INDEX
CHAPTER I
PERSONNEL ASSURANCE PROGRAM
1. GENERAL.
a. The Personnel Assurance Program (PAP) is designed to provide
management guidance in the selection of individuals for assignment
to nuclear explosive duties. Individuals selected for assignment
to nuclear explosive duties must be certified by the DOE as suitable
for such assignment in accordance with the procedures and
requirements set forth in this Chapter. PAP certification for
assignment to nuclear explosive duties is in addition to meeting
all other applicable job-qualification standards.
b. Failure of an individual to be certified or recertified for
assignment to nuclear explosive duties shall not, in itself, reflect
on the individual's suitability for assignment to other duties and
shall not, in itself, be a cause for punitive measures or adverse
reflection on the individual.
c. Personnel management actions based on the consideration of technical
competence and other job-qualification requirements, not related to
PAP requirements, shall not be affected by the requirements of this
Chapter.
d. Managers of Operations Offices assigned PAP functions may delegate
to the Deputy Manager, Assistant Managers, Division Directors,
and/or Area Office Managers authority to perform PAP functions as
deemed appropriate except for those functions set forth in
paragraphs 3c, 3d, 4c, 4d, 4e, and 5 of this Chapter.
e. Managers of operations offices or their delegates will maintain PAP
records documenting the certification that individuals are properly
qualified and trained to perform nuclear explosive duties as
indicated in paragraph 9 of this Chapter.
2. REQUIREMENTS. DOE or DOE contractor employees to be assigned nuclear
explosive duties must be certified in the PAP by the DOE, and
recertified annually in accordance with the procedures set forth in
this Chapter. Individuals to be certified or recertified shall:
a. Have a valid DOE "Q" clearance.
b. Have a signed statement, "Acknowledgment and Agreement to
Participate in the Personnel Assurance Program (PAP)." (See
Attachment I-1.)
c. Have a signed statement, "Authorization and Consent to Release
Personal Records in Connection with the Personnel Assurance Program
(PAP)." (See Attachment I-2.)
d. Be interviewed and briefed on the importance of the assignment and
the nature and objectives of the PAP.
e. Be reviewed and certified that they have technical and operational
qualification, experience, and training to perform specific nuclear
explosive operation assignments.
f. Undergo a medical assessment initially, annually thereafter for
recertification, and as may be required by the Site Occupational
Medical Director (SOMD). The assessment shall include:
(1) A medical examination.
(a) Individuals shall be given a comprehensive medical
examination with appropriate laboratory tests and other
procedures to evaluate their physical, mental, emotional,
and behavioral status.
(b) The purpose of the medical examination is to ensure that
an individual does not have a condition that may prevent
the individual from performing nuclear explosive duties
in a safe and reliable manner.
(2) An evaluation of drug abuse.
(a) Individuals shall be tested for the use of illegal drugs
in accordance with the DOE drug testing program, which
incorporates the Department of Health and Human Services
"Mandatory Guidelines for Federal Workplace Drug Testing
Programs" (53 CFR 11970). Individuals certified under
the PAP shall be tested for illegal drugs annually, on
random basis. This program shall include unannounced
drug testing as well as testing for cause or reasonable
suspicion.
(b) Refusal to submit a urine sample or deception by
adulteration, substitution, or other means shall be
reason to question the individual's certification or
continued certification for nuclear explosive duties.
Such individuals shall immediately be suspended from PAP
and removed from their nuclear explosive duties pending
a review to determine whether continued certification is
appropriate.
(c) Substances in the drug testing program shall include, as
a minimum, cocaine, marijuana, opiates, amphetamines,
phencyclidine, and LSD-25 (lysergide or lysergic acid
diethylamide).
(d) Admission to, or verification by testing of, use of
hallucinogens shall result in the immediate and permanent
removal from the PAP and any nuclear explosive duties.
(3) An evaluation of alcohol abuse.
(a) When alcohol abuse is suspected, individual shall be
examined for evidence for alcohol abuse. Evidence of
alcohol abuse is reason to question the individual's
certification or continued certification for PAP and
shall require further evaluation, which may include
psychological assessment.
