Review Sequence

DOE-HDBK-3027-99

were prepared so that each team member was responsible for an individual CRAD. This worked

well from the standpoint of report preparation, however, some of the team member' findings

overlapped other functional areas. This required the use of cross references between some

CRADs. When aligning the CRADs to address the five sore safety functions, it is important to

ensure that the CRADs also adequately address the seven principles of ISMS. A technique to

accomplish this is to include specific criteria to address the principles within each CRAD. This

technique is used in the CRAD template for Phase II ISMS verifications contained in Appendix 3

of this handbook. CRADs must be individually tailored for the facility or activity reviewed.

4. Review Sequence. An initial two day team visit to the facility was conducted a week and a

half prior to the start of the review. The actual review occurred in four days, with three days

following used to prepare the report and brief contractor and DOE management.

a. Initial Team Visit. The purpose of this two day visit was to perform required team

indoctrination and training, to meet facility personnel responsible for the management of the

facility, and to discuss the conduct of the review with the facility. The two day time frame

allotted for this was marginal. Three days may be required to effectively plan for this review.

During this visit, the proposed CRADs were provided to the facility for their review and

agreements were reached on records to be reviewed, personnel to be interviewed, and

activities to be observed. The thoroughness of these preparations, as in an ORR, determines

the successful execution of the review. Should the team be composed of site personnel

exclusively, this visit may be shortened; however, it is important to assemble the team as a

group for meetings with the facility personnel. It is important to ensure the team members are

sufficiently indoctrinated that the review is not an operational assessment, but rather is a

review of the implementation of an ISMS program. As such, it is essential that team members

understand that they are to review processes such as the implementation of control systems

and the interactions among interface organizations at the facility. They should be cautioned

not to pursue deficiencies as would be appropriate during an audit. As discussed below, it is

suggested that the initial team visit precede the actual review by at least two weeks to permit

the facility to adequately prepare for the review.

b. Verification. The first day of the review consisted of presentations from the facility

concerning the process to implement ISMS. This briefing should be consistent with the

approved ISMS Description. There was also a companion briefing provided by DOE

managers with oversight responsibilities for the facility. Both the contractor and DOE were

requested to format their briefings to address the individual core safety functions of ISMS.

An outline of the schedule used for these briefings is included at the end of the Phase II

Lessons Learned. Record reviews followed these briefings. Interviews with facility and DOE

personnel were scheduled after the record reviews to permit the team to familiarize

themselves with the material presented by the facility personnel. Observations were scheduled

as time permitted and as occurring in accordance with the facility schedule.

(1). For this review it was specified that the interviews should not start for at least a

day following the facility presentations. This is important to ensure that the facility

has an opportunity to present their ISMS and to ensure that the verification team is

focused on issues identified from the briefings. This schedule worked well.

A-5-15