Attachment 12 CERP Manual.pdf

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Foreword

The Contractor/Employee Reliability Program (CERP) Manual is designed to ensure that FEMA and contractor personnel who have access to chemical agents meet and maintain the highest standards of reliability. This manual assists the Superintendent, Director of Training and Education (T&E), the Certifying Official (CO), contractors, and other individuals who are responsible for implementing and maintaining the CERP.

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Table of Contents

Foreword ..................................................................................................................................... i

CHAPTER 1: GENERAL INFORMATION

1-1. Purpose

1-2. Applicability and Scope

1-3. Supersession

1-4. Authorities/References

1-5. Policy

1-6. Acronyms

1-7. Responsibilities

1-8. Forms Prescribed

1-9. Questions

CHAPTER 2: PROCEDURES

2-1. General

2-2. Screening and Evaluation

2-3. Certification

CHAPTER 3: TERMS AND CONDITIONS OF CERP

3-1. Continuing Evaluation

3-2. Certifying Official Actions

3-3. Appeal Rights

3-4. Rescreening Requirements

APPENDIX A

APPENDIX B

APPENDIX C

ATTACHMENT 1

ATTACHMENT 2a

ATTACHMENT 2b

ATTACHMENT 3a

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ATTACHMENT 4

ATTACHMENT 5

ATTACHMENT 6a

ATTACHMENT 6b

ATTACHMENT 7

ATTACHMENT 8

ATTACHMENT 9

ATTACHMENT 10

ATTACHMENT 11

ATTACHMENT 12

ATTACHMENT 13

ATTACHMENT 14

ATTACHMENT 15

APPENDIX D

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CHAPTER 1: GENERAL INFORMATION

1-1. Purpose

To provide an operating manual for the consistent implementation and maintenance of the Department of Homeland Security (DHS), Federal Emergency Management Agency (FEMA), Center for Domestic Preparedness (CDP) Contractor/Employee Reliability Program (CERP) at the Chemical, Ordnance, Biological, Radiological Training Facility (COBRATF). The intent of the CERP is to ensure that FEMA Federal and contractor personnel who have access to chemical agents meet and maintain the highest standards of reliability.

1-2. Applicability and Scope

This manual is applicable to FEMA Federal and contractor personnel.

1-3. Supersession

This document supersedes the CERP Manual for the COBRATF, December 12, 2014.

1-4. Authorities/References

A. Chemical Surety Program Standards Document (CSPSD) B. Health Insurance Portability and Accountability Act of 1996 (HIPAA) C. Privacy Act of 1974 D. DHS Handbook for Safeguarding Personally Identifiable Information

1-5. Policy

The following policy and procedures are established to ensure the reliability of personnel having access to chemical agents meet and maintain the highest standards of reliability.

1-6. Acronyms

A glossary of terms and acronyms is listed in Appendix A.

1-7. Responsibilities

A. The Superintendent, will serve as the Adjudicating Official for reviewing and rendering a final decision on all CERP appeal actions.

B. The Director of T&E will:

1. Prepare and implement a CERP.

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2. Appoint the Assistant Director (AD), COBRATF as the Certifying Official (CO) and appoint Alternate CO(s) to implement the program.

C. The CO or Alternate CO will:

1. Be directly responsible for the proper implementation of the CERP.

2. Inform managerial, supervisory, laboratory, medical, security, and other personnel of their specific responsibilities under the CERP.

3. Ensure pre-placement screening and continuing evaluation of personnel in the CERP is conducted.

4. Verify initial screening and acceptance interviews have been conducted with all candidates for the CERP and act as approving authority for acceptance and continuation of personnel in the program.

5. Ensure all requirements of Chapter 2 have been met for personnel that are candidates for the CERP.

6. Acquire information, evaluate circumstances, and impose restrictions or suspensions on CERP members from chemical agent access when circumstances dictate.

7. Remove personnel from the CERP as necessary.

8. Ensure each person in the CERP understands that maintaining personnel reliability standards is a condition of employment for being assigned to a CERP position.

9. Ensure records of CERP actions are maintained on file and confidentiality is protected.

10. Complete an annual review of personnel and medical records of individuals in the

CERP.

11. Ensure contractors have designated an individual in writing to review CERP information and screening results for candidates they are recommending for inclusion in the CERP.

12. Maintain a duty roster of all personnel in the CERP. The roster contains: effective date, name, agency, chemical duty position, medical surveillance category, and Background Investigation (BI) date. A sample of a CERP Duty Roster is at Appendix B.

13.Inform the Director, T&E, and other applicable personnel of any appropriate directives/clarifications/guidance regarding possible change to the CERP.

14.A newly appointed CO will complete the following actions, within 90 days of appointment:

(a) Review all records to include personnel, CERP, and medical.

(b) Review and discuss all documentation addressing Potentially Disqualifying Information (PDI) with the outgoing CO.

(c) Conduct interviews with each CERP individual.

D. The CERP Administrator will:

1. Provide administrative oversight and assistance to the CO.

2. Maintain the CERP records.

3. Publish the CERP Duty Roster.

4. Maintain and publish the CERP Manual.

1-8. Forms Prescribed

A. CDP COBRATF CERPF 007.1, Information Disclosure Statement/Release of file://amcd12f01/forms/CDP%20COBRATF%20FORMS/CERP%20Forms/CERPF%20007.0%20Information%20Disclosure%20Statement%20and%20Release%20of%20Information%20Authorization.docx portuesep

Information Authorization (see Appendix C, Attachment 1).