(b) The consumption of alcohol is prohibited within an 8-hour
abstinence period preceding any tour of work and during
the period of work. Management shall develop procedures
that will ensure persons called in to perform an
unscheduled working tour are fit to perform the task
assigned.
(c) In addition to presently authorized alcohol testing within
the Department, individuals in the PAP shall be subjected
to unannounced tests for alcohol if there is reasonable
indication of alcohol use by an individual on the work
site.
(d) Tests for alcohol must be administered by evidential-grade
breath alcohol analysis devices by a brand and model that
conforms to National Highway Traffic Safety Administration
Standards (49 FR 48855) and to any applicable state
statutes.
(e) An alcohol breath test is positive at or above a blood
alcohol concentration (BAC) of 0.04 percent cutoff level.
For each screening test, two breath specimens shall be
collected from each individual no less than 2 minutes
apart and no more than 10 minutes apart. The individual
administering the test must be trained and qualified to
operate the test device. The test results shall be
considered accurate if the result of each measurement is
within + 10 percent of the average of the two
measurements. If the two tests do not agree, the breath
tests shall be repeated on another evidential-grade breath
analysis device. Confirmatory testing is accomplished by
repeating the above procedure on another evidential-grade
breath analysis device.
(f) If the alcohol breath tests indicate the individual is
positive for a BAC at or above the 0.04 percent cutoff
level, the individuals may request a confirmatory blood
test at his or her discretion. The confirmation test
must be by gas chromatography blood analysis.
(g) Alcohol breath tests shall be delayed at least 15 minutes
if any source of mouth alcohol (e.g., breath fresheners)
or any other substances have been ingested that could
affect the measurement. The breath specimen taken should
come from the end, rather than the beginning of the breath
expiration.
(h) Refusal to submit to an alcohol breath test or deception
by adulteration, substitution, or other means shall be
reason to question the individual's certification or
continued certification for PAP. Such individuals shall
immediately be suspended from PAP and be removed from
nuclear explosive duties pending a review to determine
whether continued certification is appropriate.
(i) Individuals considered for reinstatement to PAP and
subsequent assignments to nuclear explosive duties,
following treatment leading to rehabilitation from
alcohol abuse, shall be required to undergo follow-up
evaluation as prescribed by the SOMD in order to ensure
continued rehabilitation.
(4) A psychological assessment.
(a) The certification and recertification psychological
assessments described in this section shall be provided
by a designated clinical psychologist approved by the
SOMD with the concurrence from EH-43.
(b) The initial certification psychological assessment shall
include: 1) As a minimum, a generally accepted
psychological test such as the Minnesota Multiphasic
Personality Inventory (MMPI), or the 16 Personality
Factors Test (16PF); and 2) a structured interview by
the designated clinical psychologist.
(c) The recertification psychological assessment shall consist
of, as a minimum, a structured interview by the designated
clinical psychologist.
(d) For certification, recertification, or possible
decertification for cause, the SOMD may require any
additional assessment procedures deemed necessary to
reach a recommendation on the psychological status of
the individual.
3. PAP PROCEDURES FOR DOE EMPLOYEES. Managers of Operations Offices
exercising jurisdiction over personnel assignments requiring PAP
certification for nuclear explosive shall:
a. Promulgate instructions for implementing the requirements of the
PAP for DOE employees. As a minimum, the procedures shall provide
for:
(1) Instructing supervisory personnel, medical personnel, and
other appropriate personnel in the nature and objectives of
the PAP.
(2) Supervisory interview of each individual being considered for
the PAP and assignment to nuclear explosive duties. The
interview will include a briefing on the importance of the
nuclear explosive duty assignment and the nature and
objectives of the PAP.
(3) Assuring that individuals to be certified or recertified in
PAP and for assignment to nuclear explosive duties undergo
the required medical assessment.
(4) Assuming that a review of the personnel clearance investigative
file, the results of the medical assessment, the supervisory
interview, the technical and operational qualifications for
nuclear explosive operations, and other available personnel
data has been accomplished for each individual being considered
for assignment to such duties. These reviews will be
documented in accordance with Paragraph 9 of this Chapter.
