# Presentation: 514270

## An Overview of the Human Reliability Program (HRP)

- Presented to the TRADE Security Awareness Special Interest Group Workshop and Meeting
- April 19-21, 2005

## HRP Overview

- Elements of the HRP
- New requirements
- General requirements
- Initial/annual requirements
- Insider risk
- Unusual behavior

## PSAP + PAP = HRP

## The New Program

- The Personnel Security Assurance Program, better known as PSAP, has been combined with the Personnel Assurance Program, often called PAP, to form the Human Reliability Program, HRP.

## Human Reliability

- The structure of the HRP combines all the important facets and common elements of the PAP and PSAP into a comprehensive and concise regulation.

## The PSAP

- The PSAP was established for positions that involved access to materials and information critical to national security.

**Access to materials critical to the national security**

## The PAP

- The PAP was designed for individuals who occupied positions that involved access to and hands-on work with nuclear explosives.

**Access and hands-on work with nuclear explosives**

## The HRP

- Significant similarities developed between the PSAP and the PAP.  These similarities led the DOE to combine the two  programs into the HRP.
- The HRP is designed to protect national security and worker and public safety by continuously evaluating the reliability of those who have access to sensitive materials, facilities, and programs.

**National**** ****security**
**Worker and public safety**

## Continuous Evaluation

- The evaluations identify individuals whose judgment or reliability may be impaired.  This impairment may be in the form of:
- Physical or emotional disorders.
- The use of illegal drugs.
- The abuse of legal drugs, alcohol, or other substances.
- Any other condition that may represent a safety or security reliability concern.

- Physical or mental disorders
- Use of illegal drugs
- Abuse of legal drugs and other substances
- Abuse of alcohol
- Other conditions that may present reliability concerns about
- —Safety
- —Security

## Elements of the HRP

- HRP program elements include:

**Review by the participant’s supervisor**

**Medical assessment + psychological evaluation**

**Review by****DOE****personnel security**

## Differences

- The HRP incorporates more stringent medical assessments and instructional requirements for employees who were formerly in PSAP positions.
- Some requirements are new to both PSAP and PAP employees.

## New Requirement

- Random, unannounced alcohol testing for all HRP-certified individuals at least once in every twelve-month period

## Alcohol Use

- Misuse or abuse of alcohol is a risk to the kind of work performed in HRP positions.
- The HRP requirements are based on regulations already in place at other federal agencies that oversee sensitive activities.

## Alcohol Testing

- HRP candidates are given an initial alcohol test before performing HRP duties.
- Random, unannounced alcohol tests are conducted at least once every 12 months for recertification.
- HRP-certified individuals are also tested if involved in an occurrence, an unsafe practice, or if there is reasonable suspicion that they are impaired.

## Consequences

- There is alcohol-related impairment at levels as low as 0.02 percent.
- Individuals will be sent home and not allowed to perform HRP duties for 24 hours if a confirmatory test reveals an alcohol concentration of 0.02 percent or above.
- The HRP management official will be notified.

## Eight-Hour Abstinence Rule

- Workers in certain HRP positions must abstain from alcohol for at least 8 hours before reporting for work.
- This rule was part of the former PAP program. It is being retained in the HRP for former PAP employees and also will apply to other specifically designated positions.

## New Requirement

- Annual submission of theQuestionnaire for NationalSecurity Positions (QNSP), Part 2—
- This requirement helps ensure the reliability and trustworthiness of HRP participants.
- Previously required for PSAP positions, but now it is required for all HRP-certified individuals.

## New Requirement

- Psychological evaluations—
- This requirement was in effect for individuals in PAP positions, but is now a requirement for all HRP-certified individuals.
- The psychological evaluation is part of the overall medical assessment.

## Psychological Evaluations

- Initially, a semi-structured interview and a psychological test are performed.
- Recertification requires a semi-structured interview every twelve months and a test every three years.
- The evaluation assesses whether an individual shows at-risk behavior and identifies conditions that raise a security concern or impact the person’s ability to perform HRP duties safely and reliably.

## Counterintelligence Evaluation

- Both the PSAP and PAP required counterintelligence polygraph examinations.