B. CDP COBRATF CERPF 009.1, Employee Information for CERP (see Appendix C, Attachments 3a and 3b).

1-9. Questions

The CO or the CERP Administrator will address questions concerning this manual.

file://amcd12f01/forms/CDP%20COBRATF%20FORMS/CERP%20Forms/CERPF%20009.0%20Employee%20Information%20for%20CERP.docx

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CHAPTER 2: PROCEDURES

2-1. General

The CDP has established and implemented a CERP Program at the COBRATF, to include personnel screening and evaluation, which ensures each individual who has access to chemical agent attains and maintains the highest reliability standards. The CO or Alternate CO will determine a candidate’s suitability for the CERP.

The contractor shall designate an individual from their company to serve as the Contractor’s Designated Representative (CDR) or Project Manager (PM), in writing, to review CERP information and screening results for candidates they are recommending for inclusion in the CERP. The written designation will be provided to the CO and the CERP Administrator.

The expense incurred to perform background and medical checks and to provide copies of documents for the CO is borne by FEMA for Federal personnel and by the contractor for contract personnel. No expense is borne by the employee. During the contract period, contractors participating in the CERP are to maintain copies of appropriate records on hand at the COBRATF or in their personnel records at the CDP.

Both FEMA and contractors ensure that proper Privacy Act forms are completed for respective employees for release of information required below.

2-2. Screening and Evaluation

A. Initial Interview. Prior to a candidate being certified into the CERP, the CO or CDR/PM will conduct an initial interview with the candidate which includes the following steps:

1. Inform and instruct the candidate regarding significance of work, importance of reliable performance, CSPSD, CERP manual, safety and security considerations, and continuing evaluation requirements for self-reporting and peer review of factors and situations that could affect job performance or reliability.

2. Advise the candidate that false information or omission of information could jeopardize his/her opportunity for employment.

3. Inform the candidate that information furnished or recovered as a result of any inquiry does not necessarily preclude employment, but is considered part of an overall evaluation of the candidate’s qualifications for the CERP.

4. Explain fair employment practices, protection of the candidate's privacy rights, and the results of such inquiries are treated by the employer in confidence.

B. Pre-placement Screening and Evaluation. If after the initial interview the CO or PM/CDR believes the candidate is still a viable candidate for the CERP, he/she shall then initiate pre-placement screening and evaluation to include these steps:

1. Initiate CDP COBRATF CERPF 007.1, Information Disclosure Statement/Release of Information Authorization containing the candidate’s signature portuesep

(see Appendix C, Attachment 1). The candidate will be required to sign this form authorizing the release of information to the CO.

2. Document that the initial interview was completed and the candidate is considered a viable candidate for the CERP (see Appendix C, Attachments 2a and b).

3. Verify U.S. citizenship (see Appendix C, Attachments 2a and b).

4. Certify in writing that a complete 100% review has been accomplished on the personnel records of the candidate, and that either no Potentially Disqualifying Information (PDI) was found, or that PDI was found but a determination had been made by the CO or PM/CDR that the candidate is still considered suitable for inclusion in the reliability program (see Appendix C, Attachments 3a and b). There will be no further pre-placement screening or evaluations on a contract employee until the PDI is resolved by the CO.

5. A medical examination will be performed based on the medical surveillance category to which the candidate will be assigned (see example below). An evaluation and documented ability to wear personal protective equipment (PPE) will be included in the exam. Prior to the examination, the CO or PM/CDR will provide the Medical Authority (MA) with a copy of those items that are considered potentially disqualifying. The MA will advise the CO or PM/CDR (as appropriate) in writing whether or not any PDI was discovered, and if so, the nature of the PDI (see Appendix C, Attachment 4). The examination elements include the following:

Category Post-offer, pre-placement Periodic1 Termination

I Occupational History (OH) Interval OH Interval OH Medical History (MH) Interval MH Interval MH Physical Exam (PE) Physical Exam Physical Exam Electrocardiogram (EKG) EKG RBC-ChE Spirometry baseline Spirometry CBC with diff Respirator clearance Respirator clearance Audiometric exam Audiometric exam Visual Acuity Visual Acuity Pupil size & reactivity Pupil size & reactivity Baseline RBC-ChE RBC-ChE2 II OH Interval OH Interval OH MH Interval MH Interval MH Spirometry baseline Spirometry RBC-ChE Respirator clearance Respirator clearance Visual Acuity Baseline RBC-ChE RBC-ChE2

1Denotes annual requirement unless otherwise specified.

2Re-establish baseline by a two-sample blood draw at least every three (3) years.

6. Completion of a drug screening. Prior to the screening, the CO or PM/CDR will provide the drug screening organization with a copy of those items which are considered potentially disqualifying. The screening organization will advise the CO or PM/CDR (as appropriate) in writing whether or not any PDI was discovered, and if so, the nature of the PDI (see Appendix C, Attachment 5).

7. Initiate written requests for the CERP candidate local background checks, accompanied by completed and signed Information Disclosure Statement/Release of Information Authorization documents, for submission by the employing agency’s Human Resources Office to appropriate local law enforcement agency(ies) in the jurisdiction(s) in which the candidate resides and works (see Appendix C, portuesep

Attachments 6a & 6b). These requests will include the candidate’s name, social security number (SSN), date and place of birth. An instruction sheet and a pre-prepared letter (see Appendix C, Attachment 7) with stamped envelope for return response directly to the CO will also be included. PDI from these checks will be provided to the CO.