When necessary, appropriate personal information concerning a
PAP individual may be exchanged among responsible DOE or DOE
contractor officials during the certification, recertification,
or decertification process. Information from a personnel
security investigative file shall not be shared with a
contractor.
(5) Certifying each individual for PAP and assignment to nuclear
explosive duties will be documented in accordance with
Paragraph 9 of this Chapter.
(6) Supervisors of individuals in the PAP and performing nuclear
explosive duties to:
(a) Perform observation of such individuals to determine
suitability for continued assignment to nuclear explosive
duties. Behavior such as that indicated in paragraph
4a(5)(a) through (i) of this Chapter indicates possible
unsuitability for PAP and should be reported immediately
to the next level of supervision and/or to the SOMD.
(b) Cause the immediate, temporary removal from nuclear
explosive duties of an individual whose suitability for
performing such duties is in question. Immediate,
temporary removal from nuclear explosive duties requires
the supervisor to assure that, as a minimum:
1 The individual be instructed to cease performance of
nuclear explosive duties.
2 The individual be escorted from, and prevented from
entering or reentering, any area that would afford
access to nuclear explosives.
(c) The PAP certifying official is immediately informed of any
immediate, temporary-removal action and reasons therefore.
(NOTE: Immediate, temporary removal from nuclear
explosive duties does not constitute a determination that
the removed individual lacks the emotional or mental
stability or physical capability to perform nuclear
explosive duties. Such removal does indicate, however,
that there is a question as to the individual's
suitability, which warrants the temporary removal from
nuclear explosive duties pending resolution of the
question.)
b. Review the circumstances of immediate, temporary removal (except
for administrative removal) of an individual from nuclear
explosive duties on the basis of PAP considerations.
c. Take one of the following actions, after reviewing the circumstances
of the immediate, temporary removal:
(1) Suspend the individual's PAP certification.
(2) If necessary, direct that a medical assessment and/or security
evaluation be accomplished.
(3) Determine whether certification should be reinstated or revoked
using all pertinent data.
d. Comply with the certification review procedures established in this
Chapter prior to a decision not to certify, not to recertify, or to
decertify.
4. PAP PROCEDURES FOR DOE CONTRACTOR EMPLOYEES. Managers of Operations
Offices exercising administrative jurisdiction over contractors whose
scope of work includes nuclear explosive duties subject to the
provisions of the PAP shall:
a. Promulgate instructions for implementing the requirements of the
PAP at contractor facilities. As a minimum, the contractor
procedures shall provide for:
(1) Instructing supervisory personnel, medical personnel, and
other appropriate personnel in the nature and objectives of
the PAP.
(2) Supervisory interview of each individual to be assigned
nuclear explosive duties. The interview will include a
briefing on the importance of the assignment, PAP
requirements, and the nature and objectives of the PAP.
(3) Assuring that individuals to be certified or recertified in
PAP and assignment to nuclear explosive duties undergo the
required medical assessment.
(4) Requesting DOE certification or recertification of a contractor
employee when the contractor has determined, on the basis of
all information available, that the individual is suitable.
The contractor requesting certification or recertification,
will assure the PAP certifying official that all PAP
certification requirements have been met; or if any requirement
has not been met, the contractor will provide any personal data
that may have a bearing on the individual's certification or
recertification. When necessary, appropriate personal
information concerning a PAP individual may be exchanged among
responsible DOE or contractor officials during the
certification, recertification, or decertification process.
(5) Designating contractor supervisory personnel responsible for
the observation of PAP individuals assigned to nuclear
explosive duties to determine their suitability for such
duties, and to report to the next level of supervision any
observations of behavior that would indicate unsuitability
for PAP such as:
(a) Indications of deceitful or delinquent behavior.
(b) Any overt attempt or implied threat to destroy property
or life.
(c) Abnormal stress resulting from financial problems,
failure to pay debts, indebtedness extended beyond
ability to pay, continually overdrawn at bank, etc.
(d) Abnormal stress resulting from family situations, such
as separation, divorce, or child care problems.
(e) Any indication of alcohol or drug problems.
(f) Uncontrolled anger or a temper display.