## General HRP Requirements

- DOE “Q” access authorization
- Completion of HRP instruction initially and annually thereafter
- No use of a hallucinogen or flashback from a hallucinogen in the past five years
- Signed releases, acknowledgments, and waivers on forms provided by DOE
- Successful completion of a counterintelligence evaluation

## Initial/Annual Requirements

- Submission of QNSP, Part 2
- Drug and alcohol tests for initial certification; for recertification, random, unannounced tests at least once every 12 months
- Assessments—
- Supervisory review
- Medical assessment (including a psychological evaluation)
- Management evaluation
- DOE personnel security review

## Supervisory Review

- Every 12 months the supervisor evaluates suitability to perform HRP tasks in a safe, reliable manner.

## Concerns for Supervisors

- Psychological or physical disorders that impair performance of assigned duties
- Conduct that warrants referral for a criminal investigation or results in arrest or conviction
- Indications of deceitful or delinquent behavior

- Use of illegal drugs; abuse of alcohol, legal drugs, or other substances
- Alcohol use disorders
- Attempted or threatened destruction of property or life
- Suicidal tendencies or attempted suicide

## Concerns (cont.)

- Recurring financial irresponsibility
- Irresponsibility performing assigned duties
- Inability to deal with stress; the appearance of being under unusual stress
- Significant behavioral changes, moodiness, depression

- Failure to comply with work directives, hostility or aggression toward coworkers or authority, uncontrolled anger, violation of safety or security procedures, or repeated absenteeism

## Medical Assessment

- Concerns—
- Physical or medical disabilities
- Mental/personality disorders
- Substance abuse
- Threats of suicide, homicide, or physical harm
- Medical conditions or prescription drug use that may inhibit safe, reliable work performance

## Psychological Evaluation

- Performed on HRP-certified individuals and HRP candidates
- Semi-structured interview and psychological assessment (test) initially
- Psychological evaluation every 12 months as part of the recertification medical assessment
- Assessment every three years

## Management Evaluation

- Includes a careful evaluation of the results of supervisory review, medical assessment, and drug and alcohol tests
- Results in a recommendation regarding certification or recertification

## DOE Personnel Security

- Reviews personnel security file after receiving the supervisory review, medical assessment, and management evaluation and recommendation

## Initial and Annual Instruction

**Objectives****of the HRP**

**Roles and responsibilities of HRP-certified individuals**

**Recognizing and responding to unusual behavior**

**Nuclear explosives personnel—explanation of duties and safety requirements**

**Medical personnel—explanation of HRP duties**

## Employee Responsibilities

- Provide signed releases, acknowledgments, and waivers
- Answer questions truthfully and fully
- Notify the Designated Physician, Designated Psychologist, or the SOMD of a physical or mental condition that requires medicine or treatment
- Report any behavior or condition that may affect his or her ability to perform HRP duties
- Report unusual behavior of other HRP-certified individuals that could indicate a reliability concern

## Due Process

- Participation in the HRP is subject to immediate review if an individual exhibits any behavior that indicates a reliability or security risk.
- The individual will be removed from HRP duties as an interim, precautionary action.
- This removal is not a final determination. The HRP establishes formal procedures for dealing with both safety and security concerns.

## Security and Safety Concerns

- Security concerns are resolved under the criteria and procedures found in10 CFR Part 710, Subpart A.
- Safety concerns are addressed in the HRP rule at 10 CFR §712.19 through §712.23.

- Security concerns
- 10 CFR Part 710, Subpart A
- ———
- Safety concerns
- 10 CFR §712.19 through§712.23

## Insider Risk

- The HRP establishes a system of evaluation that can identify security risks posed by HRP individuals.

## What is an Insider Risk?

- An insider is one who has knowledge of operations or safeguards systems characteristics. Reliability and safety can be compromised by—
- Illegal drug use
- Alcohol use disorders
- Financial problems
- Mental/personality disorders

## Unusual Behavior

- Conduct or speech that is inappropriate in the workplace or out of character can be caused by—
- Alcohol or other substance abuse.
- Medical conditions that impair judgment or reliability.
- Mental/personality disorders.
- Stress.

