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U.S. DEPARTMENT OF ENERGY ORDER
Office of Health, Safety and Security DOE O 426.1
Approved: 11-19-09
FEDERAL TECHNICAL CAPABILITY
1. Purpose. To define requirements and responsibilities for
meeting the Department of Energy (DOE) commitment to
recruiting, deploying, developing, and retaining a
technically competent workforce that will accomplish DOE
missions in a safe and efficient manner through the Federal
Technical Capability Program (FTCP). The Department will
strive to recruit and hire technically capable people;
continuously develop the technical expertise of its existing
workforce; and, within the limitations of executive policy
and Federal law, retain critical technical capabilities
within the Department at all times. The program and
processes described in this Order support requirements
established in DOE P 426.1, Federal Technical Capability
Policy for Defense Nuclear Facilities, dated 12-10-98, and
DOE O 360.1B, Federal Employee Training, dated 10-11-01.
2. CANCELLATION. DOE M 426.1-1A, Federal Technical Capability
Manual, dated 5-18-04.
3. APPLICABILITY.
a. Departmental Applicability. This Order applies to any
DOE, including National Nuclear Security Administration
(NNSA), organization that performs functions related to
the safe operation of defense nuclear facilities. Other
organizations within the Department may also apply
elements of the program on an optional basis.
The Administrator of the National Nuclear Security
Administration (NNSA) must assure that NNSA employees
comply with their respective responsibilities under
this Order. Nothing in this directive will be
construed to interfere with the NNSA Administrator’s
authority under section 3212(d) of Public Law
(P.L.) 106-65 to establish Administration-specific
policies, unless disapproved by the Secretary.
b. Contractors. This Order does not apply to contractors.
c. Equivalencies for DOE O 426.1. In accordance with the
responsibilities and authorities assigned by Executive
Order 12344, codified at Title 50 United States Code
(U.S.C.) sections 2406 and 2511, and to ensure
consistency throughout the joint Navy/DOE Naval Nuclear
Propulsion Program, the Deputy Administrator for Naval
Reactors (Director) will implement and oversee
requirements and practices pertaining to this directive
for activities under the Director's cognizance, as
deemed appropriate.
d. Exemptions for DOE O 426.1. This Order does not apply
to DOE, including National Nuclear Security
Administration (NNSA), organizations that do not
perform functions related to the safe operation of
defense nuclear facilities.
4. REQUIREMENTS.
DOE offices and organizations must ensure that their Federal
employees are appropriately trained and technically capable
of carrying out their responsibilities.
a. Federal Technical Capability (FTC) Program Development
and Administration.
(1) Each office listed below must designate a senior
manager to serve as the office representative (the
Agent) on the FTC Panel. These Agents must be
qualified as Senior Technical Safety Managers
(STSMs). To maintain continuity on the Panel,
Agents should serve for a minimum of one year.
• OFFICE OF SCIENCE
O INTEGRATED SUPPORT CENTER, OAK RIDGE OFFICE
O INTEGRATED SUPPORT CENTER, CHICAGO OFFICE
O PACIFIC NORTHWEST SITE OFFICE
• OFFICE OF HEALTH, SAFETY AND SECURITY (HSS)
• OFFICE OF UNDER SECRETARY OF ENERGY
O CHIEF OF NUCLEAR SAFETY (CNS)
• NNSA
O OFFICE OF THE ADMINISTRATOR, SENIOR ES&H
ADVISOR
O NNSA SERVICE CENTER
O LIVERMORE SITE OFFICE
O LOS ALAMOS SITE OFFICE
O NEVADA SITE OFFICE
O SANDIA SITE OFFICE
O PANTEX SITE OFFICE
O SAVANNAH RIVER SITE OFFICE
O Y-12 SITE OFFICE
O CHIEF OF DEFENSE NUCLEAR SAFETY (CDNS)
• ENVIRONMENTAL MANAGEMENT
O OFFICE OF ENVIRONMENTAL MANAGEMENT
O CARLSBAD FIELD OFFICE
O CONSOLIDATED BUSINESS CENTER
O IDAHO OPERATIONS OFFICE
O OFFICE OF RIVER PROTECTION
O PORTSMOUTH/PADUCAH PROJECT OFFICE
O RICHLAND OPERATIONS OFFICE
O SAVANNAH RIVER OPERATIONS OFFICE
Additionally, the Offices of Human Capital
Management and HSS must designate senior
representatives on the Panel, which receives
advice and support from the Office of the Deputy
Secretary and other supporting Departmental
organizations, as appropriate.
(2) Functional Area Qualification Standards (FAQS)
must be reviewed and approved by the Panel and
issued in accordance with the processes
established by Department’s Technical Standards
Program. At a minimum FAQS must address:
(a) Technical competencies required to perform as
a qualified individual in the subject matter
of the FAQS,
(b) Knowledge and skills associated with the
competencies
(c) Any mandatory performance requirements (i.e.,
performance demonstrations for tasks
considered as critical for demonstrating
proficiency in a competency
(d) Applicable continuing education and/or
proficiency requirements.
Updates to FAQS should include a gap analysis, or
a summary of changes to the FAQS, to aid the
requalification process. FAQS must be approved by
the Panel Chair (See Appendix A, Development and
Revision of Technical Qualification Standards).
Sponsors who develop and revise FAQS must use the
FAQS template approved by FTCP Chair and posted on
the FTCP website
(https://www.hss.energy.gov/deprep/ftcp/directives
/FAQS-Template.doc).
(3) The Panel must develop and maintain an FTCP Action
Plan annually that clearly identifies major issues
related to needed technical competencies and the
Department’s Technical Qualification Programs
(TQPs) and activities necessary to resolve these
issues in a timely manner.
(4) The Panel must prepare periodic reports to the
Secretary of Energy, based in part on the summary
workforce analysis and staffing plans described in
this Order. The report will summarize actions
taken to address the Department’s hiring and
deployment needs and identify future actions to
preserve critical technical capabilities to ensure
safe operations of defense nuclear facilities. The
report must be submitted at least on a biennial
basis.
(5) The FTC Panel must assess the effectiveness of its
functions at least every four years. These
assessments must be conducted in accordance with
the requirements of DOE O 226.1A, Implementation
of Department of Energy Oversight Policy, dated 7-
31-2007, and the current objectives and criteria
approved by the FTCP Chair and posted on the FTCP
website
(https://www.hss.energy.gov/deprep/ftcp/directives
/TQPAssessments.doc).
b. FTC Program Implementation.
(1) Senior managers must conduct annual workforce
analyses of their organizations and develop
staffing plans that identify critical technical
capabilities and positions that ensure safe
operations of defense nuclear facilities.
Workforce analyses identify the critical technical
capabilities that must be maintained to ensure
safe operation of defense nuclear facilities. A
position determined to have critical technical
capabilities must meet the following two criteria.
(a) The position must be technical in nature, in
a field covered by a FAQS and have
responsibilities related to the safe
operation of defense nuclear facilities.
(b) The critical capabilities associated with the
position must represent a specialized skill
set that could not typically be replicated in
90 days using formal training.
(c) Loss of the technical capabilities resident
within the position could jeopardize the
Department’s ability to meet safety or
regulatory requirements.
(2) Each Headquarters and field element with defense
nuclear facilities responsibility must establish a
TQP for its organization. Although the programs
may be designed to meet the unique needs and
responsibilities of each organization, the
following principles must be used as the basis for
all TQPs.
(a) Demonstration of Competence. The program must
clearly identify and document the process
used to demonstrate employee technical
competence (e.g., professional
certifications, qualification cards,
background, and experience).
(b) Competency Levels. The competency levels
within the program must be clearly defined
and consistent with applicable industry
standards for similar occupations.
(c) Plans and Procedures. Plans and procedures
must be developed and implemented to govern
the administration of the program.
(d) Qualification Tailored to Work Activities.
The program must clearly identify unique
Department and position-specific work
activities and the knowledge and skills
necessary to accomplish the work. A process
must be developed to determine needed
additional office/site/facility specific
technical competencies for the individual
positions.
(e) Credit for Existing Technical Qualification
Programs. The program must be structured to
allow credit, where appropriate, for other
TQP accomplishments to date.
(f) Transportable. Competency requirements
identified as having Department-wide
applicability must be transferable. For ease
of transportability of qualifications between
DOE elements, the DOE General Technical Base
Qualification Standard and the various DOE
FAQSs must be used without modification or
additions. Each DOE headquarters, field or
organizational element determines whether
office/site/facility specific qualification
standards technical competencies are needed
for TQP participants.
(g) Measurable. The program must contain
sufficient rigor to demonstrate compliance
with the TQP.
(3) Each organization must document its TQP
requirements in a TQP plan. Organizations across
the Department must use the FAQS as written in
developing their TQP plans. The plans must be
approved by the head of the element and include
processes and requirements for the following.
(a) Individuals with assigned project management
responsibilities for defense nuclear
facilities, must be qualified through a
combination of the project manager’s career
development program (additional information
is provided in Appendix B, Technical
Professional Career Development Program), the
General Technical Base Qualification
Standard, and the appropriate site and/or
facility specific standard(s).
(b) Identifying employees and/or positions
required to participate in the TQP.
(c) Identifying employees and/or positions
participating in the TQP responsible for
oversight of safety management programs as
identified in the respective facility
Documented Safety Analysis (DSA).
(d) Identifying employees and/or positions that
can serve as qualifying officials to verify
and certify qualifications.
(e) Identifying, developing, approving, revising,
and updating individual qualification
requirements, as appropriate.
(f) Establishing and/or updating Individual
Development Plans (IDPs), training plans,
qualification cards, or qualification-related
records, for example, qualification plans,
qualification cards, supporting
documentation, and other records needed to
support how the qualification was attained.
The TQP plans should include the requirement
to reference the TQP in IDPs and Performance
Standards.