(g) An abnormal exhibition of hostility, tension, fears,
anxiety, excitement, depression, or antagonistic attitude.
(h) Suicidal tendencies or an attempted suicide, regardless
of how the knowledge was obtained or where the attempt
was performed.
(i) The making of excessive demands, provoking of friction,
or assuming a negative attitude to the extent that it
disrupts the activities of the work group.
(6) The immediate, temporary removal from nuclear explosive duties
of an individual whose suitability for performing such duties
is in question. Immediate, temporary removal from nuclear
explosive duties requires that, as a minimum:
(a) The individual be instructed to cease performance of
nuclear explosive duties.
(b) The individual be escorted from, and prevented from
entering or reentering, any area which would afford
access to nuclear explosives.
(7) Immediately informing the DOE PAP certifying official of any
immediate, temporary-removal action and the reasons therefore.
The PAP certifying official will immediately notify the
cognizant Operations Office Manager. (NOTE: Immediate,
temporary removal from nuclear explosive duties does not
constitute a determination that the removed individual lacks
the emotional or mental stability or physical capability to
perform nuclear explosive duties. Such removal does indicate,
however, that there is a question as to the individual's
suitability that warrants the removal from nuclear explosive
duties pending resolution of the question. Immediate,
temporary-removal action will not in itself be cause for loss
of pay or other benefits or other changes in employment
status.)
b. Establish procedures for the DOE PAP certifying official to:
(1) Review a contractor's request for certification or
recertification of an individual in the PAP and for assignment
to nuclear explosive duties. The Manager will also assure that
a review of the individual's personnel clearance investigative
file has been accomplished. When necessary, appropriate
personal information concerning a PAP individual may be
exchanged among responsible DOE or contractor officials for the
certification, recertification, or decertification process.
(2) Certify and recertify each contractor employee determined to be
suitable for the PAP and subsequent nuclear explosive duty
assignment.
c. Review the circumstances concerning the immediate temporary removal
of an individual from nuclear explosive duties on the basis of PAP
considerations.
d. Take one of the following actions after reviewing the circumstances
of the immediate, temporary removal:
(1) Suspend the individual's PAP certification.
(2) If necessary, direct that a medical assessment and/or security
evaluation be accomplished.
(3) Determine whether certification should be reinstated or removed
using all pertinent data.
e. Comply with the certification review procedures established in
paragraph 5 below prior to rendering a decision not to certify or
to revoke the certification in PAP because the individual is not
suitable for assignment to nuclear explosive duties.
5. CERTIFICATION REVIEW PROCEDURES.
a. The Manager of the Operations Office, prior to rendering a decision
not to certify or to revoke the PAP certification of a DOE or
contractor employee because the individual is not suitable for
assignment to nuclear explosive duties, shall notify the individual
in writing:
(1) Of all the specific information that raises the question as
to suitability.
(2) That the individual may comment in writing, under oath or
affirmation, to the Manager on the information within 20
working days of receipt of the notification.
(3) That the individual may indicate to the Manager in writing,
within 20 working days of receipt of the notification, that
the individual wishes to appear in person before a
certification review hearing officer for a review of the
information giving rise to the question as to the individual's
suitability.
(4) That the individual may be represented by counsel of the
individual's own choosing and cost, at the review conducted
by the hearing officer.
(5) That the individual may offer information in support of the
claim for suitability for PAP certification or recertification
through witnesses and documents at the review conducted by the
hearing officer.
(6) That, if the individual fails to request a review, a final
decision as to suitability shall be based upon the information
available to the Manager.
b. The Manager of the Operations Office, upon receipt of a request from
the individual to appear in person before a certification review
hearing officer, shall forthwith appoint an impartial certification
review hearing officer. The hearing officer shall be a DOE attorney
and shall have a DOE "Q" clearance. The Manager shall also appoint
a DOE attorney as counsel to the hearing officer to assist in
obtaining all evidence bearing on the matter. Counsel will express
no opinion to the hearing officer on the merits of the evidence
presented during the hearing.
(1) Counsel will arrange for the appearance of witnesses and will
examine and cross-examine witnesses.