8. Upon receipt of the local law enforcement agency checks the background investigation will be conducted as follows:

a. The CO notifies the CDP Personnel Security Specialist and the CDP Human Resources Office of the results (see Appendix C, Attachment 8). If favorable, the CDP Personnel Security Specialist will initiate the individual’s Background Investigation (BI).

b. This process begins with the CDP Personnel Security Specialist initiating and forwarding the Contract Fitness/Security Screening Request to the Personnel Security Branch (PSB), Office of the Chief Security Officer (OCSO), Headquarters, FEMA. The PSB conducts a preliminary screening and, if favorably adjudicated, sends the individual an email invitation to complete the e- QIP documentation. The individual typically has 10 working days to complete and submit the documentation. The individual provides the e-QIP signature pages to the CDP Personnel Security Specialist, who also fingerprints the applicant, and then forwards the signature pages and fingerprint charts to the PSB, OCSO. The Adjudication Section, PSB, OCSO, acknowledges receipt and conducts a preliminary adjudication of the e-QIP documentation.

c. When the FEMA Personnel Security Office acknowledges receipt, which establishes an Entrance on Duty (EOD) date, the individual is eligible for certification into the CERP. Following the e-QIP document submission, the CO determines the suitability and acceptability of the individual for CERP duties using all information provided by the individual, the CDP employer, local law enforcement agencies, MA, credit reports, the CDP Assistant Director of Operations, and the FEMA Personnel Security Office and may then read the individual into the CERP.

d. Upon receipt of the e-QIP file, the FEMA Personnel Security Office conducts an adjudication based on a review of the individual’s background investigation documents and checks of the National Crime Information Center, Security/ Suitability Investigations Index, Joint Personnel Adjudication System, and credit files. For favorably adjudicated individuals, the investigation dossier is then released to OPM for the field background investigation. The CDP Personnel Security Specialist is also notified of unfavorable adjudications. The final suitability determination for all CERP individuals is provided to the CDP Personnel Security Specialist, the individual’s employer, and the CO. Potentially disqualifying information is provided directly to the CO from the FEMA Personnel Security Office or reporting agency.

9. New hire employees holding a current secret or higher clearance granted by another government agency and accepted by DHS FEMA through the Reciprocity Act regardless of the type of background checks completed by the losing agency, i.e., National Agency Check with Law & Credit (NACLC), Limited Background Investigation (LBI), Minimum Background Investigation (MBI), Background portuesep Typewritten Text portuesep

Investigation (BI), etc., shall be considered eligible from a security standpoint for initial induction into the CERP.

C. Disqualifying Factors. The following factors are automatic disqualifiers for enrollment of individuals in the CERP.

1. Any record of felony convictions.

2. More than two (2) misdemeanor convictions within the last seven (7) years (excluding minor offenses under a $750.00 fine).

3. Current or pending charges for any felony criminal offense.

4. Use of narcotics, marijuana, cocaine, PCP, LSD, "designer" drugs or other controlled substances (including amphetamines or barbiturates) not prescribed by a physician within the past seven (7) years.

5. Verified positive urine drug screen or refusal to test with possible exception noted in paragraph D.8.

6. Involvement in trafficking, cultivation, processing, manufacturing, or sale of any narcotic or illicit drug (including marijuana or cannabis-based products).

7. Current diagnosis by a qualified physician or behavioral health specialist of severe substance or alcohol use disorder (as defined in the Diagnostic and Statistical Manual of Mental Disorders (DSM), current version).

8. Impaired ability to safely wear required PPE.

D. Disqualifying Considerations. Based on the CO’s informed judgment, the following factors are considered and may be the basis for disqualification from participation in the

CERP.

1. Current diagnosis of alcohol abuse or occurrence of an alcohol-related incident within the past seven (7) years.

2. Inappropriate attitude, conduct, or behavior. In determining reliability, the CO will conduct a careful and balanced evaluation of all aspects of an individual. Specific factors to consider include, but are not limited to the following:

a. Negligence or delinquency in performance of duty.

b. Conviction of, or involvement in, a serious incident indicating a contemptuous attitude toward the law, regulations, or other duly constituted authority. Serious incidents include, but are not limited to assault, sexual misconduct, contempt of court, making false official statements, habitual violation of traffic laws, and domestic violence.

c. Poor attitude or lack of motivation. Poor attitude can include arrogance, inflexibility, suspiciousness, hostility, and flippancy toward CERP responsibilities and extreme moods or mood swings.

d. Aggressive/threatening behavior toward other individuals.

e. Attempting to conceal PDI from the CO through false or misleading statements, or by willfully neglecting to report current PDI.

3. Serious progressive illness.

4. Financial irresponsibility.

5. Attempted suicide.

6. Any medical condition, medication use, or medical treatment that may reasonably result in an altered level of consciousness, impaired judgment or concentration, or impaired ability to perform the physical requirements of the duty position.

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7. Abuse of drugs/substances more than seven (7) years before the initial CERP interview.

8. Use of another’s prescription drugs, or who, in an effort to self-medicate, inadvertently or deliberately exceed the recommended safe dosage on the medication’s packaging of over the counter substances, or who improperly use their own prescribed medications.

2-3. Certification

If the candidate is determined to be suitable for inclusion into the CERP, the CO shall notify the candidate (see Appendix C, Attachment 9) and ensure that the candidate is made aware of the terms and conditions of the CERP.