(g) Evaluating employees against FAQS,
determining when to use oral review boards
(protocol, questioning procedures, pass/not
pass criteria, quorum requirements,
reexamination requirements, etc.), and
documenting the approval of equivalencies for
required competencies.
(h) Determining final qualification requirements,
such as comprehensive written examination,
oral examination, site/facility walk-through,
or some combination thereof.
(i) Addressing oral or written examination
failures or other qualification failures,
establishing reexamination requirements, and
making work area or position reassignments.
(j) Establishing interim limitations or
compensatory measures, if needed to support
field office or program requirements, for
candidates who have not achieved full
qualification.
(k) Demonstrating full qualification and
achieving full qualification in new
assignments.
(l) Implementing continuing professional
development and requalification programs.
(m) Maintaining training and qualification
records. Personnel records/official personnel
files are maintained separately by each
Headquarters, field and organization element.
(4) Each organizational element must use FAQS or other
appropriate means to document technical
qualification requirements for the position. These
requirements must be established using the
systematic approach to training methodology and
include the following.
(a) Basic Technical Knowledge about topics such
as radiation protection, occupational safety,
chemical safety, nuclear safety, and
environmental regulations. This area is
covered through completion of the DOE General
Technical Base Qualification Standard.
(b) Technical Discipline Competency (e.g.,
mechanical engineering or chemical
engineering), which can be demonstrated by
education, professional certification, or
examination. In addition to meeting Office of
Personnel Management (OPM) requirements for
the position, current expertise and DOE
specific competencies are demonstrated
through completion of the respective FAQS.
(c) Position Knowledge, Skills, and Abilities
specific to the position, facility, program,
and/or office.
(5) Headquarters and Field Element Managers (FEMs)
must implement their TQP Plans.
(a) They must designate the positions and/or
individuals in their respective organizations
required to participate in the TQP and the
qualification requirements that apply. A
senior training official and/or an STSM must
be designated as responsible for program
direction and performance. TQP employees must
satisfy the qualification requirements
assigned to them in accordance with a defined
schedule established by line management.
(b) Employees responsible for technical direction
and oversight of safety management programs
identified in the respective facility DSA
must complete the General Technical Base
qualification standard, the FAQS, and
office-/site-/facility-specific competencies
related to the safety management program they
are assigned to oversee.
(c) Attainment of individual competencies in the
FAQS must be evaluated and documented by a
qualifying official and the immediate
supervisor using one or a combination of the
following methods:
1 satisfactory completion of a written
examination,
2 satisfactory completion of an oral
evaluation,
3 satisfactory completion of an observed
task or activity related to a
competency, or
4 documented evaluation of equivalencies.
(d) Equivalencies may be granted to employees who
satisfy competencies indicated in FAQS.
Equivalencies must be based upon objective
evidence of previous education, training,
certification, or experience. Objective
evidence includes any combination of
transcripts, certifications, and, in some
cases, a knowledge sampling demonstrated
through a written and/or oral examination.
Equivalencies should be used with the utmost
rigor and scrutiny to maintain the spirit and
intent of the TQP.
(e) FEMs or designees must qualify candidates as
possessing the basic technical knowledge;
technical discipline competency; and any site-
determined position-specific knowledge,
skills, and abilities. Final qualification
must be performed using one or a combination
of the following methods—
1 satisfactory completion of a
comprehensive written examination with a
minimum passing score of 80 percent,
2 satisfactory completion of an oral
examination administered by a qualified
STSM or a qualification board of
technically qualified personnel that
includes at least one STSM, or
3 satisfactory completion of a
walk-through of a facility with a
qualifying official for verifying a
candidate’s knowledge of and practical
skills related to selected key elements.
(f) FEMs or designees must develop formal
guidance for walk-through and oral
examinations that includes standards for
qualification, use of technical advisors by a
board, questioning procedures or protocol,
pass/fail criteria, board deliberation and
voting authorization procedures, and
documentation process.
(g) TQP participants who complete applicable
qualification requirements must continue
their professional development and maintain
proficiency through participation in
continuing training, education, or other
developmental activities.
(h) The duties and responsibilities of individual
position descriptions drive participation in
the TQP. They determine which FAQS and
individual competencies are appropriate for
that position. Individual performance
standards should reflect and note an
individual’s particular requirements under
the TQP.
(i) Workforce deployment, including
reorganizations, must recognize the
performance requirements of covered positions
and maintain the safety, health, and
environmental management technical competency
requirements of the workforce.
(j) Training and qualification records must be
maintained for all TQP participants
especially STSMs, Facility Representatives
(FRs) and Safety System Oversight (SSO)
personnel.
(k) Organizations may accredit their TQPs by
following the TQP Accreditation Process (See
Appendix C). For organizations that have
received accreditation, internal Departmental
oversight activities must credit that site
program’s TQP for being properly implemented
during the period of time that the site or
program’s FTCP accreditation is current.
(6) Key Qualification Areas.
(a) The Manager/Assistant Secretary/NNSA Deputy
or Associate Administrator with
responsibility for Defense Nuclear Facilities
must ensure that positions of authority
(authority to make decisions impacting safety
of defense nuclear facilities) are staffed by
qualified STSMs.
(b) FEMs or designees must qualify STSM, FR and
SSO candidates (See Appendix D, Safety System
Oversight Duties, Responsibilities,
Knowledge, Skills, and Abilities for SSO
candidates) as possessing the basic technical
knowledge; technical discipline competency;
and position-specific knowledge, skills, and
abilities required for their positions. Final
qualification of FRs is addressed in
DOE-STD-1063-2006, Facility Representatives.
Final qualification for STSMs must be
performed through satisfactory completion of
a comprehensive written examination with a
minimum passing score of 80 percent and
1 satisfactory completion of an oral
examination by a qualified STSM or a
qualification board of technically
qualified personnel that includes at
least one STSM or
2 satisfactory completion of a
walk-through of a facility with a
qualifying official for verifying a
candidate’s knowledge of and practical
skills related to selected key elements.
(c) Maintenance of Qualifications. FEMs must
require personnel filling STSM positions to
re-qualify to the latest version of the STSM
FAQS every five (5) years. The
requalification period for FRs is addressed
in DOE-STD-1063-2006, Facility
Representatives. Personnel who fail to
complete the identified requalification
requirements by the end of the
requalification period may be granted a six
month extension for requalification by the
respective FEM, provided that compensatory
measures are identified and implemented to
allow them to continue to perform their
duties safely. If the requalification
requirements are not completed within the six
month extension, such personnel must be
removed by the respective FEM from duties
requiring qualification.
(d) Both the FEM and Deputy FEM positions should
be identified as STSM positions. At least one
of the individuals filling these positions
must meet the preferred education and
experience for STSMs as described in the STSM
FAQS. Further, at least one of the
individuals must be a qualified STSM or
compensatory measures must be in place to
ensure that positions of authority are
compensated by qualified STSMs.
(e) Compensatory and Alternative Measures.
Management must put in place compensatory
measures if the incumbent in an identified
STSM position has not completed qualification
or does not meet the education or experience
requirements contained in the STSM FAQS. In
developing and implementing compensatory
measures, management must ensure that
positions of authority are compensated by
fully qualified STSMs.
(f) Selection, staffing, training, qualification
and maintenance of qualification of Facility
Representatives must be consistent with
DOE-STD-1063-2006, Facility Representatives.
(7) Self-Assessment. Headquarters and field elements
must conduct self-assessment of TQP and FTCP
implementation within their organization at least
every four years. These assessments must be
conducted in accordance with the requirements of
DOE O 226.1A, Implementation of Department of
Energy Oversight Policy, dated 07-31-07, and the
current objectives and criteria approved by the
FTCP Chair and posted on the FTCP website
(https://www.hss.energy.gov/deprep/ftcp/directives
/TQPAssessments.doc).
5. RESPONSIBILITIES. The Secretary of Energy has delegated
authority for implementing and maintaining the Federal
Technical Capability Program (FTCP) to the Deputy Secretary
of Energy.
a. Deputy Secretary.
(1) Appoints the FTCP Chair and provides leadership,
direction, and resources to recruit, deploy,
develop, and retain a workforce to accomplish
DOE’s missions in a safe and efficient manner.
(2) Reviews FTCP reports and the results of staffing
analyses to identify potential corrective actions
that ensure that the Department attracts and
maintains the resources necessary to perform the
Department’s missions.
(3) Works with the FTCP Chair to communicate the
Department’s priorities for DOE workforce
development and deployment.
(4) Meets with the Panel to discuss Departmental
issues and FTCP concerns.
(5) Institutionalizes the FTCP through DOE policy to
establish the program’s objective, guiding
principles, and functions.
(6) Resolves key FTCP issues which require the
authority of the Deputy Secretary.
b. Administrator, National Nuclear Security
Administration; Managers of Field Elements (including
Project Offices, Operation Offices, Site Offices, and
Service Centers); and PSOs.
(1) Establish TQPs for defense nuclear facilities and
designate the positions and/or individuals in
their respective organizations required to
participate in the TQP and the technical
qualification standards that apply to them.
(2) Ensure that STSM assignments or compensatory
measures are in place to maintain an unbroken
chain in the reporting structure of qualified
STSMs in positions of authority.
(3) Designate the positions and/or individuals in
their respective organizations that provide
oversight of safety management programs identified
in the respective facilities documented safety
analyses (DSAs).
(4) Implement formal training and qualification
programs, based on the appropriate functional
FAQS, for employees who provide management
direction or oversight of contractor technical
activities that could impact the safe operation of
a defense nuclear facility.
(5) Assign qualifying officials to sign TQP or
site-specific qualification cards to verify that
the TQP candidate possesses the required level of
knowledge or skills.
(6) Verify competency of employees in technical
positions, and approve qualification of such
employees following demonstrations of competency.
(7) Approve the workforce analysis and staffing plans
for their organizations.
(8) Develop and implement staffing plan performance
indicators to be monitored on a regular basis.
(9) Resolve FTCP issues identified in their
organizations through FTCP internal and external
assessments.