(2) Counsel will notify the employee in writing, at least 7
working days in advance, of the scheduled place, date, and
hour where the review will take place.
c. The certification review hearing officer shall:
(1) Conduct the review in an orderly and impartial manner and in
accordance with applicable security requirements, with every
effort made to protect the interests of the Government and
the employee.
(2) Present to the employee, through witnesses or documentation,
all information that gives rise to the question of the
individual's suitability for assignment to nuclear explosive
duties.
(3) Assure that the employee is given full opportunity during the
review to refute or mitigate the information which raises the
question as to the individual's suitability. The employee
shall be permitted to offer information in the individual's
own behalf, to call, confront, examine, and cross-examine
witnesses and other persons who have made written or oral
statements, and to present and examine evidence. The hearing
officer may receive and consider an oral or written statement
adverse to the employee relating to a controverted issue
without affording the employee the opportunity to cross-examine
the person making the statement in either of the following
circumstances.
(a) The substance of the statement was contained in the
employee's personnel clearance investigative file before
the question as to the individual's suitability arose,
and the Head of the Federal Department or Agency
supplying the statement certifies that the person who
furnished the information is a confidential informant
who has been engaged in obtaining intelligence information
for the Government and the disclosure of the individual's
identity would be substantially harmful to the National
interest.
(b) The substance of the statement was contained in the
employee's personnel clearance investigative file before
the question as to the individual's suitability arose;
and the Assistant Secretary for Defense Programs or his
special designee for that particular purpose has
preliminarily determined, after considering information
furnished by the investigative agency as to the
reliability of the person and the accuracy of the
statement concerned, that the statement concerned
appears to be reliable and material; and the Assistant
Secretary for Defense Programs or such special designee
has determined that failure of the hearing officer to
receive and consider such statement would be substantially
harmful to the National security and that the person who
furnished the information cannot appear to testify 1 due
to death, severe illness, or similar cause, in which case
the identity of the person and the information to be
considered shall be made available to the employee, or 2
due to some other cause determined by the Assistant
Secretary for Defense Programs to be good and sufficient.
Whenever procedures under 1 or 2 above are used, the
employee shall be given a summary of the information which
shall be as comprehensive and detailed as the National
security permits and appropriate consideration shall be
accorded to the fact that the employee did not have an
opportunity to cross-examine such person. (NOTE: The
hearing officer may request the Manager to arrange for the
issuance of subpoenas for witnesses, including those for
witnesses who will appear on behalf of the employee.
Testimony of the employee and of all witnesses shall be
given under oath or affirmation. When procedures under
paragraphs 5c(3)(a) or 5c(3)(b) are used, the Manager will
obtain the necessary verification(s) or determination(s).
(4) Record the review proceedings and forward a copy of the record
to the Manager.
(5) Make specific written findings and a written recommendation,
based upon the record, and forward it, together with a
statement of the reasons, therefore, to the Manager.
d. The Manager of the Operations Office shall, in the event the
employee fails to request a hearing officer review or subsequent to
receipt of the hearing officer's submissions, promptly issue a
decision in the matter. If the Manager decides not to certify or to
revoke the PAP certification of a DOE or contractor employee because
the individual is not suitable for assignment to nuclear explosive
duties, the Manager shall:
(1) Inform the employee in writing of the decision not to grant,
or the decision to revoke, the individual's certification
and the specific reasons therefore.
(2) In addition, where there has been a hearing officer review,
forward a copy of the record of the review proceedings and of
the hearing officer's recommendation and statement of the
reasons, therefore, to the employee, and inform the employee
in writing:
(a) That the individual may have the decision reviewed by the
Assistant Secretary for Defense Programs and may present
the individual's position in writing to the Assistant
Secretary for Defense Programs, provided the individual
requests such a review and presentation in writing through
the manager within 20 working days of the individual's
receipt of the Manager's decision.
(b) That, if within 20 working days of receipt of the
Manager's decision, the individual does not request a
review of the decision by the Assistant Secretary for
Defense Programs, the Manager's decision not to grant or
to revoke certification shall be final.
e. The Manager of the Operations Office receiving a request for review
by the Assistant Secretary for Defense Programs of a decision not to
grant or to revoke a PAP certification shall forward through DP-20
to the Assistant Secretary for Defense Programs:
(1) The employee's request for a review by the Assistant Secretary
for Defense Programs of the decision.