CHAPTER 3: TERMS AND CONDITIONS OF CERP

3-1. Continuing Evaluation

A continuous evaluation program to ensure personnel reliability includes the final suitability determination based on a FEMA BI and daily evaluation by supervisors, fellow workers, and support personnel. Immediate disclosure of any unusual activities or behavior by members of the CERP is required. A failure to report information relating to chemical agent diversion is grounds for termination. Personnel are responsible for reporting any potentially disqualifying conduct or actions to the CO. Members of the CERP must report any behavior or circumstances about them or others in the CERP that might reasonably be expected to result in degradation in job performance or reliability or could otherwise adversely affect safety or security. Any derogatory information revealed in the adjudication of the background investigation may result in the FEMA Office of Personnel Security not granting final suitability, at which time the employee would no longer be allowed to enter CDP property and would be terminated from the CERP.

A. Medical Evaluation. All CERP members in medical surveillance categories I or II receive an annual or more frequent medical evaluation. For CERP certified individuals not subject to nerve agent medical surveillance, the MA will perform an annual health screening. As part of this evaluation, the MA is responsible for reporting all PDI to the CO, along with the appropriate recommendation for restriction, suspension, or disqualification.

B. Drug Screening Evaluation. All CERP members must participate in a urine drug screening program incorporating these elements:

1. Unannounced, periodic, random sampling of all members.

2. A selection process that permits equal opportunity for all CERP members to be chosen in any sample.

3. At a minimum, every CERP member shall be tested annually, (i.e., at least once over a twelve-month period) on a random basis.

4. A MA will review and sign off on all positive and negative urine drug tests.

Verified positive urine drug tests or the refusal of an individual to participate with the test requirements will be reported immediately to the CO or PM/ CDR (as appropriate) which will result in disqualification.

C. Background Evaluations. All CERP members receive local law enforcement record checks and credit reports annually. A periodic (five-year) background reinvestigation request will be initiated by the CDP Personnel Security Specialist no later than 60 days prior to the expiration of an individual’s Personnel Security Investigation. The CO is notified when any individual is suspended/ removed from duty and the reasons for removal. The CO notifies the CERP Administrator and the Physical Security Specialist, so that entry authority and access lists are updated to bar disqualified persons.

D. Annual Files Review. The CO will annually review personnel and medical records of CERP individuals, using the guidance below:

1. Personnel Records

a. Review all documentation for PDI. After completion of review of the documents, sign and date log sheet on inside cover of personnel file. If PDI portuesep Typewritten Text portuesep exists, the CO must determine whether it warrants non-certification of the individual, or if already certified, a change in status of the individual.

b. Review the current Personnel Security Investigation (PSI) completion date and type. Compare the date and type with what is listed on the CERP Duty Roster.

If the information is different, annotate the change and revise the CERP Duty Roster.

c. If the CO is not in the direct rating chain of the individual, review the current performance appraisal for any PDI.

d. Ensure the individual is a U.S. citizen.

e. Review current credit report for financial irresponsibility. After credit report has been reviewed by the CO, the report will be returned to the CERP employee or the contractor PM as appropriate. Any PDI found in the credit report will be annotated by the CO in their records and adjudicated accordingly with the CERP employee (see Appendix C, Attachment 10).

2. Medical Records

a. Following medical evaluations the OHN or other MA will present the physician’s recommendation concerning potential medical disqualifying information to the CO. The CO will make the final determination concerning reliability.

b. Medical records are inventoried annually, at the physician’s office, to insure records match the current CERP roster.

c. Review any comments by the physician/nurse on the health condition of the individual. Look for the start of any treatment and the conclusion of the treatment.

d. Review the physician's statements on any major problems.

e. Look for any recommended time off from work and reinstatement to general work status.

f. Ensure that the medical screening appropriate for the medical surveillance category of the individual has been completed within the required timeframe;

and that analysis of red blood cell cholinesterase (RBC-ChE) samples has been annotated.

g. If assistance is needed in interpreting information in the medical records, the CO should discuss that information with the MA.

3-2. Certifying Official Actions

A. Actions taken by the CO regarding the individual’s participation in the CERP are:

1. Restriction.

a. Medical Restriction. Performance is or may be impaired by the use of prescribed medications, or temporary medical or physical conditions. Individuals are restricted from chemical agent work when any of these factors apply. The CO may restrict an individual based on information from the individual, the individual’s supervisor, Occupational Health Nurse (OHN), or the MA. The CO will notify the individual, the individual’s supervisor, COBRATF Operations, Physical Security Specialist, and Safety Control in writing of the restriction.

Personnel temporarily medically restricted from performing chemical agent portuesep Typewritten Text portuesep duties are not deleted from the CERP, but are restricted from chemical agent duties until the condition(s) causing the restriction is resolved. The individual remains under continuing evaluation. When the temporary condition or situation is resolved, the CO will rescind the restriction and notify the identified persons that the individual can resume assigned CERP duties. Only active restrictions are maintained on file.

b. Administrative Restriction. When a CERP-certified individual will be absent from CERP duties for a period of 30 days or longer, the CO must decide if effective continuing evaluation can be maintained. When the ability to maintain continuing evaluation is questionable, the CO may administratively restrict such individuals from CERP duties for the duration of the absence. Administrative restriction is also appropriate when a medical condition unexpectedly becomes prolonged and the CO determines continued medical restriction is not appropriate. Administrative restriction is not an assessment of unreliability. The CO will notify the individual and the individual’s supervisor in writing of the nature and probable duration of the restriction (see Appendix C, Attachment 11).

Personnel are administratively restricted from performing chemical agent duties until the condition(s) causing the restriction is resolved but they are not deleted from the CERP. The CERP duty roster is updated accordingly.