(10) Appoint an FTCP Agent, who is qualified as an STSM
and has ready access to and/or the authority to
deploy resources for the FEM, PSO, or
Administrator, NNSA.
(11) Conduct periodic self-assessments to evaluate the
effectiveness of TQP within their organizations.
c. Chair of Federal Technical Capability (FTC) Panel.
(1) Oversees issues affecting the FTCP.
(2) Oversees development and implementation of FTCP
Action Plans.
(3) Presides over the Panel and assigns an Executive
Secretary of the Panel.
(4) In conjunction with HSS, develops and implements
FTCP policy for the Department.
(5) Oversees implementation of the Department’s TQP,
which includes elements of FAQS for SSO, FR, STSM,
as well as other TQP FAQSs and the FTCP website.
(6) Reviews and approves technical qualification
standards for use throughout the Department.
(7) Provides support to assist site/program offices in
conducting self-assessments of their TQP Program
Plans in accordance with this Order.
(8) Maintains a list of the designated STSM positions
and incumbents in DOE.
(9) Oversees the process for evaluating the
qualification of employees filling STSM positions.
(10) In conjunction with the Office of Human Capital
Management, provides policy input, guidance, and
assistance for the scientific and engineering
tracks for the Departmental Intern Program.
(11) Performs or oversees assessments of the
effectiveness of the FTCP using internal and
external experts.
(12) Develops and implements FTCP performance
indicators.
(13) Conducts periodic briefings for the Defense
Nuclear Facilities Safety Board (DNFSB) and its
staff regarding execution of the responsibilities
of the FTCP.
(14) Provides recommendations to senior Departmental
officials regarding the improvement of DOE
technical capability.
(15) Appoints the Vice Chair.
d. Vice Chair of the Panel. Serves as Chair of the Panel
in the absence of the Chair.
e. FTC Agents.
(1) Coordinate development of the annual workforce
analysis and staffing plans for their
organizations.
(2) Oversee implementation of the TQP for their
organizations, and ensure that the qualification
process is relevant, and aligned with mission
priorities.
(3) Assist FEMs/PSOs/Lead PSOs (LSPOs) in establishing
or maintaining formal STSM programs for their
organizations.
(4) Facilitate recruitment to fill open STSM positions
with technically competent individuals.
(5) Concur with STSM vacancy announcements to ensure
the inclusion of adequate selection criteria.
(6) Concur with competitive selections for STSM
positions where the individual has not previously
qualified as an STSM.
(7) Lead, participate in, or oversee FTCP assessments
and TQP assessments within their organizations.
(8) Solicit information and feedback from people in
their organizations regarding the improvement of
technical capability of the Department’s
workforce.
(9) Keep people in their organizations informed of the
progress/problems associated with execution of the
FTCP, and seek support from senior officials
regarding successful implementation.
(10) Assist with the development of the FTCP action
plans.
f. Chief Health, Safety and Security Officer.
(1) Serves as the Office of Primary Interest for this
Order.
(2) Coordinates accreditation of TQPs. (See Appendix
C)
(3) Develops FTC policies for the Department in
conjunction with the FTCP Panel Chair.
(4) In coordination with FTCP Chair, maintains the
FTCP website.
g. Supervisors with Responsibilities for TQP Personnel.
(1) Maintain STSM qualification when assigned line
responsibility and supervision of personnel who
oversee safety of operations.
(2) Develop site-specific qualification standards and
cards for safety systems for SSO personnel.
(3) Identify and approve candidate selection.
(4) Implement TQP personnel qualification schedules.
(5) Facilitate TQP qualification (e.g., ensure
sufficient time and training is provided to
complete qualification tasks).
(6) Train and qualify TQP candidates so they are
capable of performing assigned duties.
(7) Ensure TQP responsibilities are included and
maintained in Individual Performance Plans.
(8) Ensure TQP qualifications are maintained current
by training and assignments planned in individual
development plans (IDPs).
(9) Periodically evaluate program effectiveness and
serve as a management advocate within the
headquarters or the field element to resolve
programmatic issues.
6. DEFINITIONS.
a. Critical Technical Capability. A position meeting the
following two criteria:
(1) The position is technical in nature, in a field
covered by a FAQS, with responsibilities related
to the safe operation of defense nuclear
facilities or other facilities as designated by
Site Management or PSO. The critical capabilities
associated with the position represent a
specialized skill set that could not typically be
replicated in 90 days using formal training.
(2) Loss of the technical capabilities resident within
the position could jeopardize the Department’s
ability to meet safety or regulatory requirements.
b. Defense Nuclear Facilities. See DOE M 140.1-1B,
Interface with the Defense Nuclear Facilities Safety
Board, dated 3-30-01 (or its successor), and 42 U.S.C.
2286g
(https://www.hss.energy.gov/deprep/dnfsb/legislat.asp)
for formal definition of “Department of Energy defense
nuclear facility.”
c. Key Qualification Area. A functional area that has
exceptional impact on nuclear safety at defense nuclear
facilities.
d. Requalification. The successful completion of any new
or updated competencies since an individual’s last
qualification or requalification, assuming the TQP
participant maintains competency in unchanged FAQS or
where new or updated competencies are determined by
performing an evaluation or gap analysis between the
current FAQS and the FAQS used for the last
qualification or requalification. Updates to FAQS
include a gap analysis, or a summary of changes, to aid
in the requalification.
7. REFERENCES. Find DOE directives online at
www.directives.doe.gov.
a. DOE O 226.1A, Implementation of Department of Energy
Oversight Policy, dated 7-31-07.
b. DOE O 360.1B, Federal Employee Training, dated
10-11-01.
c. DOE O 420.1B, Facility Safety, dated 12-22-05.
d. DOE M 426.1-1A, Federal Technical Capability Manual,
dated 5-18-04.
e. DOE P 426.1, Federal Technical Capability Policy for
Defense Nuclear Facilities, dated 12-10-98.
f. DOE-STD-1063-2006, Facility Representatives, dated
April 2006
(http://www.hss.doe.gov/nuclearsafety/ns/techstds/stand
ard/std1063/std1063_2006.pdf).
g. The National Nuclear Security Act, Title XXXII of the
National Defense Authorization Act for Fiscal Year
2000, Public Law 106-65, as amended, established the
National Nuclear Security Administration as a
separately organized agency within the Department of
Energy.
h. Title XXXII of P.L. 106-65, National Nuclear Security
Administration Act, as amended, which established a
separately organized agency within the Department of
Energy.
8. CONTACT. Questions concerning this Order should be addressed
to the Office of Health, Safety and Security, Office of
Worker Safety and Health Policy at (301) 903-6061.
BY ORDER OF THE SECRETARY OF ENERGY:
DANIEL B. PONEMAN
Deputy Secretary
APPENDIX A
DEVELOPMENT AND REVISION
OF FUNCTIONAL AREA QUALIFICATION STANDARDS
A key element of the Technical Quality Program (TQP) is a set of
common Functional Area Qualification Standards (FAQS). These
standards are developed for various functional areas of
responsibility in the Department, including oversight of safety
management programs identified as hazard controls in Documented
Safety Analyses (DSAs). For each functional area, the FAQS
identify the minimum technical competencies and supporting
knowledge and skills for a typical qualified individual working
in the area. The TQP will not have a specific standard for
project management for individuals assigned project management
responsibilities for defense nuclear facilities. Qualifications
for these individuals are accomplished through a combination of
the Project Manager Career Development Program and the General
Technical Base Qualification Standard.
1. GENERAL. Each FAQS has a sponsor organization, which is
usually a Headquarters or field office. The Panel Chair
maintains the list of sponsor organizations for the
individual FAQSs. Sponsor organizations are responsible for
coordinating the development, update, and revision of their
respective FAQS in accordance with the guidance contained in
this Order.
The Panel Chair also maintains a list of recognized experts
for the FAQS. Each Headquarters and field office
participating in the TQP can submit the names of two
recognized experts for each FAQS. If an office does not have
a recognized expert for a particular standard, it does not
have to submit a name. The Panel evaluates the
qualifications of the nominees and selects individuals who
are recognized experts within their respective functional
areas. The names and contact information for the recognized
experts are provided to the sponsor organizations to help
them develop, revise, and/or review FAQSs. Maintaining an
up-to-date and valid list of recognized experts is essential
to ensuring technically adequate and accurate FAQS.
Technical qualification standards are issued through the
Department’s Technical Standards Program, after approval by
the FTCP Chair in accordance with the requirements of that
program.
2. PROCESS FOR DEVELOPING OR REVISING A FAQS. The process for
developing or revising a FAQS is shown in Figure A-1 and
described in the following steps.
a. The sponsor organization coordinates a working group
session with recognized subject matter and training
expertise to develop or revise a FAQS, considering the
typical duties and responsibilities performed by a
qualified TQP participant in the subject matter of the
FAQS. The purpose of the session is to establish the
following for a typical qualified individual working in
the functional area:
FIGURE A-1. PROCESS FOR DEVELOPING FAQSS
SEE THE FIGURE IN THE PDF FILE
(1) Technical competencies required to perform as a
qualified individual in the subject matter of the
FAQS,
(2) Knowledge and skills associated with the
competencies,
(3) Any mandatory performance requirements (i.e.,
performance demonstrations for tasks considered as
critical for demonstrating proficiency in a
competency),
(4) Appropriate continuing education or proficiency
opportunities,
(5) Applicable continuing education and/or proficiency
requirements, and.
(6) Updates to FAQSs should include a gap analysis, or
a summary of changes, to aid in the
requalification
Approximately five recognized experts or more from
across the complex should participate in this session.
