DOE-STD-1146-2026, General Technical Base Qualification Standard

NOT MEASUREMENT SENSITIVE DOE STANDARD DOE-STD-1146-2026 January 2026 GENERAL TECHNICAL BASE (GTB) QUALIFICATION STANDARD DOE Defense Nuclear Facilities Technical Personnel U.S. Department of Energy AREA TRNG Washington, D.C. 20585 DISTRIBUTION STATEMENT A: Approved for public release; distribution is unlimited. DOE-STD-1146-2026 ii This document is available on the Department of Energy National Training Center’s Federal Technical Capabilities SharePoint site at https://ntcdoe.sharepoint.com/sites/TQP/SitePages/ Home.aspx https://ntcdoe.sharepoint.com/sites/TQP/SitePages/%20Home.aspx DOE-STD-1146-2026 iii APPROVAL The Federal Technical Capabilities Panel is responsible for reviewing and approving Qualification Standards (QS) for Department-wide application. Approval of this QS from the Federal Technical Capabilities Panel is indicated by the signature below. Digitally signed by RICHARD DENNING Date: 2026.02.11 15:16:50 -07'00' Richard Denning, Vice-Chair Date Federal Technical Capabilities Panel RICHARD DENNING DOE-STD-1146-2026 iv TABLE OF CONTENTS APPROVAL ................................................................................................................................. iii ACKNOWLEDGMENTS ............................................................................................................... v ACRONYM LIST ......................................................................................................................... vi GENERAL TECHNICAL BASE QUALIFICATION STANDARD ................................................... 7 GENERAL TECHNICAL BASE QUALIFICATION STANDARD: PART A .................................... 10 GENERAL TECHNICAL BASE QUALIFICATION STANDARD: PART B .................................... 16 APPENDIX A .............................................................................................................................. 20 APPENDIX B .............................................................................................................................. 21 DOE-STD-1146-2026 v ACKNOWLEDGMENTS The Department of Energy (DOE) Office of Enterprise Assessments, National Training Center (EA-50), FTC Support Office facilitated the development of this General Technical Base Qualification Standard. The following professionals participated in the development of this Qualification Standard: Name: Office: Joanna Serra Agent Champion, Office of Science April Brown DOE HQ Brian Harcek EM-LA Caroline Garzon EHSS Jeanette Yarrington DOE HQ James Hutton DOE HQ Mariaelizabeth “Lisa” Pansoy-Hjelvik EM DOE Michele Billett WIPP Ruel Hicks DOE HQ Tom Carver DOE HQ Zjael Millard EM-LA Timothy Henderson EA-50, NTC Johnnie Nevarez EA-50, NTC William Wechsler EA-50, NTC Jon Champion EA-50, NTC DOE-STD-1146-2026 vi ACRONYM LIST Acronym Full Term ALARA as-low-as- reasonably-achievable CAA Clean Air Act CAS Contractor Assurance System CERCLA Comprehensive Environmental Response, Compensation, and Liability Act - Superfund Act ConOps Conduct of Operations COOP Continuity of Operations Plan CWA Clean Water Act DNFSB Defense Nuclear Facilities Safety Board DSA Documented Safety Analysis EAP Emergency Action Plan EPCRA Emergency Planning and Community Right-To-Know Act EPHA Emergency Planning Hazard Assessment FEM Field Element Manager FFCA Federal Facilities Compliance Act FOO Formality of Operations FTCP Federal Technical Capabilities Panel

HPI Human Performance Improvement ISM Integrated Safety Management JTA Job Task Analysis MPA Mandatory Performance Activity NEPA National Environmental Policy Act NPDES National Pollution Discharge Elimination System ODFSA Officially Designated Federal Security Authority PMO Project Management Officer PPA Pollution Prevention Act of 1990 QO Qualification Official QS Qualification Standard RCRA Resource Conservation and Recovery Act S&S Safeguards & Security SARA Superfund Amendment Reauthorization Act SBA Safety Basis Authority SCWE Safety Culture Work Environment SDWA Safe Drinking Water Act SER Safety Evaluation Report SWDA Solid Waste Disposal Act TQP Technical Qualification Program TSCA Toxic Substance Control Act TSR Technical Safety Requirements USI Unreviewed Safety Issue USQ Unreviewed Safety Questions DOE-STD-1146-2026 7 U.S. DEPARTMENT OF ENERGY GENERAL TECHNICAL BASE QUALIFICATION STANDARD PURPOSE Qualification standards (QS) establish common performance competencies in key nuclear facility functional areas for personnel in the Department of Energy (DOE) Technical Qualification Program (TQP). This QS establishes a common set of performance competencies to ensure designated personnel have the technical competence to perform oversight duties and responsibilities for the Department of Energy. APPLICABILITY The DOE Order (O) 426.1, Federal Technical Capabilities, requires development of QS in specific areas to assist DOE Program and Field Offices with implementation of their organization specific TQP. The GTB QS establishes common technical competencies for all DOE personnel who provide assistance, direction, guidance, oversight, or evaluation of contractor