2. Suspension.

a. When the CO determines that an individual’s reliability is suspect, the CO will immediately suspend the individual from the CERP (see Appendix C, Attachment 12). Notifications will be made in writing as noted in the medical restriction section above. This action is appropriate during periods of investigation and/or remedial action. The CERP member may be suitable for retention or consideration for disqualification. Potential disqualification of Federal CERP employees will be coordinated with the Human Resources Office.

Potential disqualification of contract CERP employees will be coordinated with the appropriate PM/CDR.

b. The CO will also suspend an individual whose Personnel Security Investigation (PSI) has expired unless a Periodic Reinvestigation (PR) has already been requested or until a PR is requested. The CO will notify the individual and the FEMA supervisor in writing, of the nature and probable duration of the suspension. Personnel are suspended from performing chemical agent duties until the condition(s) causing the suspension is resolved but they are not deleted from the CERP. The CERP duty roster is updated accordingly.

c. The CO will promptly evaluate all circumstances and obtain information pertaining to the reliability of the individual in order to determine whether to reinstate or disqualify the individual.

d. Suspension will not normally exceed 180 days. The CO may extend the period of suspension beyond 180 days in 30-day increments when there is not sufficient information to remove the suspension and return the individual to CERP duties, or to disqualify the individual.

3. Disqualification. When the CO determines that an individual does not meet the reliability standards, the CO will initiate disqualification from the CERP and disqualification will be accomplished promptly (see Appendix C, Attachment portuesep Typewritten Text portuesep

13). Disqualification of a Federal CERP employee will be coordinated with the Human Resources Office and Legal Counsel. Disqualification of a contract CERP employee will be coordinated with the appropriate PM/CDR. Permanent disqualification is decided by the CO using the disqualifying factors and considerations listed previously.

a. The reasons for disqualification shall be disclosed in writing directly to the individual or delivered by certified mail within seven (7) workdays (see Appendix C, Attachment 13). The CO and the CERP Administrator shall keep a delivery receipt of the written disqualification notification. If the individual refuses to accept the direct delivery of notification, the CO will annotate the refusal on the letter and proceed with the disqualification procedures.

b. In the same seven (7) workday timeframe, the CO will give the FEMA supervisor or PM/CDR a copy of the written notice that the individual is disqualified because of disqualifying factors and considerations.

c. Remove the individual’s name from the CERP Duty Roster and restrict access to chemical agent.

4. Administrative Termination. Administrative termination from the CERP occurs when an individual's duties no longer require work with chemical agent. The CDR/PM shall notify the CO immediately in writing upon knowledge of a contract CERP employee leaving (see Appendix C, Attachment 14). Upon notification of employee’s departure, the CO shall:

a. Record a termination date and notify the Director of Training and Education, the individual, the CERP Administrator, Physical Security Specialist and the FEMA supervisor or PM/CDR, of administrative actions (see Appendix C, Attachment 15).

b. Notify medical and support personnel that the individual is no longer in the

CERP.

c. Remove the individual's name from the CERP Duty Roster and restrict access to chemical agent.

3-3. Appeal Rights

If the CO at any point permanently disqualifies the individual from the CERP, the individual may initiate an appeal within seven (7) workdays of receipt of notification directly to the Adjudicating Official, the Superintendent, CDP (see Appendix C, Attachment 13).

3-4. Rescreening Requirements

If an individual is administratively terminated from the CERP and is subsequently determined to be fully eligible for reinstatement, the procedures outlined in Chapter 2 for initial entry into the CERP will be initiated.

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APPENDIX A

Acronym List

AD

Assistant Director

BI

Background Investigation

CDP

Center for Domestic Preparedness

CDR

Contractor’s Designated Representative

CERP

Contractor/Employee Reliability Program

CO

Certifying Official

COBRATF

Chemical, Ordnance, Biological, Radiological Training Facility

CSPSD

Chemical Surety Program Standards Document

DHS

Department of Homeland Security

DOT

Department of Transportation

DSM

Diagnostic and Statistical Manual of Mental Disorders

EOD

Entry on Duty e-QIP Electronic Questionnaires for Investigations Processing

FBI

Federal Bureau of Investigation

FEMA

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Federal Emergency Management Agency

FSL

Facility Security Level

FSO

Federal Security Officers

HIPAA

Health Insurance Portability & Accountability Act of 1996

LBI

Limited Background Investigation

MA

Medical Authority

MBI

Minimum Background Investigation

NACLC

National Agency Check with Law & Credit

NISP

National Information Security Program

OCSO

Office of the Chief Security Officer

OHN

Occupational Health Nurse

OPM

Office of Personnel Management

PDI

Potentially Disqualifying Information

PM

Project Manager

PPE

Personal Protective Equipment

PR

Periodic Reinvestigation

PSB

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Physical Security Branch

PSI

Personnel Security Investigation

RBC-ChE Red Blood Cell Cholinesterase

SSN

Social Security Number

T&E Training and Education

APPENDIX B

Contractor/Employee Reliability Program Duty Roster

Effective Date: ____________________

Last Name First Name Agency Chemical Duty Category SSBI Date

(1)Smith John DHS Chemical Agent Manager I 08/21/12 (2)Doe Jan DHS Alt. Accountability Officer II 09/22/09 (LBI) (3)Jones John URS Safety Control Operator (Alt.) II 07/18/13 (4)Johnson Susan TET Chemical Air Monitor I 03/09/12 (NAC)

(Name) Certifying Official Chemical, Ordnance, Biological, Radiological Training Facility

(1) Denotes administrative restriction from the CERP

(2) Denotes 5-year periodic reinvestigation initiated

(3) Denotes suspension from the CERP

(4) Denotes subcontractor to URS Contract portuesep

APPENDIX C

Contractor/Employee Reliability Program Forms

The following attachments are sample formats of the Contractor/Employee Reliability Program (CERP) forms to be used in connection with initiating and maintaining CERP files.