The sponsor solicits volunteers from the list of
recognized experts maintained by the Panel. The
preferred make-up of the group is three recognized
experts from the field and two from Headquarters, with
all the recognized experts from different
organizations.
b. Develop a draft FAQS using data from the recognized
expert working group session. (Note: This step may be
done as part of the working group session described
above, if time allows.) The sponsor develops the draft
standard in the format described in this Order and
using the standard template approved by the Panel. The
sponsor does research as necessary to expand upon the
information obtained in the working group session to
ensure that competency statements, supporting knowledge
and skills, and mandatory performance requirements are
technically adequate and accurate.
c. The sponsor sends the draft FAQS to the list of DOE
recognized experts for review and comment. The sponsor
revises the standard as applicable based on the
comments received.
d. The sponsor sends the draft FAQS to the Panel Chair.
After ensuring that the standard is consistent in
format with all other FAQS, the Panel Chair transmits
the draft FAQS to Panel members for review.
e. The sponsor works with the Panel Chair, Panel members,
and the working group to resolve comments.
f. The sponsor transmits the draft FAQS to the Office of
Health, Safety and Security (HSS) for formal review and
comment using the DOE Technical Standards RevCom tool.
g. HSS transmits the draft FAQS for Defense Nuclear
Facilities Safety Board (DNFSB) staff review and
comment.
h. The sponsor works with the Panel Chair, Panel members,
working group, and DNFSB staff to resolve comments. The
sponsor reviews all comments and catalogs them in a
comment resolution document. The comment resolution
document shows the organization that made the comment,
the comment, and the sponsor’s resolution of the
comment. The draft FAQS is revised as applicable based
upon the comments received.
i. After completing all requirements of the Technical
Standards Program, the sponsor transmits the final
draft FAQS and the comment resolution document to the
Panel Chair. After ensuring that the standard is
consistent in format with all other FAQS, the Panel
Chair transmits the final draft FAQS and the final
comment resolution document to Panel members for review
and approval. Once the Panel approves the standard, the
Panel Chair signs the standard and transmits it to HSS
for distribution throughout the Department.
3. TECHNICAL QUALIFICATION STANDARD FORMAT. FAQS template (with
standardized language) and approved by FTCP Chair are
available through the Federal Technical Capability Program
(FTCP) website
https://www.hss.energy.gov/deprep/ftcp/directives/FAQS-Templ
ate.doc
APPENDIX B
TECHNICAL PROFESSIONAL CAREER DEVELOPMENT PROGRAM
1. OVERVIEW.
Recruitment, hiring, and retention of high-quality employees
are essential in performing the DOE mission. Hiring and
retaining high-quality employees are often major challenges
confronting line managers.
Several tools, collectively referred to as administrative
flexibilities, are available to provide options in Federal
employment actions supporting recruitment, hiring, and
retention of high-quality employees. Line managers and
servicing personnel offices should reference these tools for
information about recruitment, hiring, and retention.
2. DEPARTMENTAL INTERN PROGRAMS.
DOE’s two-year Departmental Intern Programs are designed to
provide a continuing source of highly competent technical
staff with the skills and knowledge to meet the Department’s
current and future technical and business staffing needs
while also nurturing their potential as future leaders and
managers within the Department. The program is designed to
attract recent college graduates (entry level), current
employees, and private-sector candidates with three to five
years of experience and consists of general and specific
training tracks (e.g., technical and business), management
and development activities, and rotational work experience
in a variety of functional programs and program support
areas (at various Headquarters offices, field or area
offices, laboratories, and/or contractor organizations).
After completion of the two-year program, participants may
be converted to permanent status and placed in positions
necessary to fulfill mission needs.
The Panel collaborates with the Office of Human Capital
Management to provide policy oversight and guidance for the
Departmental Intern Programs. The Panel will participate in
making decisions relative to the direction of the
Departmental Intern Programs. Panel oversight includes, but
is not limited to, evaluating the overall effectiveness of
the program, course curricula, learning activities, and
other program objectives. Panel Agents are also charged with
promoting management support and resource availability to
achieve program goals within their home organizations.
3. EXCEPTED SERVICE.
Excepted Service appointment authorities included in the
National Defense Authorization Act for Fiscal Year 1995, was
an excellent tool for Headquarters and field organizations
to recruit and retain high-quality technical staff. Even
though this tool is no longer available, the Excepted
Service authorities in the Department of Energy Organization
Act of 1997 is available and can expedite the hiring process
and provide pay flexibilities to enhance recruitment and
retention of key technical staff. The Excepted Service
authorities may be particularly useful to organizations
undergoing restructuring and associated skills mix concerns.
The National Defense Authorization Act for 1995 included in
the authority to fill scientific, engineering, and technical
positions relating to the safety of DOE defense nuclear
facilities and operations. This authority could only be used
to hire people for scientific, engineering, or technical
defense positions related to the safety of nuclear
facilities.The Excepted Service appointment authority found
in Section 621(d) of the Department of Energy Organization
Act is available for use in hiring high-quality individuals
who may otherwise be difficult to attract and retain under
current competitive service rules and procedures. Although
primarily intended for scientific, engineering, and
technical positions, this authority may also be used for
professional and administrative positions and positions in
operations not related to defense nuclear facilities safety.
Pay under both Excepted Service personnel authorities may be
established up to an amount provided for by Executive Level
III. Broad salary bands in contrast to pay ranges
established under the more traditional General Schedule
(GS)/Senior Level (SL)/Senior Executive Service (SES)
systems govern pay administration in the Excepted Service.
Further guidance on the appropriate use of Excepted Service
authorities may be obtained from your local personnel office
or the Division of Executive and Technical Resources at
Headquarters. Actions to fill positions some of the
positions under these authorities are subject to review and
approval by the Department’s Executive Resources Board.
4. TECHNICAL PROFESSIONAL CAREER DEVELOPMENT PROGRAM.
a. Purpose. The Department has established a Technical
Professional Career Development Program (TPCDP) for
safety professionals, senior managers, and
decision-makers responsible for nuclear safety,
including those responsible for nuclear safety
oversight. These technical professionals are primarily
employees classified as scientists, engineers, or
managers working in the safety, health, environmental,
and management functions associated with the safe
operation of defense nuclear facilities.
The TPCDP gives technical professionals the education
and experiences necessary to develop the technical and
managerial skills needed for their positions and helps
ensure that DOE recruits, continuously develops, and
retains the employees it needs for critical oversight
and management jobs. In addition, technical
professionals can develop technical and professional
skills, obtain professional credentials, and perform
challenging technical assignments so they can advance
to higher-graded positions—all through a structured
program.
FIGURE B-1. POTENTIAL CAREER PROGRESSION FOR QUALIFIED PERSONNEL
SEE THE FIGURE IN THE PDF FILE
Figure B-1 depicts the potential career paths for
technical personnel and line management organizations:
a management path and a technical path. The management
path outlines a career path from entry into the
Department up to becoming a senior executive, such as a
Site Office manager or Headquarters Associate Deputy
Administrator or Deputy Assistant Secretary; the
technical path outlines a career from entry level to
becoming a senior technical expert or advisor.
This section provides an overall description of the
Department’s TPCDP, which is a tool for ensuring that
the DOE maintains the highly qualified and skilled
technical professionals necessary to support safe
operations of its complex, potentially high-risk
defense nuclear facilities and programs. The elements
of this program are integrated with the Department’s
Human Capital Management Program.
b. Program Summary. The TPCDP is a formal program approved
by the Secretary of Energy through the Department’s
directives program. The program includes technical
professionals throughout their careers, starting with
their first permanent job and continuing until they
leave the agency or take a different type of position.
As shown in Figure B-2, the TPCDP consists of Technical
Base, Professional Base, and Management Base phases.
The program builds on existing DOE programs as much as
possible, integrating them into a career development
system. The TPCDP is a strategic program that describes
the career paths available to technical professionals
and defines the training and work experiences required
to progress along the career paths. The TPCDP is also a
long-term program that covers many years of training,
development, and professional growth in multiple
assignments. The Technical Base and Professional Base
consist primarily of non-supervisory assignments, and
the Management Base consists of supervisory
assignments. The Technical Expert path allows select
employees to become recognized experts by their peers
both in the Department and in industry.
Figure B-3 shows the major elements of the TPCDP and
the approximate time span employees can expect to spend
in each phase.
c. Recruitment. In addition to the Departmental Intern
Program described in Section 2 of this appendix, other
DOE organizations have established intern programs to
address the specific needs of their respective
organizations. Individuals hired under the NNSA Future
Leaders Program are a principal source of new technical
professionals for the NNSA. NNSA recruits college
graduates for this program, assigns them to home
offices, and requires them to complete two rotational
assignments. Each intern is assigned a mentor. The
interns receive NNSA orientation, core training, and
office-specific training. The core training includes
formal qualification on the General Technical Base
Standard and a functional area standard, which is a
major part of the first phase of the TPCDP, the
Technical Base. Completion of these qualifications
during the internships allows interns to finish the
Technical Base phase rapidly, taking six months instead
of the 18 months to two years normally required.
Figure B-2. Technical Professional Career Development Program
A Three-Phase Program
SEE THE FIGURES IN THE PDF FILE
Figure B-3. Major Elements of the TPCDP
The Department’s Corporate Outreach and Recruitment
Council has created a corporate “umbrella” intern
program called the “DOE Scholars Program.” This program
is designed as a comprehensive pipeline program to
attract a new generation of employees into DOE and
quickly prepare them for vital mid- to senior-level
positions. The DOE Scholars Program offers flexibility
to meet varied mission needs and mobility for
candidates to move throughout the Complex. The program
also provides a strategic approach to help the
Department achieve a highly skilled, diverse workforce
capable of carrying out vital mission areas.
Other DOE Program Offices sponsor Technical Intern
Programs. The Department seeks to attract excellent
technical graduates by using administrative
flexibilities authorized for hiring interns. In order
to compete for highly talented employees, the
Department has the option of offering interns lucrative
benefits, including recruitment bonuses, moving
expenses, student loan repayments, and accelerated
promotions.
Program Offices also recruit other technical personnel
for the TPCDP in addition to interns. These other
sources could be current employees within the Program
Office, current employees from other DOE offices, or
personnel from outside DOE selected to fill vacancies.