technical activities that could impact the safe operation of DOE’s defense nuclear facilities. GTB has been developed as a tool to assist DOE Program and Field Offices in the development and implementation of the TQP in their organization. It is intended to provide a common knowledge base for further functional area qualifications. For ease of transportability of qualifications between DOE elements, Program and Field Offices must use this qualification standard without modification or addition to technical competency statements and supporting knowledge requirements. Although the focus of this standard is technical competence, good communication, recognized credibility, ability to listen and process information, and the ability to guide an effort to get it right the first time are recognized as important competencies impacting safety. Satisfactory and documented attainment of the performance competencies in this QS ensures personnel possess the minimum requisite knowledge and skills to perform oversight duties and tasks common to the DOE Enterprise. IMPLEMENTATION This QS, derived from a General Technical Base Job Task Analysis (JTA), is comprised of performance competencies based on task performance. Each performance competency DOE-STD-1146-2026 8 includes knowledge requirements and mandatory performance activities (MPA) that need to be completed to demonstrate that the performance competency is met. Evaluation guides provide the expected level of knowledge that personnel assigned to this QS must obtain for each related knowledge requirement, and for designated qualifying officials (QO) who are responsible for verifying the attainment of these knowledge requirements. The evaluation guides for this QS are available through the NTC TQP support site at: https://ntc.doe.gov/sites/tqp/tqpportal/SitePages/Home.aspx.

The performance competencies in this QS include unique DOE knowledge requirements that the participant must obtain and then apply to specific job tasks identified as mandatory performance activities (MPAs) in this QS. The overall objective of the MPAs is to determine whether the Participant can apply the related knowledge to satisfactorily perform the associated job task. This QS is comprised of required common oversight knowledge competencies. For initial qualification, all Federal oversight personnel assigned this QS must demonstrate attainment of the knowledge in the “Required Performance Competencies” section. Supervisors should follow the requirements in DOE Order 426.1 to determine if the participant may be assigned any other applicable technical qualification standards. The MPAs listed in this QS must be satisfactorily performed only once. If, during a performance of the MPA, any of the evaluation criteria are not satisfactorily met, the designated QO may require the participant to perform the MPA again. In these cases, satisfactory completion of the MPA only needs to be documented once. Some of the MPAs in this QS may already be included in organization-specific qualification standards. In these cases, the designated QO needs to verify the documentation prepared by the participant then document the accommodation (as a part of this QS or during completion of the organization specific qualification standard). Participants should perform the MPAs listed in the QS in their normal work environment, such as in assigned facilities or areas where the associated mission work is being accomplished. Supervisors may use other options to facilitate completion of the MPA requirements in cases where participants cannot perform the MPAs exactly as written in their normal work environment within the required qualification timeframe. This could include performance of the MPA in a simulated environment or making minor accommodations to the MPA or MPA evaluation criteria to fit local conditions and limitations as agreed upon by the QO. The reason for any accommodation for the MPA must be documented by the designated qualification official with approval of the supervisor and local Federal Technical Capabilities Panel (FTCP) agent. EVALUATION CRITERIA Attainment of the performance competency knowledge requirements and MPAs listed in this QS must be documented per the TQP plan (or the policy of the specific organization qualifying the individual) and the requirements in DOE O 426.1, Department of Energy Federal Technical Capabilities. https://ntc.doe.gov/sites/tqp/tqpportal/SitePages/Home.aspx DOE-STD-1146-2026 9 Each performance competency includes knowledge requirements or MPAs that need to be completed in order to demonstrate that the performance competency has been met. A designated QO must verify successful completion of the MPAs in this QS. The QO must also verify that the evaluation criteria, including any organization specific requirements, were satisfactorily met during observation of the MPA and/or review of the results of the MPA. Satisfactory attainment of the performance competency knowledge requirements and MPAs contained in this QS must be documented using the General Technical Base QS qualification card in the electronic Technical Qualification Program (eTQP) at https://etqp.ntc.doe.gov.