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CONTRACTOR/EMPLOYEE RELIABILITY PROGRAM (CERP)

ATTACHMENT 1 to Appendix C

CONTRACTOR/EMPLOYEE RELIABILITY PROGRAM

INFORMATION DISCLOSURE STATEMENT

and

RELEASE OF INFORMATION AUTHORIZATION

This is to determine the suitability of personnel accepted into, or continued to be accepted in, the Contractor/Employee Reliability Program (CERP) and assigned to work with chemical agent materials. The Certifying Official (CO) is required to screen the records of law enforcement agencies, court records, medical records, credit records, and human resources records of each CERP candidate. As part of the continuing evaluation, the CO will review credit history, human resources records, medical and CERP records annually, and conduct suitability determination both at initial acceptance and every five years thereafter via Department of Homeland Security background investigations.

In order to protect the candidate’s right of privacy, the results of all inquiries and records screening will be held and treated by the CO in strict confidence.

Adverse information furnished or recovered as a result of the inquiries, false information or omission of information in any of the records may jeopardize the candidate’s position with respect to employment.

Any adverse information includes, but is not limited to, felony convictions, misdemeanor convictions, alcohol abuse, the unauthorized or unlawful use or trafficking of drugs or narcotics, record of criminal involvement with civil authorities, disqualifying mental or physical condition substantiated by medical authority, offenses of record while a member of the Armed Services of the United States, or misstating, omitting, or falsifying information on an Employment Application.

In light of the above considerations, to determine my suitability for the CERP, I hereby grant the CO, and other personnel deemed appropriate by the CO in the performance of their official duty, authorization to perform the following functions:

1) Screen my medical records

2) Screen my human resources/credit records

3) Screen my drug testing records

4) Conduct (or have conducted by a qualified background investigative service) an investigation of: (a) law-enforcement agency records, (b) court records, (c) credit history and (d) any other potentially disqualifying information received during the adjudication process.

5) Review my CERP file.

By my signature below, I hereby waive, release and discharge the CDP Chemical, Ordnance, Biological, Radiological Training Facility (COBRATF) and its directors, employees, and agents, and all personnel and entities involved in conducting the CERP, from any and all liability for damages of whatever kind, which may at the time result to me, because of compliance with this authorization and request to release information or any attempt to comply with it. I also agree not to sue or make a claim against the CDP COBRATF for injury, damage, or loss of any kind sustained as a result of my participation in this authorization and request to release information or any attempt to comply with it, the use or disclosure of information obtained, or relating in any way to the CERP. I will indemnify and hold harmless the CDP COBRATF and its directors, employees, and agents from all claims, judgments, and costs including attorneys fees, incurred in connection with any such action.

Signature of Candidate (First, MI, Last) Print Full Name (First, MI, Last) Date

Signature of Witness (First, MI, Last) Print Full Name (First, MI, Last) Date portuesep Typewritten Text portuesep Typewritten Text portuesep

ATTACHMENT 2a to Appendix C Center for Domestic Preparedness Sample Initial Interview of Federal Candidate Anniston, AL 36205

(date)

MEMORANDUM FOR RECORD

FROM: (name), Certifying Official Chemical, Ordnance, Biological, Radiological Training Facility

SUBJECT: Initial Interview of Candidate for Contractor/Employee Reliability Program

I have conducted the initial interview for the Contractor/Employee Reliability Program (CERP) with (employee) and covered all required information. I have verified that the candidate is a U.S. citizen. Upon completion of the interview, I consider this employee to be a viable candidate for the CERP.

Attached is a signed Information Disclosure Statement/Release of Information Authorization.

Attachment

ATTACHMENT 2b to Appendix C Sample Initial Interview of Contractor Candidate

Company Logo/Letterhead

Chemical, Ordnance, Biological, Radiological Training Facility P.O. Box 5100 Anniston, AL 36205-5100

Re: Initial Interview of Candidate for Contractor/Employee Reliability Program

Dear Certifying Official:

I have conducted the initial interview for the Contractor/Employee Reliability Program (CERP) with (employee) and covered all required information. I have verified that the candidate is a U.S. citizen. Upon completion of the interview, I consider this employee to be a viable candidate for the CERP.

Enclosed is a signed Information Disclosure Statement/Release of Information Authorization.

If you have any questions, please contact me at (222-222-2222).

Sincerely, (name of contractor’s designated representative/project manager)

Enclosure cc:

(employee) portuesep Typewritten Text portuesep

ATTACHMENT 3a to Appendix C Center for Domestic Preparedness Sample 100% Review of Records Check for Anniston, AL 36205 PDI of Federal Candidate

ROM: (name), Certifying Official Chemical, Ordnance, Biological, Radiological Training Facility

SUBJECT: Records Check for Potentially Disqualifying Information

I have conducted a 100% review of the Personnel Records of (employee).

________ No Potentially Disqualifying Information (PDI) was found.

________ PDI was found but a determination has been made that the individual is still considered suitable.

The Employee Data Sheet is attached.