Personnel hired from outside the Department or
transferred from other Programs may enter the TPCDP at
various points based on an objective evaluation of
previous education, training, and experience.
d. Technical Base. The Technical Base encompasses the
training and qualification for a new technical
professional. New technical professionals can be
interns hired directly from college for entry-level
positions, or they can be more experienced
professionals hired for non-supervisory positions.
Qualifications to enter the Technical Base phase are
the knowledge and skills acquired through college
education, combined with activities such as completion
of internships, on-the-job training, and prior work
experience within DOE or external to DOE. New technical
professionals in the Technical Base are expected to
demonstrate effective performance by formal
qualification in the Department’s TQP, as defined in
this Order Technical professionals complete the
Technical Base phase when they achieve formal
qualification in the General Technical Base
Qualification Standard, a specific FAQS, and a
site-specific or office-specific Qualification
Standard. Most employees will take 18 months to
complete the training and qualification activities in
the Technical Base. This is accomplished in conjunction
with their normal job assignments. When employees
complete the Technical Base training and qualification,
they are considered to be competent to perform all the
duties and assignments associated with that functional
area.
e. Professional Base. Technical professionals in the
Professional Base phase of their careers develop
further expertise within their assigned functions. This
phase of an employee’s development program includes a
balance of technical skills with professional and
personal development. Although there is a training
curriculum associated with this phase, there is more
emphasis on expanding the experience base of the
employee.
Employees that complete the Professional Base are
recognized as very well qualified in their functions.
They typically hold positions in one of the five
general technical- or safety-related organizations
shown in Figure B4, below: Quality Assurance
(QA)/Oversight/Safety, Site/Facility Operations,
Engineering/Authorization Basis, Project/Program, and
Headquarters Technical Position.
Figure B-4 shows examples of jobs in the various
general technical- and safety-related organizations.
Employees are encouraged to work in two or more of
these organizations during the Professional Base phase
of their careers.
Figure B-4. Typical Technical and Safety-related Organizations
SEE THE FIGURE IN THE PDF FILE
Employees should complete the Professional and
Leadership Development curriculum while in the
Professional Base. The specifically defined curriculum
covers both technical and professional topics all
technical professionals should know, such as safety
culture, contract administration, project management,
human performance improvement, and conduct of
assessments. The curriculum also covers personal
development topics such as written and oral
communications, conflict resolution, fundamentals of
supervision, time management, and leadership. Technical
professionals are expected to begin Professional and
Leadership Development as soon as practicable after
they enter the Professional Base.
When technical professionals have worked in a single
function for a few years (typically three to five
years), they should seek reassignment to a position in
an organization other than the one where they currently
work. Typically they are at a GS-13/14 or Pay Band III
when they become candidates for assignment to different
organizations with technical- or safety-related
responsibilities. These assignments are typically
within the original functional area in which they
qualified. However, they are required to qualify under
the site-specific or facility-specific standards for
their new assignment. They expand their technical
expertise through qualification and work in the new
assignment.
As employees continue to work and progress through the
Professional Base, they should seek to serve in at
least two of the five types of organizations at the
first-line worker level. Assignments in these
organizations would not necessarily be at the same
facility or even the same site. These assignments may
require the employee to pursue qualification in an
additional functional area, although this is not a
requirement of the program. Diverse assignments to
different facilities and different sites, including
assignments to a central staff or Headquarters staff,
are important to the development of the technical
professional and are valued in the Department.
Opportunities for professional growth and promotion
generally are expanded with a diversity of experience
in different programs, projects, facilities, and sites.
A set of diverse assignments will help employees
understand and better integrate the lessons learned at
all locations and all levels of the Department into the
day-to-day conduct of business. This also promotes
better understanding and integration of different
organizational functions and perspectives into
technical and organizational decisions.
Employees complete the Professional Base when they have
held permanent positions in at least two different
technical- or safety-related organizations, have
completed the Professional and Leadership Development
curriculum, and are qualified as STSMs. It is expected
that employees, their supervisors, and Departmental
management work to accomplish these activities through
the effective use of the Professional Base Development
Plan. The Plan serves both to facilitate the
accomplishment of training and assignments while in the
Professional Base and to document the completion of
these activities.
The Professional Base phase of the TPCDP broadens
employees’ technical experiences through assignments in
different organizations with technical- and
safety-related responsibilities. This phase also
develops technical professionals to perform GS-14/15 or
Pay Band IV level jobs as first- and second-level
supervisors and managers. The Professional Base phase
develops skills in leadership, management, supervision,
program management, and communications and involves
management development in addition to technical growth.
Employees gain program or project management experience
in this phase. They lead teams for tasks such as
operational readiness reviews or accident
investigations. They can work independently on
challenging technical assignments in support of their
own organizations or other offices. Employees who
complete the Professional Base have progressed to a
career stage where they are prepared to manage programs
or projects or lead teams. When employees complete the
Professional Base phase of their development, they are
qualified to compete for jobs as supervisors or
managers in the Management Base.
f. Expert Base and Management Base. Some employees may
choose to complete the Professional Base and continue
working in that capacity for their entire career. Other
employees may want to continue advancing their career,
and, at this point, may choose one of two tracks. Those
employees who want to progress into supervisory and
management positions may pursue the Management Base.
Other employees may want to practice their technical
profession at a higher level without moving into a
supervisory or management position. These employees may
pursue the Expert Base.
(1) Expert Base.
The Expert Base phase of the TPCDP is directed
toward a limited number of select employees who
wish to continue to excel within their chosen
profession. These employees are typically GS-14/15
or Pay Band IV, and, in select cases, they may
become SES employees. The training and development
program for these personnel is typically
individually based and focused on achieving
technical excellence within a specific discipline
such as fire protection, criticality safety,
structural engineering, or similar discipline.
Employees in the Expert Base may continue to
pursue advanced education to obtain a PhD in their
technical discipline; in select cases, the
Department will strive to support their choice
through educational reimbursement or fellowship
programs. Employees should also continue to pursue
advanced training (not degree related) provided by
professional organizations, educational
institutions, other agencies, or commercial
providers.
Employees in the Expert Base should also pursue
other experiential opportunities in their
technical discipline. At a minimum these
experiential opportunities would involve short-
and mid-term assignments within the Department in
areas that allow for growth within their technical
discipline. Such opportunities may include
assignments on operational readiness review teams,
accident investigation teams, assessment teams, or
assisting other offices with a particular
technical issue or project. Employees in the
Expert Base should also pursue temporary
assignments with other agencies or industry
organizations to broaden their base of knowledge
in their specific technical discipline.
In addition to continuing to pursue other
education, training, and experience in their
technical area, employees in the Expert Base
should also pursue opportunities to participate on
professional committees, such as standards-setting
organizations, and should expect to earn
professional certification before being promoted
to the grade of GS-14/15 or Pay Band IV. The
Department may support professional certification
through training and reimbursement of
certification costs on a case-by-case basis.
Employees in the Expert Base should also
periodically speak on topics and issues at outside
conferences and publish articles in professional
journals.
(2) Management Base.
The Management Base phase of the TPCDP includes
first-line supervisor and middle management
positions in line or staff offices with oversight
responsibilities for defense nuclear facilities.
These jobs typically are at the GS-14/GS-15 or Pay
Band IV level. This phase includes supervisory and
management assignments in at least two different
departmental organizations, management training
tailored to each employee, and experience in both
headquarters and the field. Qualification in the
Management Base includes the required knowledge
and skills for managers who provide assistance,
direction, guidance, oversight, or evaluation of
contractor technical activities impacting the safe
operation of defense nuclear facilities. Work
experience and professional development at this
level, and the STSM qualifications completed in
the Professional Base, prepare employees for SES
positions such as FEMs and Headquarters Program
Directors.
Employees located in the field who are selected as
first-level managers typically are assigned to one
of four types of organizations: environment,
safety, and health support; site and facility
operations; site and facility engineering; or
projects or programs. Employees at Headquarters
typically are assigned to a technical organization
such as programs, facilities, or safety support.
Managers initially assigned to these types of
organizations generally should expect to remain in
the initial assignment for three to five years.
Following the initial assignment, they should seek
assignment to one of the remaining types of
organizations at this level, or potentially to a
larger or more complex facility in the same type
organization, to broaden their knowledge of, and
experience with, defense nuclear facilities and
sites. Managers typically should expect to serve
in at least two organizations at this level, with
between three and five years in each organization,
before seeking positions in the next level.
Assignments in these organizations need not be at
the same facility or site. If the employee has not
held positions at both a Headquarters and a field
organization, then it is encouraged that employees
complete a minimum of six months of experience
(not necessarily continuous) at one of those
locations during the Management Base phase of
their development.
Acquiring a diversity of experience in different
DOE commercial or military programs, projects,
facilities, and sites generally enhances
professional growth and promotion. Pursuit and
acquisition of advanced degrees in related areas
may also enhance opportunities for advancement.
Managers may remain in a first-level management
position for some time due to personal choice or
limited opportunities for continued advancement.
First-level managers still should seek to spend no
more than five years in any position at a facility
or site. All other factors being equal, rotation
of technical managers and advisors through field
assignments, Headquarters, and other facilities
and sites may provide the greatest opportunity for
professional growth and promotion based on the
greatest diversity of management experience with,
and knowledge of, defense nuclear facilities. The
Management Base is considered complete when
employees complete at least two job rotations,
have previous experience in both the field and
Headquarters, and complete the management training
specified in individual development plans. Broader
and increasingly more responsible management
positions make employees better prepared to seek
senior management opportunities.
Technical managers who seek a senior management
position should develop a broad range of
knowledge, skills, and abilities to demonstrate
executive leadership capability in addition to
technical management expertise. The knowledge,
skills, and abilities for senior management
positions are developed and demonstrated through
multiple assignments in increasingly more complex
and challenging environments.