After verification of attainment of all the performance competency knowledge requirements and the MPAs in this QS, the Participant must satisfactorily complete the final qualification activity requirements identified in DOE O 426.1 and any other applicable organization-specific requirements before being designated as a Qualified position. INITIAL QUALIFICATION AND CONTINUING TRAINING Appendix A, Initial Qualification Training Recommendations, includes a list of NTC and other training courses that support attainment of the required performance competencies for GTB participants. Appendix B, Continuing Training Recommendations, states that oversight personnel must participate in a continuing training and qualification program. DUTIES AND RESPONSIBILITIES There are no specific duties or responsibilities associated with the GTB QS. BACKGROUND AND EXPERIENCE There are no specific background or experience recommendations associated with the GTB QS. REQUIRED PERFORMANCE COMPETENCIES Each performance competency defines the expected level of knowledge and performance an individual must attain to meet the intent of this standard. Each performance competency is further described by knowledge requirements and, if necessary, MPAs that describe the task(s) that must be demonstrated to meet the intent of the related performance competency. Note 1: When regulations, DOE directives, or other industry standards are referenced in this QS, the most recent revision should be used. However, General Technical Base QS participants and QOs should also refer to the versions of requirements included in the local contract during the attainment and verification of related knowledge requirements. Any applicable knowledge requirements in predecessor documents that are not included in this QS should be included in the organization-specific QS or continuing training program. https://etqp.ntc.doe.gov/ DOE-STD-1146-2026 10 Note 2: If specific evaluation criteria are not identified for any of the MPAs in this QS, the following generic evaluation criteria should be used together with any local expectations to verify acceptable completion of the particular MPA. Generic MPA Evaluation Criteria: • Identify expectations (i.e., criteria) for the specific activity. • Compare results to expectations (criteria) and document conclusions. • Document the basis for any identified issues or recommendations. • Discuss, if applicable, how you would communicate results to appropriate Federal and/or contractor personnel. PERFORMANCE COMPETENCIES GENERAL TECHNICAL BASE QUALIFICATION STANDARD: PART A DOE Work Environment 1. Personnel shall demonstrate understanding of DOE’s systematic approach to protecting the workers, public, and the environment while achieving mission requirements. Knowledge Requirements: A. Describe the Department’s approach to implementing Integrated Safety Management (ISM) including the following: 1. Discuss the following documents, which support implementation of ISM: a. DOE P 450.4, Integrated Safety Management Policy b. DOE O 450.2, Integrated Safety Management c. DOE G 450.4, Integrated Safety Management System Guide 2. Discuss the five core safety management functions in the ISM Policy and how they provide the necessary structure for work activities, including prioritizing safety. 3. Discuss the relationship of DEAR clause 970.5223-1, Integration of Environment, Safety and Health into Work Planning and Execution, to the ISM process.

