. 

(2) For downward re-categorizations 

in paragraphs (d)(1)(v) through (ix) of 

this section, the anticipated transfer 

notification must include appropriate 

additional information such as the 

apparent inability of the employee to 

perform essential functions, meet 

physical readiness standards, or to serve 

without posing a direct threat to self or 

others. 

(e) The Designated Physician must 

notify the PPMD to ensure appropriate 

medical review can be made regarding 

any recommended or required changes 

to the PF member’s status. 

§ 1046.20 Medical records maintenance 

requirements. 

(a) The Designated Physician must 

maintain all medical information for 

each employee or applicant as a 

confidential medical record, with the 

exception of the psychological record. 

The psychological record is part of the 

medical record but must be stored 

separately, in a secure location in the 

custody of the evaluating psychologist. 

These records must be kept in 

accordance with DOE Privacy Act 

System of Records 33—Personnel 

Medical Records. 

(b) Nothing in this part is intended to 

preclude access to these records 

according to the requirements of other 

parts of this or other titles. Medical 

records maintained under this section 

may not be released except as permitted 

or required by law. 

(c) Medical records will be retained 

according to Paragraph 21.1, 

Department of Energy, Administrative 

Records Schedule 1: Personnel Records, 

September 2010, Revision 3 (http:// 

energy.gov/sites/prod/files/cioprod/ 

documents/ADM_1%281%29.pdf). 

(d) When an individual has been 

examined by a Designated Physician, all 

available history and test results must 

be maintained by the Designated 

Physician under the supervision of the 

PPMD in the medical record, regardless 

of whether: 

(1) The individual completes the 

examination; 

(2) It is determined that the individual 

cannot engage in physical training or 


srobinson on DSK4SPTVN1PROD with PROPOSALS
13228 Federal Register / Vol. 77, No. 44 / Tuesday, March 6, 2012 / Proposed Rules 

testing and cannot perform the essential 

functions of the job; or 

(3) It is determined that the individual 

poses a direct threat to self or others. 

(e) The Designated Physician will 

provide written work restrictions to the 

affected SPO/SO and PF management. 

PF management must approve and 

implement site-specific plans to ensure 

confidentiality of PF medical 

information. This plan must permit 

access to only those with a need to 

know the information and must identify 

those individuals by organizational 

position or responsibility. The plan 

must adhere to all applicable laws and 

regulations, including but not limited to 

the Health Insurance Portability and 

Accountability Act of 1996 (HIPAA), the 

Family and Medical Leave Act of 1993 

(FMLA), and the ADA, as amended by 

the ADAAA. 

§ 1046.21 Materials incorporated by 

reference. 

(a) General. DOE incorporates by 

reference the following standards into 

part 1046. The material has been 

approved for incorporation by reference 

by the Director of the Federal Register 

in accordance with 5 U.S.C. 552a and 1 

CFR part 51. Any subsequent 

amendment to a standard by the 

standard-setting organization will not 

affect the DOE regulations unless and 

until amended by DOE. Material will be 

incorporated as it exists on the date of 

the approval and a notice of any change 

to the material will be published in the 

Federal Register. All approved material 

will be available for inspection at the 

National Archives and Records 

Administration (NARA). For 

information on the availability of this 

material at NARA, call 202–741–6030, 

or go to http://www.archives.gov/ 

federal_register/ 

code_of_federal_regulations/ 

ibr_locations.html. Also, this material 

will be available for inspection at U.S. 

Department of Energy, Office of Health, 

Safety and Security, 1000 Independence 

Ave. SW., Washington, DC 20585. 

Standards can be obtained from the 

sources below. 

(b) ANSI. American National 

Standards Institute, 25 W. 43rd St., 4th 

Floor, New York, NY 10036, 212–642– 

4900, or go to http://www.ansi.org. 

(1) ANSI/ASA S3.6–2010 (‘‘ANSI 

S3.6’’), American National Standard 

Specification for Audiometers, 

approved 2010; IBR approved for 

§ 1046.13. 

(2) [Reserved]. 

[FR Doc. 2012–5280 Filed 3–5–12; 8:45 am] 

BILLING CODE 6450–01–P 

DEPARTMENT OF TRANSPORTATION 

Federal Aviation Administration 

14 CFR Part 39 

[Docket No. FAA–2012–0188; Directorate 

Identifier 2011–NM–120–AD] 

RIN 2120–AA64 

Airworthiness Directives; BAE 

SYSTEMS (Operations) Limited 

Airplanes 

AGENCY: Federal Aviation 

Administration (FAA), DOT. 