Candidates for senior management positions should
consider progressive management assignments at
multiple sites that provide learning opportunities
to support a fundamental transition from technical
management to organizational leadership. Key
abilities to be developed as part of these
progressive assignments should include the
Executive Core Qualifications similar to those
demonstrated for any SES position: (1) Leading
Change (the ability to develop and implement an
organizational vision which integrates key
national and program goals, priorities, values,
and other factors); (2) Leading People (the
ability to design and implement strategies which
maximize employee potential and foster high
ethical standards in meeting the organization’s
vision, mission, and goals); (3) Results Driven
(the ability to stress accountability and
continuous improvement, to make timely and
effective decisions, and to produce results
through strategic planning and the implementation
and evaluation of programs and policies); (4)
Business Acumen (the ability to acquire and
administer human, financial, material, and
information resources in a manner which instills
public trust and accomplishes the organization’s
mission and to use new technology to enhance
decision-making); (5) Building
Coalitions/Communications (the ability to explain,
advocate, and express facts and ideas in a
convincing manner and negotiate with individuals
and groups internally and externally); and (6) the
ability to develop systems to more effectively and
efficiently complete assigned missions.
Leadership and executive development programs
beyond the scope of the TPCDP are available to
refine the skills employees need to be competitive
for senior executive jobs. There are courses such
as the training offered by the Federal Executive
Institute, which are focused on strengthening
skills. Successful candidates for senior executive
positions typically demonstrate that they meet the
core qualifications and they have exemplary
performance in their work experiences. Their track
records show they have the capabilities to lead
organizations and accomplish challenging tasks in
a broad range of topics. A technical professional
who becomes a SES manager likely will be
responsible for a technical field much broader
than only a safety function, such as a
Headquarters Program Manager or a Site Office
Deputy Manager or Manager.
Senior executives with responsibility for
technical work are expected to complete Nuclear
Executive Leadership Training. Nuclear Executive
Leadership Training is a week long, in-residence
course that covers topics such as safety culture,
nuclear and non-nuclear safety, assessment,
decision-making, human performance improvement,
and contracting. The content is designed for
executive-level employees.
APPENDIX C
ACCREDITATION OF DOE TECHNICAL QUALIFICATION PROGRAMS
1. OVERVIEW.
The accreditation of Technical Qualification Programs (TQPs)
enables both Headquarters and field organizations in DOE to
demonstrate that they have an effective program in place to
ensure the technical competency of DOE technical employees
whose duties and responsibilities require them to provide
assistance, guidance, direction, oversight, or evaluation of
contractor activities that could impact the safe operation
of a defense nuclear facility. Accredited organizations are
recognized for having programs and processes in place that
adhere to established objectives and criteria for an
effective TQP. Accreditation ensures the consistent
application of TQP requirements across the Department,
thereby facilitating the transportability of qualification
when an individual moves from one organization to another.
2. PROCESS.
The accreditation process is applicable to those
organizations within DOE that choose to seek accreditation
of the TQP.
a. Accreditation Process Elements.
The TQP accreditation process consists of the
activities described below. These activities are
further described in this appendix and are depicted in
Figure C-1.
• Development and implementation, by the organization
requesting accreditation, of a TQP that meets the
requirements stated in this Order.
• A comprehensive self-assessment of the TQP against
the objectives and supporting criteria as described
in a document entitled “Assessment of Technical
Qualification Program” and posted on the FTCP
website
(https://www.hss.energy.gov/deprep/ftcp/directives/T
QPAssessments.doc), by the requesting organization.
The details and conclusions of that evaluation are
documented in a self-evaluation report. The
self-evaluation report (SER) and a declaration of
readiness by the senior manager are transmitted to
the TQP accreditation support office.
• Evaluation of the requesting organization’s TQP by
an onsite accreditation review team. This team,
consisting of specifically qualified individuals
will evaluate the TQP against the objectives and
criteria. The onsite evaluation team pays particular
attention to ensure that the program is being
effectively implemented throughout the organization.
The results of the onsite review are documented in a
TQP Accreditation Review Team Report.
• A recommendation to the Deputy Secretary for
accreditation of the program by the independent TQP
Accreditation Board. This Board, consisting of
senior managers from DOE and an expert from outside
of DOE, makes this recommendation based on a formal
meeting with senior representatives from the
requesting site and the TQP accreditation review
team leader. The recommendation is based upon
information contained in the accreditation review
report, and feedback and input from senior
management from the requesting organization.
• A determination by the Deputy Secretary regarding
accreditation.
• Continuous implementation and maintenance of TQP
accreditation for four years. The organization is
expected to continue to maintain and implement the
TQP in a manner that meets the objectives and
criteria and that ensures a robust program. Renewal
of accreditation is accomplished by the same process
as initial accreditation, and involves both a
self-evaluation report submitted by the organization
as well as a review by an onsite accreditation
review team. The TQP Accreditation Board will review
the results of these efforts and make a
recommendation to the Deputy Secretary to renew or
defer accreditation.
Figure C-1. TQP Accreditation Process
b. Accreditation Support.
The Office of Health and Safety, HS-10, serves as the
TQP accreditation support office and, in that role,
reports to the Panel Chair. The TQP accreditation
support office is responsible for facilitating the TQP
accreditation process. This includes the following:
• Developing and maintaining program documents,
• Supporting the National Training Center in providing
training on the TQP accreditation process,
• Providing assistance as requested to support the TQP
accreditation process,
• Establishing accreditation review teams,
• Supporting the TQP Accreditation Board,
• Providing accreditation status reports to the Panel
Chair,
• Supporting the process to maintain and re-validate
accredited TQPs, and
• Coordinating the necessary resources to support the
accreditation process.
c. Self-evaluation and Self-evaluation Reports.
In preparation for initial accreditation or
accreditation renewal, a TQP accreditation
self-evaluation report is prepared for the TQP under
review. The self-evaluation report serves as the
“application” for accreditation. Before the
accreditation review team visits the site, the
requesting organization conducts a thorough
self-evaluation of their program against the objectives
and supporting criteria as described in “Assessment of
Technical Qualification Program” posted on FTCP website
(https://www.hss.energy.gov/deprep/ftcp/directives/TQPA
ssessments.doc), and documents the results in a
self-evaluation report; and corrects, or begins to
correct, any identified problems. The purpose of this
self-evaluation is for the requesting organization to
ensure that their program satisfies the criteria of an
effective TQP. Organizations are encouraged to use an
outside expert or peer from another organization to
assist in this assessment and provide an objective,
outside perspective. The TQP accreditation
self-evaluation should meet the following key criteria:
• Senior managers oversee the self-evaluation process
to ensure identification and description of TQP
strengths and correction of weakness.
• Line managers and their staffs actively participate
in the self-evaluation process.
• Self-evaluations of the TQP recognize both the
strengths of the program and problems that need to
be corrected.
• Alternative perspectives from other organizations or
individuals are actively solicited.
• Activities or accomplishments (e.g., related ISO
certifications, other professional certifications,
participation in university sponsored programs) are
identified and encouraged.
• Significant problems in the TQP are documented and
investigated for root or contributing causes, and
actions are taken to correct and prevent recurrence.
Follow-up reviews are used to verify the
effectiveness of corrective actions.
The TQP accreditation self-evaluation report is a
comprehensive, standalone document that describes the
requesting organization’s TQP. For programs being
reviewed for accreditation renewal, the TQP
accreditation self-evaluation report reflects strengths
and areas for improvement identified throughout the
four-year renewal period. The senior manager
responsible for the organization requesting
accreditation approves the report and forwards it to
the DOE TQP accreditation support office approximately
two months before the accreditation team visit. The
forwarding memo includes a declaration by the senior
manager that the organization is implementing the TQP
in accordance with the requirements of this Order and
is ready for accreditation.
HSS reviews the TQP accreditation self-evaluation
report and ensures that the report was prepared in
accordance with the guidance in “Assessment of
Technical Qualification Program” posted on FTCP website
(https://www.hss.energy.gov/deprep/ftcp/directives/TQPA
ssessments.doc), and meets the criteria for TQP
accreditation self-evaluation reports. The TQP
accreditation support office coordinates with the
senior manager responsible for the organization
requesting accreditation to resolve any discrepancies
or ambiguities within the TQP accreditation
self-evaluation report prior to the TQP accreditation
review team evaluation.
d. Accreditation Review Team and Team Activities.
The purpose of the TQP accreditation review team
evaluation is to conduct a thorough and independent
evaluation to review the status of TQP implementation
and assess the actions taken to address areas for
improvement identified in the self-evaluation report.
For initial TQP accreditation, an accreditation team
evaluation will be scheduled when the requesting
organization submits a comprehensive TQP accreditation
self-evaluation report. Accreditation review team
evaluations typically are scheduled approximately three
months before the TQP Accreditation Board review date.
The accreditation review team may consist of TQP
accreditation support office staff, FTCP Agents,
outside experts, and peer reviewers from other sites.
The team members have collective expertise in facility
operations, technical qualification programs, and
facility management. They also meet specific,
pre-established qualification requirements and receive
training on the TQP accreditation process. The
accreditation review team composition should represent
a cross-section of NNSA and DOE elements (e.g., PSOs).
The TQP accreditation support office nominates the
accreditation review team leader for a particular
review, and the Panel Chair approves the team leader.
The TQP accreditation support office selects the most
qualified individual to do the job. In making the
selection, the following criteria should be considered.
• The individual is a senior level (GS-15 or above)
manager, qualified as an STSM, who is very
knowledgeable of the development and implementation
of TQPs.
• The individual has experience leading evaluation
teams.
• The individual, by virtue of reputation, background,
and experience, will be respected by the
organization being assessed. FTCP Agents are
encouraged to participate as team leaders.
The accreditation review team leader has the primary
responsibility for selecting the team members. The
importance of this task cannot be overemphasized. No
other task has such a direct impact on the overall
quality of the accreditation review. Typically, a TQP
accreditation review team will have a team leader and
four to six team members, one of which will be selected
by the Chief of Defense Nuclear Safety (CDNS) or the
Chief of Nuclear Safety (CNS).
