ISMS Phase II Verification Specifics

DOE-HDBK-3027-99

970 (DEAR) are met. A secondary purpose of the review is to evaluate the role of DOE in

support of the contractor' ISMS. For the most part, this is an administrative review of the ISMS

Description and a review of the line management processes that will be used to implement the

ISMS. However, to be successful, the Phase I review should not just be an administrative review

of the ISMS documentation but should also be a review of the procedures, policies, and manuals

of practice used to implement safety management. The team should seek an understanding of

how management integrates the documentation's processes to "perform work safely." It is

anticipated that the Approval Authority will require that a high hazard and high activity site,

facility, or activity will be required to undergo a more rigorous and in-depth ISMS review than

one of a lesser hazard. The CRADs detailed in Appendix 2 of this handbook are provided as a

template to assist in the preparation of a tailored review approach for the appropriate site,

facility, or activity. These approaches, developed by the Team Leader with assistance from the

team, should be included in the RP.

An important consideration in planning and conducting the review is to verify the adequacy of

the "integration" which the ISMS Description provides. Integration must be evident from the

DOE direction concerning programs and mission through the site or corporate level direction to

the intermediate level, the facility, and finally to the individual work or process action level. For

example, work at the activity level should be consistent with budget commitments and

agreements between DOE and the contractor. Similarly, work control hazard analysis procedures

at the worker level should be consistent with the corporate or site level descriptions. There

should also be integration across functional areas. Each functional area (criticality, environmental

protection, worker protection, etc.) must be integrated with other safety functions such that all

relevant safety functions are addressed.

The core functions of safety management should be addressed in a manner that is consistent with

the appropriate guiding principles. Take for example, line management responsibility for safety in

the core function of analyzing hazards. The roles and responsibilities ensuring that line

management responsibility for safety when analyzing hazards must be clearly defined. Similarly,

the other individual core functions should be integrated so that the decisions and information

from one function to an adjacent function is fully and consistently used. For example, the work

controls that are in place for a specific maintenance action must be consistent with the hazards

that were analyzed for that maintenance action. The ISMS Description must provide for this

integration and the Review Plan should require evaluation of the effectiveness of integration

concepts.

6.3.4 ISMS Phase II Verification Specifics

The purpose of the Phase II review is to provide the Approval Authority with an assessment of

the status of the ISMS implementation for a given contractor site, facility, or activity. It is

essential that the Phase I review be completed prior to the Phase II review except in those case

where the Phase I and Phase II reviews are combined. The review methodology at this point

should concentrate on the implementation of documentation, that is the manuals of practice or

mechanisms used. Appendix 3 of this handbook contains a template of CRADs that can be used

to develop a tailored review approach for a specific site, facility, or activity. CRADs should

reflect the known conditions of the facility or activity as well as the work that is conducted. The

Review Plan should be designed to take advantage of past reviews and assessments.