Attachment portuesep

EMPLOYEE INFORMATION FOR CERP

CDP COBRATF CERPF 009.1 Effective Date: xxxxxxxxxx Page 1 of 1

I UNDERSTAND THAT MY SIGNATURE PROVIDES CERTIFICATION THAT THE ABOVE INFORMATION IS CORRECT TO THE BEST OF MY KNOWLEDGE, AND ANY FALSE INFORMATION OR OMISSION OF INFORMATION COULD JEOPARDIZE MY EMPLOYMENT.

EMPLOYEE FULL SIGNATURE_________________________________________DATE_____________________

Project Manager/Contractor Designated Representative REVIEW ____________________________DATE___________

CO REVIEW ______________________________________________________________________DATE___________

PRIVACY ACT INFORMATION

Authority: Section 1065 of the National Defense Authorization Act for FY 00, Public Law 106- 65, 113 Stat. 512, October 5, 1999.

Principle Purpose: To provide current information on personnel to determine their suitability for the Contractor/Employee Reliability Program (CERP) and assignment to work with chemical agent materials at the Center for Domestic Preparedness (CDP).

Routine Uses: The information will only be used to determine an individual’s suitability for the CERP and assignment to work with chemical agent materials at the CDP.

Disclosure: To provide current information on personnel to determine their suitability for the Contractor/Employee Reliability Program (CERP) and assignment to work with chemical agent materials at the Center for Domestic

Name (First, MI, Last)____________________________________________SSN:_____________________________ Aliases __________________________________________________________ Home Address:

Date/Place of Birth/Sex (example - September 20, 1949/Anniston, AL/Female)

List Job Changes within last seven (7) years:

Potential Disqualifying Information (PDI) (within last seven (7) years): (Please circle appropriate response below. For each “Yes” reply, please provide additional information)

Arrest Records No Yes

a. Felonies No Yes

b. Misdemeanors No Yes

Traffic Violations No Yes

Disciplinary Actions No Yes

Counseling Statements No Yes

Performance Evaluations Acceptable Unacceptable

Drug Use No Yes Alcohol Use No Yes

Bankruptcies/Late Payments (30, 60, 90, 180 days or greater)/Any Other Delinquent Financial Responsibilities

No Yes Explanation:

Emotional/Behavioral Problems No Yes

U.S. Citizen Yes No

Attendance Issues No Yes

Any other Potentially Disqualifying Information (PDI) No Yes portuesep

ATTACHMENT 3b to Appendix C Sample 100% Review of Records Check for PDI of Contractor Candidate

P.O. Box 5100 Anniston, AL 36205-5100

Re: Records Check for Potentially Disqualifying Information

Dear Certifying Official:

I have conducted a 100% review of the Personnel Records of (employee).

_________No Potentially Disqualifying Information (PDI) was found.

_________PDI was found but a determination has been made that the individual is still considered suitable. The PDI is attached for your review.

The Employee Data Sheet is enclosed.

Enclosures

Certifying Official’s Signature: Concur________________Nonconcur_______ Remarks:_____________________________________________________________ portuesep Typewritten Text

UNCONTROLLED

EMPLOYEE INFORMATION FOR CERP

CDP COBRATF CERPF 009.1 Effective Date: xxxxxxxxxx Page 1 of 1

I UNDERSTAND THAT MY SIGNATURE PROVIDES CERTIFICATION THAT THE ABOVE INFORMATION IS CORRECT TO THE BEST OF MY KNOWLEDGE, AND ANY FALSE INFORMATION OR OMISSION OF INFORMATION COULD JEOPARDIZE MY EMPLOYMENT.

EMPLOYEE FULL SIGNATURE_________________________________________DATE_____________________

Project Manager/Contractor Designated Representative REVIEW ____________________________DATE___________

CO REVIEW ______________________________________________________________________DATE___________

PRIVACY ACT INFORMATION

Authority: Section 1065 of the National Defense Authorization Act for FY 00, Public Law 106- 65, 113 Stat. 512, October 5, 1999.

Principle Purpose: To provide current information on personnel to determine their suitability for the Contractor/Employee Reliability Program (CERP) and assignment to work with chemical agent materials at the Center for Domestic Preparedness (CDP).

Routine Uses: The information will only be used to determine an individual’s suitability for the CERP and assignment to work with chemical agent materials at the CDP.

Disclosure: To provide current information on personnel to determine their suitability for the Contractor/Employee Reliability Program (CERP) and assignment to work with chemical agent materials at the Center for Domestic

Name (First, MI, Last)____________________________________________SSN:_____________________________ Aliases __________________________________________________________ Home Address:

Date/Place of Birth/Sex (example - September 20, 1949/Anniston, AL/Female)

List Job Changes within last seven (7) years:

Potential Disqualifying Information (PDI) (within last seven (7) years): (Please circle appropriate response below. For each “Yes” reply, please provide additional information)

Arrest Records No Yes

a. Felonies No Yes

b. Misdemeanors No Yes

Traffic Violations No Yes

Disciplinary Actions No Yes

Counseling Statements No Yes

Performance Evaluations Acceptable Unacceptable

Drug Use No Yes Alcohol Use No Yes

Bankruptcies/Late Payments (30, 60, 90, 180 days or greater)/Any Other Delinquent Financial Responsibilities

No Yes Explanation:

Emotional/Behavioral Problems No Yes

U.S. Citizen Yes No

Attendance Issues No Yes

Any other Potentially Disqualifying Information (PDI) No Yes portuesep Typewritten Text portuesep Typewritten Text portuesep

ATTACHMENT 4 to Appendix C Sample Letter Forwarding Potentially Disqualifying Information Resulting from Medical Review of Candidate for CERP

P.O. Box 5100 Anniston, AL 36205-5100

Re: Medical Review of Candidate for Contractor/Employee Reliability Program

Dear Certifying Official:

I have conducted the medical examination and evaluation of (employee) for the Contractor/Employee Reliability Program (CERP). I have been provided a copy of those items considered potentially disqualifying. Based on my evaluation, the following information is provided:

Check appropriate statement(s):

______ Candidate is able to wear required Center for Domestic Preparedness, Chemical, Ordnance, Biological, Radiological (COBRA) Training Facility Chemical Protective Ensemble to include a NIOSH-certified air purifying respirator (APR) and/or positive air purifying respirator (PAPR).

