ISMS Phase II Verification Specifics cont'd

DOE-HDBK-3027-99

The focus of Phase II verification is the implementation of integrated processes for accomplishing

work safely. The documentation of other reviews can be enlightening and reduce the verification

effort. It is an evaluation based on performance of the adequacy of the implementation of the

ISMS. All available information such as previous ORRs, ISMS verifications, EH site

assessments, etc. should be used. It should also include an assessment of facility level

performance.

The Phase II verification is more focused on the planning and control of work including feedback

and improvement. Through the evaluation of work planning, control, and feedback and

improvement, it is possible to evaluate the effectiveness of the implementation of the ISMS

Description. Two different aspects are addressed and evaluated.

(1) Are the practices and mechanisms that are observed relevant to accomplishment of work,

and do they follow and comply with the mechanisms that are discussed in the ISMS

Description?

(2) Do the practices and mechanisms observed during the conduct of actual work meet the

functions and principles of Integrated Safety Management?

The Phase II evaluation is conducted by focusing on the management, operations, and Subject

Matter Expert (SME) areas. Implementation of the Authorization Basis or Authorization

Agreement is evaluated. Practices for definition of individual work (maintenance, processes,

experiments, or construction projects), identification of the hazards associated with the work,

development and implementation of the controls, authorization and control of the actual work,

and feedback and improvement processes are evaluated. The Phase II verification also includes

an evaluation of the status of implementation of the DOE commitments to Integrated Safety

Management. Through this evaluation from the perspective of line management, SMEs, and

DOE, the status of implementation of ISM can be determined.

It is important to recognize that the ISMS Phase II verification is not an ORR that determines the

readiness to conduct work safely. The Phase II verification focus is on the implementation of the

processes through which work is planned and managed to ensure that it is conducted safely. The

Phase II verification is an evaluation as to whether the functions and principles described in the

DOE Policy 450.4 have been effectively translated into policies and procedures and whether

those policies and procedures have been effectively implemented within the workplace.

While the Phase I verification consists primarily of documentation reviews and management

interviews, the Phase II verification is primarily a performance-based review of the functioning

ISMS. This should be clearly reflected in the RP used to guide the Team. The site, facility, or

activity procedures and policies that implement the Phase I requirements should be reviewed to

validate the flowdown of requirements. Personnel in the operations and support organizations

should be evaluated to determine their understanding of these requirements in all appropriate

aspects of operations. Most importantly, the review should include the observation of program

mission operations as a demonstration of the integration of all aspects of the ISMS.