B. Discuss the purpose and key elements of the Seven Guiding Principles in DOE P 450.4. C. Discuss DOE O 450.2, Integrated Safety Management, Appendix A, “Delegations of Authority to Perform Safety Management Functions.” D. Describe how to apply key attributes that help foster a healthy and safe work environment from DOE G 450.4-1C, Attachment 10, “Safety Culture Focus Areas and Associated Attributes.” E. Describe the purpose and applicability of stop work, including the authorities and impact of stop work listed in DOE G 440.1, Worker Protection Program for DOE (Including the National Nuclear Security Administration) Federal Employees Guide, section 4.2.3. DOE-STD-1146-2026 11 F. Define Human Performance Improvement (HPI) and its integration with ISM outlined in Chapter 1 of DOE-HDBK-1028-2009, Human Performance Improvement Handbook, Volume 1. G. Discuss DOE G 450.4, Attachment 7, and the key elements associated with an ISM description document. H. Discuss the risk-informed decision-making process mentioned in DOE G 450.4-1C, Attachment 10, Safety Culture Focus Areas and Associated Attributes. I. Describe the purpose, scope, and importance of the Department’s Employee Concerns and Differing Professional Opinion Programs. J. Describe how to utilize DOE O 210.2, DOE Corporate Operating Experience Program. Conduct of Operations 2. Personnel shall demonstrate knowledge of DOE O 422.1, Conduct of Operations. Knowledge Requirements: A. Discuss the purpose and applicability of DOE O 422.1, Conduct of Operations. B. Discuss the implementation matrix development process, the signature authority, and identify which elements relate to your subject matter expertise. C. Describe the program requirements for 3 of the 18 elements as outlined in DOE O 422.1 (Attachment 2, Section 2). Quality Assurance 3. Personnel shall demonstrate knowledge of quality assurance principles and practices. Knowledge Requirements: A. Discuss the purpose, scope, and applicability of 10 CFR 830, Subpart A, Quality Assurance Requirements. B. Discuss the purpose, scope, and applicability of DOE O 414.1, Quality Assurance. C. Discuss the requirements of DOE O 414.1, including Federal responsibilities for review, approval, and oversight of Federal and contractor quality assurance programs. D. Discuss the content and objectives in DOE O 414.1, Attachment 2, Part A, Quality Assurance Criteria. E. Discuss the purpose and requirements of DOE O 414.1, Attachment 2, Part B, Suspect/Counterfeit Items (S/CI) Prevention. DOE-STD-1146-2026 12 F. Discuss the purpose and requirements of DOE O 414.1, Attachment 4, Part C, Software Quality Assurance. Oversight 4. Personnel shall demonstrate understanding of DOE P 226.2, Policy for Federal Oversight and Contractor Assurance Systems, and DOE O 226.1, Implementation of Department of Energy Oversight Policy. Knowledge Requirements: A. Discuss the purpose and applicability of DOE O 226.1, Implementation of Department of Energy Oversight Policy and DOE P 226.2, Policy for Federal Oversight and Contractor Assurance Systems. B. Discuss why DOE performs oversight and the intended outcomes and goals of DOE P 226.2. C. Describe the relationships and operating principles between DOE line management, DOE contractors, and DOE contractor parent organizations outlined in DOE P 226.2. D. Discuss the purpose and scope of the Defense Nuclear Facilities Safety Board (DNFSB) and engagement with DOE according to DOE O 140.1, Interface with the Defense

Nuclear Facilities Safety Board. E. Discuss the purpose and applicability of DOE O 227.1, Independent Oversight Program. Emergency Management & Response 5. Personnel shall demonstrate knowledge of DOE's emergency management and response principles. Knowledge Requirements: A. Discuss the purpose, scope, and applicability of the continuity of operations program (COOP). B. Discuss the purpose, scope, and applicability of DOE O 151.1, Comprehensive Emergency Management System. C. Define an operational emergency and the three classification levels. Safeguards & Security Program 6. Personnel shall demonstrate knowledge of DOE's Safeguards and Security Programs based on DOE P 470.1, Safeguards and Security Program. Knowledge Requirements: A. Discuss the purpose and applicability of DOE O 470.4, Safeguards and Security Program and DOE O 470.1, Safeguards and Security Program Operations Management. B. Discuss the purpose of the Safeguards & Securities (S&S) Programs (as applicable to the mission). DOE-STD-1146-2026 13 C. Discuss the basic role and responsibilities of the Officially Designated Federal Security Authority (ODFSA) outlined in the ODFSA Desk Reference. Safety Basis Requirements & Documentation 7. Personnel shall demonstrate knowledge of the Safety Basis development and implementation process. Knowledge Requirements: A. Discuss the scope of 10 CFR 830, Nuclear Safety Management, Subpart B, “Safety Basis Requirements.” B. Describe the contractor’s responsibility in the process to establish and maintain a Safety Basis as described within 10 CFR 830.202, Safety Basis. C. Describe the key elements that a Documented Safety Analysis (DSA) must address as described in 10 CFR 830.204.