______ No potentially disqualifying information was discovered as a result of the medical examination.

______ Potentially disqualifying information was discovered and is attached for your consideration.

I have informed the individual of the results of the consultation or medical examination and any medical condition that may require further examination or treatment.

(Medical Authority) cc: Appropriate Contractor (if applicable)

Certifying Official’s Signature: Concur _________________ Non-concur _______________Remarks:______________________________________________________ portuesep Typewritten Text portuesep

ATTACHMENT 5 to Appendix C Sample Letter Forwarding Potentially Disqualifying Information Resulting from Drug Screening of Candidate for CERP

Chemical, Ordnance, Biological, Radiological Training Facility P.O. Box 5100 Anniston, AL 36205-5100

Re: Drug Screen Results of Candidate for Contractor/Employee Reliability Program

Dear Certifying Official:

I have analyzed the results of the drug screening on (employee) for the Contractor/Employee Reliability Program (CERP). I have been provided a copy of those items considered potentially disqualifying. Based on the results of the drug screening, the following information is provided.

Check appropriate statement:

______ No potentially disqualifying information was discovered as a result of the drug screening.

______ Potentially disqualifying information was discovered and is attached for your consideration.

(Medical Reviewing Official) cc: Appropriate Contractor (if applicable)

Certifying Official’s Signature: Concur _________________ Non-concur _______________ Remarks:

portuesep

ATTACHMENT 6a to Appendix C Center for Domestic Preparedness Sample Letter for Local Records Check for Federal Employee Anniston, AL 36205

Sheriff’s Department (address) (city, state, zip code)

Re: Local Records Check of Candidate for Contractor/Employee Reliability Program

Dear Sir:

The Department of Homeland Security (DHS), Federal Emergency Management Agency (FEMA), Center for Domestic Preparedness (CDP), has established a Contractor/Employee Reliability Program (CERP), which requires appropriate background investigations be conducted for suitability of potential employees, both CDP and contractor, for the CERP duty positions.

In accordance with established DHS security background investigation requirements and procedures, request that a check of your agency’s records be conducted on the following individual:

Name Social Security Number Date/Place of Birth Sex (employee) (111-22-3333) (01/01/2001 / city, state) (male/female)

Attached is a signed Information Disclosure Statement/Release of Information Authorization so that you may initiate the necessary checks.

Upon completion of your record check(s), please complete, sign, and date the attached letter and return it in the enclosed self-addressed envelope.

(name)

Chemical, Ordnance, Biological, Radiological Training Facility

Enclosure portuesep

ATTACHMENT 6b to Appendix C Center for Domestic Preparedness Sample Letter for Local Records Check for Contract Employee Anniston, AL 36205

Sheriff’s Department (address) (city, state, zip code)

Re: Local Records Check of Candidate for Contractor/Employee Reliability Program

Dear Sir:

The Department of Homeland Security (DHS), Federal Emergency Management Agency (FEMA), Center for Domestic Preparedness (CDP), has established a Contractor/Employee Reliability Program (CERP), which requires appropriate background investigations be conducted for suitability of potential employees, both CDP and contractor, for the CERP duty positions.

In accordance with established DHS security background investigation requirements and procedures, request that a check of your agency’s records be conducted on the following individual:

Name Social Security Number Date/Place of Birth Sex (employee) (111-22-3333) (01/01/2001 / city, state) (male/female)

Attached is a signed Information Disclosure Statement/Release of Information Authorization so that you may initiate the necessary checks.

Upon completion of your record check(s), please complete, sign, and date the attached letter and return it in the enclosed self-addressed envelope.

portuesep

ATTACHMENT 7 to Appendix C Sample Letter from Law Enforcement Agency

Chemical Ordnance, Biological, Radiological Training Facility P.O. Box 5100 Anniston, AL 36205-5100

Re: Local Records Check of Candidate for Contractor/Employee Reliability Program

Dear Certifying Official:

The Sheriff’s Department has conducted a check of this agency’s records and those of the local courts, concerning (employee).

The statement indicated below applies to this records check:

______ No potentially disqualifying information was discovered as a result of the records check.

______ Potentially disqualifying information was discovered and is attached for your review.

(sheriff’s name) (title)

ATTACHMENT 8 to Appendix C Center for Domestic Preparedness Sample Review of Local Law Enforcement Checks Anniston, AL 36205

FROM: (name), Certifying Official Chemical, Ordnance, Biological, Radiological Training Facility

SUBJECT: Review of Local Law Enforcement Checks

I have conducted a review of the local law enforcement checks for (employee).

_________No Potentially Disqualifying Information (PDI) was found.

_________PDI was found and adjudicated with the employee.

If you have any questions, please contact me at (222-222-2222).

portuesep

ATTACHMENT 9 to Appendix C Center for Domestic Preparedness Sample Letter from…