ACTION: Notice of proposed rulemaking 

(NPRM). 

SUMMARY: We propose to adopt a new 

airworthiness directive (AD) for all BAE 

SYSTEMS (Operations) Limited Model 

4101 airplanes. This proposed AD was 

prompted by reports of cracking found 

in the wing rear spar. This proposed AD 

would require a one-time detailed 

inspection for cracks, corrosion, and 

other defects of the rear face of the wing 

rear spar, and repair if necessary. We are 

proposing this AD to detect and correct 

cracking in the rear spar, which could 

propagate to a critical length, possibly 

affecting the structural integrity of the 

area and resulting in a fuel tank rupture, 

with consequent damage to the airplane 

and possible injury to its occupants. 

DATES: We must receive comments on 

this proposed AD by April 20, 2012. 

ADDRESSES: You may send comments by 

any of the following methods: 

• Federal eRulemaking Portal: Go to 

http://www.regulations.gov. Follow the 

instructions for submitting comments. 

• Fax: (202) 493–2251. 

• Mail: U.S. Department of 

Transportation, Docket Operations, 

M–30, West Building Ground Floor, 

Room W12–140, 1200 New Jersey 

Avenue SE., Washington, DC 20590. 

• Hand Delivery: U.S. Department of 

Transportation, Docket Operations, 

M–30, West Building Ground Floor, 

Room W12–140, 1200 New Jersey 

Avenue SE., Washington, DC, between 

9 a.m. and 5 p.m., Monday through 

Friday, except Federal holidays. 

For service information identified in 

this proposed AD, contact BAE 

SYSTEMS (Operations) Limited, 

Customer Information Department, 

Prestwick International Airport, 

Ayrshire, KA9 2RW, Scotland, United 

Kingdom; telephone +44 1292 675207; 

fax +44 1292 675704; email 

RApublications@baesystems.com; 

Internet http://www.baesystems.com/

Businesses/RegionalAircraft/index.htm. 

You may review copies of the 

referenced service information at the 

FAA, Transport Airplane Directorate, 

1601 Lind Avenue SW., Renton, 

Washington. For information on the 

availability of this material at the FAA, 

call 425–227–1221. 

Examining the AD Docket 

You may examine the AD docket on 

the Internet at http:// 

www.regulations.gov; or in person at the 

Docket Operations office between 9 a.m. 

and 5 p.m., Monday through Friday, 

except Federal holidays. The AD docket 

contains this proposed AD, the 

regulatory evaluation, any comments 

received, and other information. The 

street address for the Docket Operations 

office (telephone (800) 647–5527) is in 

the ADDRESSES section. Comments will 

be available in the AD docket shortly 

after receipt. 

FOR FURTHER INFORMATION CONTACT: 

Todd Thompson, Aerospace Engineer, 

International Branch, ANM–116, 

Transport Airplane Directorate, FAA, 

1601 Lind Avenue SW., Renton, 

Washington 98057–3356; telephone 

425–227–1175; fax 425–227–1149. 

SUPPLEMENTARY INFORMATION: 

Comments Invited 

We invite you to send any written 

relevant data, views, or arguments about 

this proposed AD. Send your comments 

to an address listed under the 

ADDRESSES section. Include ‘‘Docket No. 

FAA–2012–0188; Directorate Identifier 

2011–NM–120–AD’’ at the beginning of 

your comments. We specifically invite 

comments on the overall regulatory, 

economic, environmental, and energy 

aspects of this proposed AD. We will 

consider all comments received by the 

closing date and may amend this 

proposed AD based on those comments. 

We will post all comments we 

receive, without change, to http:// 

www.regulations.gov, including any 

personal information you provide. We 

will also post a report summarizing each 

substantive verbal contact we receive 

about this proposed AD. 

Discussion 

The European Aviation Safety Agency 

(EASA), which is the Technical Agent 

for the Member States of the European 

Community, has issued EASA 

Airworthiness Directive 2011–0096, 

dated May 25, 2011 (referred to after 

this as ‘‘the MCAI’’), to correct an unsafe 

condition for the specified products. 

The MCAI states: 

Four cracks were found on a wing rear spar 

by an operator during a fuel leak 

investigation. The cracks were located 

between ribs 6 and 7, immediately inboard of 

the inboard engine rib. The cracks initiated 

at adjacent fastener bores in the rear spar 


srobinson on DSK4SPTVN1PROD with PROPOSALS