(b), Documented Safety Analysis. D. Describe the methodologies that the contractors may use in developing a DSA as described in 10 CFR 830, Appendix A, Section F, “Documented Safety Analysis,” Table 1. E. Describe the unreviewed safety question (USQ) process and the four situations that would trigger a USQ as outlined in 10 CFR 830.203, Unreviewed safety questions process. F. Discuss how the USQ process can be used for change, and the expectations for using DOE G 424.1-1B as described in 10 CFR 830, Appendix A, Section H, “USQs.” G. Describe the relationship between Integrated Safety Management and 10 CFR 830, Subpart B, as described in 10 CFR 830, Appendix H, “Integrated Safety Management.” H. Discuss enforcement of DOE nuclear safety requirements as stated in 10 CFR 830.5, Enforcement, and 10 CFR 830, Appendix A, Section H, “Enforcement of Safety Basis Requirements.” I. Describe the hazard controls that are used to eliminate, limit, or mitigate hazards to workers, the public, or the environment as described in 10 CFR 830, Appendix A, Section G, “Hazards Controls.” J. Discuss the definition of technical safety requirements (TSRs) as defined within 10 CFR 830.3, Definitions, and Section 205, “TSRs.” K. Using 10 CFR 830, Appendix A, Section G, “Hazards Control,” Table 3, describe each of the TSR sections and the expected contents. L. Define the DSA requirements and process used for developing a DSA for a new nuclear facility or a major modification as described within 10 CFR 830.206, Preliminary documented safety analysis and Appendix F, “Documented Safety Analysis.” DOE-STD-1146-2026 14 M. Discuss the purpose, scope, and applicability of DOE-STD-1104-2016, Review and Approval of Nuclear Facility Safety Basis and Safety Design Basis Documents.

Radiation Protection 8. Personnel shall demonstrate knowledge of radiation protection (nuclear fundamentals). Knowledge Requirements: A. Discuss the purpose and general requirements of 10 CFR 835, Occupational Radiation Protection, including the following: 1. Discuss the concept of as-low-as-reasonably-achievable (ALARA) as it applies to occupational radiation exposures and describe the basic methods for achieving ALARA. 2. Discuss the four types of ionizing and non-ionizing radiation. a. Alpha b. Beta c. Gamma d. X-ray 3. Discuss nuclear fundamentals terminology: a. Decay b. Half-life c. Fission 4. Discuss units of measurement for radiation. 5. Discuss the difference between radiation and contamination. 6. Discuss administrative control levels and occupational dose limits. 7. Discuss exposure pathways and the biological effects of different radiation levels (external and internal hazards). 8. Discuss the use of the following: a. Radiological postings, labeling, and boundaries b. Entry/exit of radiological areas including the use of radiological work permits (RWPs) B. Discuss the purpose, scope, and applicability of DOE O 458.1, Radiation Protection of Public and the Environment. 1. Discuss public dose limits. 2. Discuss the concept of as-low-as-reasonably-achievable (ALARA) as it applies to radiation exposures to the public and the environment. 3. Discuss the differences between real and personal property and the required dose constraints for each. 4. Discuss authorized limits and identify DOE approval requirements. C. Discuss the difference between criticality and a criticality accident. DOE-STD-1146-2026 15 Environmental Protection 9. Personnel shall demonstrate knowledge of environmental protection requirements. Knowledge Requirements: A. Discuss the purpose, scope, and applicability of the following Federal environmental regulations and laws that DOE must follow: 1. National Environmental Policy Act (NEPA) 2. Resource Conservation and Recovery Act (RCRA) 3. Clean Air Act (CAA) 4. Safe Drinking Water Act (SDWA) 5. Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA) B. Discuss the potential personal and organizational liability associated with environmental laws. C. Discuss the purpose, scope, and application of the Federal Facility Compliance Act. D. Discuss the purpose, scope, and applicability of DOE O 435.1, Radioactive Waste Management. E. Discuss the various types of waste associated with DOE: 1. Low-level radioactive waste (LLW) 2. Hazardous waste (Haz Waste) 3. Transuranic waste (TRU waste) 4. High-level waste (HLW) 5. Mixed waste (Mixed) 6. Solid waste (nonhazardous, nonradioactive) Worker Safety and Health Management 10. Personnel shall demonstrate knowledge of Worker Safety Management requirements. Knowledge Requirements: A. Discuss the purpose, scope, and applicability of the following: 1. 10 CFR 851, Worker Safety and Health Program, including Appendix A. 2. 10 CFR 850, Chronic Beryllium Disease Prevention Program. 3. DOE O 440.1, Worker Protection Program for DOE (Including the National Nuclear Security Administration) Federal Employees, including expectations for a site’s specific FEOSH plan. 4. 29 CFR 1926, Safety and Health Regulations for Construction. 5. 29 CFR 1960, Basic Program Elements for Federal Employee Occupational Safety and Health and Related Matters. 6. Describe DOE’s responsibilities with respect to the Occupational Safety and Health

Act, including OSHA's jurisdiction as listed in 29 CFR 1910, Occupational Safety and Health Standards. B. Discuss the need to conduct a job hazard analysis (or equivalent) prior to conducting activity level work as referenced in DOE O 440.1, Worker Protection Program for DOE (Including the National Nuclear Security Administration) Federal Employees. DOE-STD-1146-2026 16 Mandatory Performance Activity (MPA) GENERAL TECHNICAL BASE QUALIFICATION STANDARD: PART B Contract Fundamentals 1. The participant shall demonstrate an understanding of contract fundamentals, structure, and authorities as related to oversight. Knowledge Requirements: A. Describe the different contract sections, including scope of work, clauses, and requirements relevant to the GTB participant’s work scope. B. Describe how DOE requirements (or other applicable regulatory requirements) flow down into contractor implementing documents. C. Discuss the stop work authority and process related to your role. D. Describe the differences in the contracting officer’s (CO’s) role, the contracting officer representative’s (COR’s) role, and the role of DOE oversight personnel managing the contract, including providing directions to the contractor. E. Discuss local site processes or interactions (feedback, input, questions, and other communication) with the CO/COR. F. Describe the DOE document hierarchy from law to Federal and local requirements. G. Describe the difference between exemption and equivalency as defined in DOE O 251.1, Departmental Directives Program. MPA 1.1: Utilizing a specific site contract with DOE, identify the different sections relevant to your functional area (e.g., FR, NSS, SSO, HQ, etc.) and write up (in an email or brief essay) how they impact your role in Federal oversight. Oversight Activities and Approach 2. DOE oversight personnel shall conduct oversight activities and use methods and techniques to evaluate contractor performance. Knowledge Requirements: A. Define baseline, supplemental, and reactive oversight. B. Identify the drivers and sources that contain requirements for identifying oversight activities. C. Describe the local process used to determine the level and mix of oversight activities. DOE-STD-1146-2026 17 Mandatory Performance Activity (MPA) D. Describe the purpose and scope of an oversight plan. E. Describe the types, purposes, and scopes of oversight activities. F. Describe the purpose and relationship of criteria and review approach documents (CRADs) and relationship of performance objectives, performance criteria, and lines of inquiry used in conducting oversight activities. G. Describe the issue levels and how categorization is performed according to your local procedure(s). H. Describe the applicable local protocols for formally and informally communicating oversight results. I. Explain your approach to resolving a disagreement or difference of opinion with the contractor (for example, they do not agree with your decision/evaluation on a contractor issue). J. Discuss the different techniques for successful, effective communication with contractors. K. Using scenarios provided by the QO and/or in evaluation guide, describe several approaches to interacting and sharing oversight information with the contractor, both face-to-face and in writing (electronically). Discuss the pros and cons of each approach. NOTE: Participants may use the scenarios provided in the evaluation guide, Appendix A.