Assessment team members should have technical
experience relevant to the assignment and knowledge of
TQPs. They should also have some experience conducting
program assessments. This experience provides the
background for team members to work independently at an
unfamiliar location, gather information quickly, and
make objective recommendations. Team members should
have qualifications that will be respected by the
organization requesting the assistance (e.g.,
reputation, relevant background, and type and length of
experience).
Accreditation review team evaluations typically last
about one week. During the evaluation, team members
observe TQP activities; interview staff and management
personnel; review qualification requirements and
qualifications of personnel; and examine TQP materials.
The TQP is evaluated against all of the objectives and
criteria using specifically developed lines of inquiry.
Accreditation review team results are discussed with
staff and management personnel at the site on a daily
basis during the review.
Following the onsite evaluation, the TQP accreditation
review team prepares an exit report to describe the
results of the review. This report forms the basis for
an exit meeting with senior management of the
organization being reviewed and identifies applicable
strengths or areas for improvement. Following the exit
meeting, the requesting organization submits written
responses that describe the actions taken or planned
for identified areas for improvement. The accreditation
review team leader prepares a detailed TQP
Accreditation Review Team Report that describes the
results of the accreditation review team evaluation,
but does not provide a recommendation regarding
accreditation. This report is submitted to the TQP
Accreditation Board for review and deliberation.
The format of the TQP Accreditation Review Team Report
is as follows.
• Cover Page. Include the title of the report, the
name of the office assessed, and the date of the
report.
• Executive Summary. One page that provides a short
overview of the team composition, dates of the
assessment, and methodology. The Executive Summary
should briefly describe assessment results,
including strengths and weaknesses.
• Introduction. Provide relevant background
information and describe the purpose and format of
the report.
• Scope and Methodology. Describe the make-up of the
team in general terms (referring to the attachment
of the report for more detail), describe the scope
of the assessment referencing the use of the
objectives and criteria, and briefly describe the
methodology applied.
• Results. Address in detail the overall program and
each of the applicable objectives, including how the
objective is met and identifies any strengths, areas
for improvement, or other noteworthy information.
Definitions of these three items are included in
“Assessment of Technical Qualification Program”
posted on FTCP website
(https://www.hss.energy.gov/deprep/ftcp/directives/T
QPAssessments.doc). Addressing each criterion for
the objectives is not necessary; however, any
criterion that is not achieved should be identified
as a deficiency for that objective.
• Attachments. Include the following.
o Objectives and criteria used for the evaluation.
o List of team leader and team members, including a
brief description of their backgrounds and
experience.
o List of people contacted, activities observed, and
documents reviewed.
o Any other information the team leader deems
pertinent.
e. Accreditation Board.
Five members of the TQP Accreditation Board meet as a
voting board to consider the TQP for accreditation or
accreditation renewal. The Board typically meets
approximately two to three months following the
accreditation review team evaluation. The composition
of the voting board includes one senior executive from
NNSA, the Office of Environmental Management, Office of
Science, or other PSO; one senior executive from HSS;
one manager of a field or site office; the CDNS or CNS;
and one outside expert. Board members should not be
directly associated with the TQP that is being
considered for accreditation. Board members should be
knowledgeable about the TQP, receive training on the
accreditation process, and be approved by their PSO.
For each Board conducted, the Chair will be the senior
executive from HSS.
The TQP Accreditation Board meeting is attended by the
responsible managers from the organization requesting
accreditation, including the senior manager responsible
for the TQP. Attendance is at the discretion of the
organization requesting accreditation; however, it is
essential that a senior manager who can make
commitments to the Accreditation Board be present. The
accreditation review team leader is also present at the
meeting. Based on the information contained in the
accreditation review team report, the Board members
assess the status of the TQP and interact with FEMs and
the accreditation review team leader. The TQP
Accreditation Board decision is based on a comparison
of the TQP with the accreditation objectives and
supporting criteria, status of corrective actions for
any identified problems, and interactions with
organizational managers during the meeting. Based on a
majority vote, the TQP Accreditation Board will make
one of the following recommendations to the Deputy
Secretary of Energy.
• Award initial accreditation (or defer initial
accreditation pending completion of corrective
actions and additional Board review).
• Renew accreditation.
• Place accredited TQPs on probation. (A TQP placed on
probation retains accredited status.)
• Withdraw accreditation.
The Deputy Secretary of Energy will make the final
decision regarding TQP Accreditation.
f. Maintaining Accreditation.
Organizations maintain TQP accreditation by continuing
to implement and improve their programs in accordance
with the objectives and criteria. By various means (for
example review of site events or HSS reviews), the TQP
Accreditation Board may learn that one or more
accreditation criteria are not being met for an
accredited program. For each such reported problem, the
Panel Chair will consult with the Deputy Secretary,
and, at the request of the Deputy Secretary, may
initiate a review commensurate with the apparent
magnitude of the problem. If such a review is
conducted, the Panel Chair will inform the appropriate
managers of the problem and will either request
additional information or have a team conduct an onsite
review of the affected program. If appropriate, the
affected DOE managers will be asked to demonstrate to
the TQP Accreditation Board that accreditation of the
affected program should be continued.
Organizations for those TQPs placed on probation submit
a corrective action plan to the TQP Accreditation Board
within 30 days of being notified of probationary
status. The corrective action plan should address all
issues identified by the Accreditation Board and
identify any mitigating or compensatory measures. The
organization should submit monthly reports to the
Accreditation Board indicating the status of
implementing the corrective actions to improve the
program. An accreditation review team may review
activities at the site to determine if corrective
actions are being effectively implemented. The TQP
Accreditation Board will review the status of
probationary programs on a quarterly basis and decide
if the organization should remain on probation, if
accreditation should be restored, or if accreditation
should be withdrawn.
Accreditation is valid for four years. The organization
is expected to continue to maintain and implement the
TQP in a manner that meets the objectives and criteria
and ensures a robust program. Renewal of accreditation
is accomplished by the same process as initial
accreditation, and involves both a self-evaluation
report submitted by the organization as well as a
review by an onsite accreditation review team.
3. ACCREDITATION OBJECTIVES AND CRITERIA.
The TQP objectives and supporting criteria are described in
“Assessment of Technical Qualification Program” posted on
FTCP website
(https://www.hss.energy.gov/deprep/ftcp/directives/TQPAssess
ments.doc).
4. SELF-EVALUATION REPORT GUIDANCE AND FORMAT.
a. Self-Evaluation Process.
Line manager and staff involvement in, and support of,
the self-evaluation process are the foundation of the
TQP accreditation effort. This includes their
involvement in the self-evaluation of the program and
the preparation of the accreditation self-evaluation
report. In assessing TQP effectiveness, line managers
and staff determine whether the program is resulting in
measurable improvements in the organization.
Accreditation evaluations are performed using the
objectives and supporting criteria as described in
“Assessment of Technical Qualification Program”
posted on FTCP website
(https://www.hss.energy.gov/deprep/ftcp/directives/TQ
PAssessments.doc). The strengths and areas for
improvement are substantiated with examples and
selected anecdotal evidence that help clarify and
provide perspective on their scope and depth. The
root or contributing causes of areas for improvement
are investigated, and actions are taken to correct
the problems. Corrective action effectiveness reviews
verify that problems identified in self-evaluations
remain corrected.
b. Development of a Self-evaluation Report.
The results of accreditation self-evaluations are
described in a report submitted approximately two
months before a TQP accreditation review team
evaluation. The accreditation self-evaluation report is
a standalone document that conveys the health of the
TQP. For accreditation renewal, the report also
describes the results of ongoing and periodic focused
self-assessments conducted during the accreditation
period. As such, report quality can be enhanced by
maintaining and periodically updating it, rather than
reflecting the results of a single comprehensive
evaluation.
Two months before the accreditation review team visit,
the senior manager responsible for the organization
requesting accreditation submits an approved
self-evaluation report to the executive director of the
TQP accreditation support office. The purpose of the
report, together with an accreditation review team
evaluation report, is to communicate sufficient
information regarding the health of the TQP to
facilitate an accreditation or accreditation renewal
decision by the TQP Accreditation Board. Report content
includes program strengths and areas for improvement,
important program changes since accreditation or the
last accreditation renewal, and brief descriptions of
how each TQP Assessment Objective included in the
document is met. The report will be submitted to the
TQP Accreditation Board for accreditation or
accreditation renewal consideration; it should be
written with that audience in mind.
Organizations are encouraged to be critical in
evaluating their TQPs and candid in describing areas
for improvement. The report summarizes the root or
contributing causes for areas for improvement and
corrective actions taken or planned. The section of the
report that requires a written description of how each
objective is met can be organized by addressing each
criterion associated with the objective, or the
objective description can be presented in a narrative
format. The decision on which option to use is left
entirely to the discretion of the organization
submitting the report. The TQP Accreditation Board
decision, however, will be based on how well each
objective is met, not on whether any particular
criterion is met.
c. Definitions of Key Terms for Accreditation
Self-Evaluation Reports.
(1) Area for Improvement. A TQP-related issue or
problem that contributes to an accreditation
objective not being fully met or that adversely
impacts future TQP effectiveness is an area for
improvement.
(2) Strength. This is an objective-level positive
aspect of the TQP that is key to achieving
superior performance. A strength adds significant
value or improves organizational performance, as
demonstrated by the following elements:
• enhanced ability of the organization to
implement the TQP;
• successful implementation based on performance
results;
• efficient use of organizational resources; and
• potential to serve as a model for other
organizations to emulate.
(3) Noteworthy Information. This refers to comments
included in the discussion section of the report
that describe the quality of the TQP and provide
perspective on the effectiveness of the program.