(2) A copy of the decision and the specific reasons therefore.
(3) The employee's written position concerning the decision.
(4) A copy of the record of the review proceedings and of the
hearing officer's recommendation and statement of the reasons
therefore.
f. The Assistant Secretary for Defense Programs, upon receipt of an
employee's request to review the decision not to grant or to revoke
the individual's PAP certification, shall review all information
forwarded by the Manager of the Operations Office and issue a
decision in support of the Manager's decision or grant or reinstate
the employee's certification.
6. TERMINATION OF PAP CERTIFICATION PROCESSING OR REVIEW. If, for reasons
not involving PAP considerations, an employee is no longer being
considered for assignment to nuclear explosive duties or is no longer
assigned to such duties, any processing of a decision with respect to
the employee's certification pursuant to this Chapter shall, at the
employee's option, either be terminated without a final determination
or pursued to final determination. If, at a later date, an employee
who chose not to have a final determination should again be considered
for assignment to nuclear explosive duties, processing of the
individual's certification pursuant to this Chapter shall be commenced
anew.
7. PAP CERTIFICATION LISTS.
a. Managers of Operations Offices granting PAP certifications within
the provisions of this Chapter will establish procedures for
developing and maintaining a current list of DOE and contractor
employees certified in accordance with the provisions of this
Chapter. As a minimum, the procedures shall provide for:
(1) The prompt addition of employee names granted certification.
(2) The prompt removal of employee names whose certifications
have been revoked.
(3) A quarterly review of the list to assure it is current.
(4) The removal of employee names no longer assigned to nuclear
explosive duties.
b. The purpose of PAP certification lists is to provide an up-to-date
ready reference of DOE and contractor employees certified in
accordance with the provisions of the PAP.
c. The number of DOE and contractor employees included on the personnel
assurance program certification lists will be kept to a minimum
consistent with operating and administrative requirements.
8. TRAINING REQUIREMENTS FOR PAP PHYSICIANS AND SUPERVISORS OF PAP
PERSONNEL.
a. A program shall be developed and maintained to provide special
training to PAP physicians to qualify them to participate in the
PAP evaluation process and to provide expert professional advice
on fitness for nuclear explosive duty. As a minimum, the special
training program shall include:
(1) Explanation of nuclear explosion duties and the Nuclear
Explosive and Weapon Safety Program.
(2) Explanation of the objectives, purposes, policies, and
requirements of the PAP.
(3) Orientation on nuclear explosive processing and the work
environment in areas where nuclear explosive operations are
performed (a valid DOE "Q" clearance is required if
classified information is discussed or accessed).
b. A program shall be developed and maintained to provide the special
training to qualify DOE and DOE contractor supervisors supervising
nuclear explosive duty employees. As a minimum, the special
training program shall include:
(1) Explanation of nuclear explosive duties of the Nuclear
Explosive and Weapon Safety Program.
(2) Explanation of objective, purpose, policies, and requirements
of the PAP.
(3) Orientation on the early identification of behavior, attitude,
and/or job performance that indicates a risk of degradation in
reliability or judgment.
(4) Orientation in the early identification of alcohol or drug
abuse.
(5) Orientation in the importance of the process for the timely
reporting to appropriate personnel of any PAP concern.
c. Training records shall be established for PAP physicians and
supervisors of PAP personnel. These training records shall be
periodically reviewed and be auditable.
9. PAP AND NUCLEAR EXPLOSIVE DUTY QUALIFICATION RECORDS. Certifying
officials shall maintain records for individuals regarding all reviews
and certification for their inclusion in the PAP, to include training
and qualification for assignment to nuclear explosive duties covered in
Chapter I. The intent is to have a consolidated record showing that
all certification and qualification requirements for each individual
performing nuclear explosive duties have been met. A record similar to
Attachment I-3 can be used, or a local record can be designed. This
consolidated record is not intended to replace any other records that
are needed to document employee certification and qualification.