L. Discuss the value of oversight in-the-field to verify performance. M. Discuss the value of a questioning attitude and how to allow differing opinions to be heard. N. Describe the impact oversight could have on performance and the tools available to minimize negative impacts. MPA 2.1: Develop or tailor an applicable oversight plan/schedule. Identify oversight activities at the appropriate level and mix and incorporate results into the applicable oversight plan/schedule. MPA 2.2: Perform one operational awareness activity. A. Identify focus area(s) for the operational awareness. B. Conduct oversight activities using appropriate techniques and determine whether evaluation criteria are met. C. Properly categorize oversight activity results (e.g. noteworthy practices, discrepancies, findings, opportunities for improvement) based on approved organizational definitions. D. Document oversight activity results using applicable process. DOE-STD-1146-2026 18 Mandatory Performance Activity (MPA) MPA 2.3: Participate in an assessment. A. Develop or tailor existing evaluation criteria to define the depth and breadth of assigned oversight activities. B. Conduct oversight activities using appropriate techniques and determine whether evaluation criteria are met. C. Properly categorize oversight activity results (e.g. noteworthy practices, discrepancies, findings, opportunities for improvement) based on approved organizational definitions. D. Document oversight activity results using applicable process. Contractor Assurance System 3. DOE oversight personnel shall evaluate the effectiveness of the contractor assurance system (CAS) relevant to their functional oversight role. Knowledge Requirements: A. Discuss the purpose of a CAS. B. Discuss elements of CAS and how the elements inform decision-making to improve mission performance. C. Describe contractor-performed oversight activities. D. Discuss how DOE’s confidence in the CAS may impact Federal oversight activities. E. Discuss when an effectiveness review is required, and how to review the contractor’s corrective action effectiveness criteria. MPA 3.1: Evaluate the adequacy (rigor and value) of a contractor self- assessment. Use the local process to document the adequacy of issue closure. MPA 3.2: Evaluate the adequacy of a contractor corrective action plan. A. Determine if the contractor’s issue significance determination meets established criteria. B. Determine whether the contractor’s causal analysis was performed using an appropriate technique(s) and resulted in suitable causal factor identification. C. Determine whether the contractor’s corrective action plan includes appropriate corrective actions to address the causes identified by the causal analysis. D. Document corrective action plan evaluation results, as appropriate. MPA 3.3: Evaluate the contractor’s corrective action closure documentation. Use the local process to document the adequacy of issue closure. DOE-STD-1146-2026 19 Mandatory Performance Activity (MPA) Contractor Performance Review 4. DOE oversight personnel shall evaluate and provide feedback on the contractor’s periodic performance review. Knowledge Requirements: A. Describe the purpose of the contractor performance evaluation process. B. Describe the local processes for evaluating contractor performance, such as contractor performance assessment reporting system (CPARS) or performance evaluation management program (PEMP).

MPA 4.1: Evaluate and provide documented input on a contractor’s periodic performance review. DOE-STD-1146-2026 20 APPENDIX A INITIAL QUALIFICATION TRAINING RECOMMENDATIONS Technical education and/or training may include courses/training provided by the Department of Energy, other government agencies, outside vendors, or local educational institutions. Training topics should also address identified weaknesses in the knowledge and/or skills of the individual personnel and current technical issues related to the associated QS. Table 1: Initial Qualification Training Recommendations Safety Culture TLP-100, Safety Culture Leadership Fundamentals TLP-150, Safety Culture Training for Frontline Leaders Radiation Protection GET/GERT and/or Radiation Worker I &/or II (site presented) Environmental Protection EC401, (LM) Waste Management Training Oversight DOE 110DE, Oversight Fundamentals DOE 120, DOE Oversight and Implementation DOE 200DE, Assessment Fundamentals DOE 215, Assessment Preparation and Application DOE 320, Causal Analysis and Corrective Action Safety Basis SBA-100DE, Nuclear Facility Safety Basis Fundamentals Safeguards & Security (S&S) S&S Specific Training in LMS Site-specific S&S Comprehensive Security Briefing Conduct of Operations FOO-100DE, Conduct of Operations Basic Fundamentals DOE-STD-1146-2026 21 APPENDIX B CONTINUING TRAINING RECOMMENDATIONS Oversight personnel shall participate in a continuing training and qualification program that includes the following elements: 1. Continuing technical education and/or training covering topics directly related to oversight as determined appropriate by management. This may include courses/training provided by DOE, other government agencies, outside vendors, or local educational institutions. Continuing training topics should also address identified weaknesses in the knowledge or skills of individual personnel. 2. Specific continuing training requirements shall be documented in Individual Development Plans.