Noteworthy information may be positive, but not
strength or it may be a less significant problem
or precursor to a more significant problem. For
example, positive noteworthy information could be
an aspect identified during a self-evaluation that
is not considered strong enough to be called
strength. Conversely, negative noteworthy
information could be a problem that is not
substantial enough to be considered an area for
improvement. Noteworthy information provides
additional management perspective that can be of
value to the accreditation review team and to the
Accreditation Board.
d. Format of the Self-Evaluation Report.
The self-evaluation report includes the following
sections.
(1) Introduction and Summary.
This section is used to share management’s
perspective on the TQP with the accreditation
review team and the Accreditation Board. It is
expected that each organization will include
information that best conveys the appropriate
perspective on the TQP. This section is normally
one to three pages and should include information
such as:
• significant organizational performance issues
and regulatory interactions that have helped
shape the current organizational culture;
•
• strategic plans or events that have affected or
are likely to affect the TQP, such as changes
in staffing or loss of experienced personnel;
• overall management-level statement of how the
TQP has been used to facilitate excellence in
performance and strategy for the future; and
• description of how the accreditation
self-evaluation report was prepared, the
composition of the team, and the base of
self-evaluation information used to develop the
report.
(2) Mission and Organization.
This section is used to describe the mission(s)
and functions of the organization requesting
accreditation. The section also describes the
organizational structure including high-level
organizational charts, functions, and
responsibilities.
(3) Self-Evaluation Results (by Objective).
This section comprises the majority of the
self-evaluation report. Each objective is
addressed individually in its own section. The
following information is included for each
objective.
• Discussion of Objective: Include noteworthy
information and a brief summary of the status
of how the objective is achieved. This section
can be organized to address each criterion
associated with the Objective or can be
presented in a narrative format. In either
case, address the following information for
each Objective using examples and limited
anecdotal evidence, where appropriate, to
provide perspective.
• Strength(s): Include examples and applications
of the strength, and describe the benefits
achieved by the strength.
• Area(s) for Improvement: Include date of
identification, examples of the problem, root
or contributing causes, actions taken or
planned to correct the problem, and results of
effectiveness reviews, if performed.
NOTE - If no strengths or areas for improvement
have been identified for the objective, then
include the following statement: “No
objective-level strengths or areas for improvement
were identified.”
APPENDIX D
SAFETY SYSTEM OVERSIGHT, DUTIES, RESPONSIBILITIES,
KNOWLEDGE, SKILLS, AND ABILITIES
1. OVERVIEW. System Safety Oversight (SSO) personnel are a key
technical resource qualified to oversee contractor
management of safety systems at DOE defense nuclear
facilities. Unlike Facility Representatives (FRs), who are
responsible for monitoring the safety performance of DOE
defense nuclear facilities and day-to-day operational
status, staff members assigned to SSO are responsible for
overseeing assigned systems to ensure they will perform as
required by the safety basis and other applicable
requirements. SSO personnel are highly qualified people who
perform assessments and investigations to confirm
performance of assigned safety systems in meeting
established safety and mission requirements and review
sections of the Documented Safety Analysis (DSA) related to
these systems. DOE line management is responsible for
oversight of safety at DOE facilities and for meeting
mission objectives and goals. Integrated Safety Management
(ISM) System processes help to ensure systems are able to
perform their design safety functions. Effective
implementation of ISM relies upon the ability to apply
engineering expertise to maintain safety system
configuration and assess system condition and effectiveness
of safety management program implementation. Federal staff
requires a working knowledge of assigned systems and the
contractor’s application of the cognizant system engineer
concept and safety program management as described in DOE O
420.1B, Facility Safety.
The SSO Qualification Program is a key part of the Technical
Qualification Program (TQP), considered an additional level
of technical qualification, and builds upon technical
discipline competencies.
2. DUTIES AND RESPONSIBILITIES.
a. SSO Personnel.
(1) Maintain communication and oversight of
systems and monitor performance of the
contractor’s Cognizant System Engineer
Program.
(2) Attend selected contractor meetings with FRs and
contractor personnel responsible for system
performance (e.g., cognizant system engineers,
design authorities, and program managers), review
system health/status reports, review test results,
interface with external organizations that can
provide insights on performance, and perform other
oversight activities on a routine basis.
(3) Perform assessments, periodic evaluation of
equipment configuration and material condition.
The effect of aging on system equipment and
components, the adequacy of application of work
control and change control processes, and
appropriateness of system maintenance and
surveillance should be considered with respect to
reliable performance of safety functions.
(4) In conjunction with FRs, perform evaluations of
contractor troubleshooting, investigations, root
cause evaluations, and selection and
implementation of corrective actions. SSO
personnel may also be requested to respond to off
normal and/or off normal hours events and
investigations and be able to provide relevant
insights and serve as the DOE recognized expert on
issues related to assigned areas.
(5) Provide support to other Federal employees as
appropriate. This may include program and
project managers responsible for supervision of
facility safety systems installed in new and
modified facilities. It may also include those
managing the implementation of ISM in the
operation, maintenance, and configuration
management of facility safety systems.
(6) Assess contractor compliance with relevant DOE
regulations, industry standards, contract
requirements, safety basis requirements, and other
system requirements.
(7) Confirm configuration documentation, procedures,
and other sources of controlling information are
current and accurate.
(8) Report potential or emergent hazards immediately
to DOE line management and FRs, and stop tasks, if
required, to prevent imminent impact to the health
and safety of workers and the public, to protect
the environment, or to protect the facility and
equipment and immediately notify the on-duty or
on-call FR.
(9) May serve as a qualifying official in the
development or revision of Functional Area
Qualification Standards (FAQS), mentor assigned
backups, and qualify other candidates to the same
FAQS attained to achieve SSO qualification.
(10) Maintain cognizance of the appropriate funding and
resources to maintain and improve safety systems.
(11) May perform additional duties and
responsibilities, as assigned by their respective
FEMs, if needed to meet specific requirements of
their sites/facilities, systems/program
activities, or other involved organizations.
b. Field Element Managers.
(1) Establish SSO qualification programs as part of
the TQP.
(2) Establish appropriate training and performance
requirements for SSO personnel and hold
supervisors of SSO personnel accountable for
achieving them.
(3) Define SSO requirements and ensure that SSO
staffing needs are filled.
(4) Clearly define the functions, responsibilities,
and authorities of personnel assigned to perform
SSO and their interface/support of FRs. Ensure
affected DOE and contractor managers understand
their roles and relationships to FRs and the
contractor’s cognizant system engineers, and
provide the necessary access and support.
(5) Verify that SSO candidates possess the required
level of knowledge or skills to perform
assessments and investigations to confirm
performance of safety systems in meeting
established safety and mission requirements.
(6) Assign qualifying officials to sign site-specific
qualification cards.
c. Supervisors with Responsibilities for SSOs.
(1) Maintain STSM qualification.
(2) Develop site-specific SSO qualification standards
and cards for safety systems and safety management
programs.
(3) Identify and approve candidate selection.
(4) Establish SSO personnel qualification schedules.
(5) Facilitate SSO qualification (e.g., ensure
sufficient time and training is provided to
complete qualification tasks).
(6) Train and qualify SSO candidates so they are
capable of performing assigned duties.
(7) Ensure SSO responsibilities are included and
maintained in individual performance plans.
(8) Ensure SSO qualifications are maintained current
by training and assignments planned in IDPs.
(9) Periodically evaluate program effectiveness and
serve as management advocates within their
respective field elements to resolve programmatic
issues.
3. SSO KNOWLEDGE, SKILLS, AND ABILITIES.
a. Consistent with this Order, each field element
organization develops a TQP to include the knowledge,
skills, and abilities listed below for all SSO
personnel. It is understood that as part of the TQP,
all SSO personnel acquire the necessary basic technical
knowledge and technical discipline competencies linked
to their individual job descriptions. In addition, the
overall competency expectation for SSO personnel is
that they have a working knowledge of and ability to
oversee those safety systems to which they have been
assigned. The following knowledge, skills, and
abilities were developed to meet this expectation.
(1) Identify and describe the Authorization Basis (AB)
documents and describe the function and purpose of
the assigned safety systems and major components
and how these functions support the full spectrum
of system operations.
(2) Given the major design basis supporting analyses,
system design descriptions, calculations, and
other information sources, explain how system
performance requirements satisfy the AB.
(3) Describe the maintenance requirements of the
safety system, describe how to determine the
status and adequacy of contractor maintenance
activities, and explain how the contractor
maintains the configuration of the safety system
(both physical and document configuration)
throughout the work control and design change
processes.
(4) Describe the unreviewed safety question process
and its importance for maintaining the original
safety basis.
(5) Describe the contractor’s Cognizant System
Engineer Program, the program’s role in
maintaining and improving safety system
performance, the key criteria for determining that
this role is adequately performed, and how to
assess the program to confirm it is fulfilling
assigned responsibilities.
(6) Describe the key considerations in preparing and
implementing a troubleshooting plan to determine
the root cause for equipment failures (e.g.,
evidence preservation, need for contingencies,
application of ISM to trouble shooting). Describe
how to obtain related facility or industry
experience to support the cause determination.
b. In addition to evaluating and documenting how the above
knowledge, skills and abilities have been achieved as
part of the SSO personnel qualification, field element
organizations should also use practical exercises such
as the following to evaluate SSO staff knowledge,
skills, and abilities.
(1) Performing walk-downs of the system and/or
contractor facilities to demonstrate how system
requirements and performance data are gathered.
(2) Conducting (preferably leading) performance-based
assessments (through walk-downs, interviews,
document reviews, and field observations) to
confirm that
(a) AB documents are accurate and adequately
maintained;
(b) system operation, maintenance, and
performance is in accordance with this basis;
(c) the effect of aging on system equipment and
components is addressed; and
(d) the contractor has an adequate Cognizant
System Engineer Program (e.g., staffing,
qualifications, responsibilities, programs)
for monitoring, maintaining, and improving
system performance.
Achievement and demonstration of knowledge, skills,
abilities, and related practical factors are fully
documented on the SSO candidate’s qualification card.