## Reporting Unusual Behavior

***Immediate action***
- 	**Notify security, a supervisor, or a manager at once if you observe a coworker—**
- Removing classified material.
- Brandishing a weapon.
- Making specific threats of violence or harm.
- Under the influence of alcohol or drugs.
- Performing other acts that threaten security or are imminently dangerous.

## Reporting Unusual Behavior

- Unusual behavior that is not immediately threatening should be observed and documented.
- Unusual behavior includes:
- Behavior out of character for the individual.
- Changes in lifestyle or affluence.
- Describe the basis for concern—include the worker’s day-to-day behavior and how it has changed.

## Self Reporting

- HRP-certified individuals must notify the Designated Physician, Designated Psychologist, or SOMD immediately if they—
- Have a physical or mental condition that requires medication or treatment.
- Experience stressful, psychologically impairing, or distressing events that diminish their ability to work safely and reliably.

## The HRP Evaluation Process

- Identifies individuals whose judgment and reliability may be impaired
- Ensures that HRP-certified individuals—
- Meet the highest standards of reliabilityand trust
- Are physically and mentally fit for their duties

## The DOE HRP

- The HRP is part of DOE’s continuing commitment to ensuring the security and safety of facilities, materials, and programs.

## HRP Orientation Materials

## Training Resources

- Brochures
- Computer-based instruction
- DVD titled “Your HRP Responsibilities”
- Documents
- PowerPoint presentations

## Brochures

- Introduction to the Human Reliability Program (HRP)
- The need for an HRP
- Requirements for HRP certification
- Consolidating the PSAP and PAP
- HRP certification
- Due process

**Introduction to the**
- HUMANRELIABILITYPROGRAM(HRP)

- The U.S. Department of Energy (DOE) recently consolidated two human reliability programs, the Personnel Assurance Program (PAP) and the Personnel Security Assurance Program (PSAP) into the Human Reliability Program (HRP). The HRP incorporates elements of each and establishes a single unified management structure.  The HRP protects the national security through a system of continuous evaluation to identify individuals who may present a reliability, safety, or security concern.

## Brochures

- Human Reliability Program
- The need for an HRP
- How it works
- Who needs to be HRP certified
- Certification requirements
- Employee responsibilities
- Due process

*The manufacture, storage, transport, deployment, and maintenance of special nuclear materials (SNM) represent an important responsibility that the U.S. Department of Energy (DOE) takes very seriously. To ensure that this responsibility is met, DOE has established the Human Reliability Program (HRP).*
*The HRP’s unified management structure protects the national security through a system of continuous evaluation and ensures the reliability of individuals who occupy positions offering access to certain materials, nuclear explosives devices, facilities, and programs.*

** ****HUMAN RELIABILITY PROGRAM**

- U. S. Department of Energy
- Office of Security
- Washington, DC 20585

## Brochures

- Introduces PAP and PSAP participants to the changes they will experience under the HRP

## Brochures

- Answers to frequently asked questions on the new HRP

- HUMAN RELIABILITY PROGRAM(HRP)
- Frequently Asked Questions
- FAQs

## Brochures

- Addressing Safety and Security Concerns Under the HRP
- Imminent risk
- Reporting safety concerns
- Reporting security concerns
- Is it a safety or security concern?

- Addressing safety and security concerns
- under theHuman Reliability Program(HRP)

## Computer-Based Instruction

## HRP DVD

- An HRP orientation DVD that can be adapted to specific facilities

## Tools for the HRP Supervisor

- Explains responsibilities of HRP supervisor
- Duties
- Supervisory review
- HRP certification process

## Orientation for Employees

- Outlines the HRP and explains its importance in the workplace, the certification process, employee responsibilities, differences from the former programs, and new elements

## Orientation for Supervisors

- Contains all the information in the Orientation for Employees and additionally explains supervisors’ duties under the HRP

## Implementation Plan

- A guide to developing a site-specific implementation plan for the HRP

## Detection of Unusual Behavior in the Workplace

- A participant manual and a leader manual to assist facilities in implementing the HRP requirement for identifying and reporting behavior that could indicate reliability concerns