Understanding the Necessary and Sufficient (N&S) Closure Process

DOE-HDBK-1148-2002

5.0

Understanding the Necessary and Sufficient (N&S) Closure Process

The authority for Process use is established in the contracting mechanisms specified in the

Department of Energy Acquisition Regulation (DEAR). When adopted, it is envisioned that the

Process will form a key tailoring mechanism for the standards set established within a formally

structured Integrated Safety Management System (ISMS). The Process always builds on the

cooperative engagement of the parties involved and will not function properly if this precept is

not fully understood and honored. The Process promotes good communication among all

participants and a recognition that the application of the Process is tailored based on the work,

hazards and work place. Poor communication and preemptive rigidity in Process

implementation are signs that an "agreement to agree," that is the basis for cooperative

engagement, is lacking. Frequently asked questions with corresponding answers concerning

the N&S Process are provided in Appendix A.

5.1

Incorporation of the Process within the Integrated Safety Management System

(ISMS)

DOE P 450.4, Safety Management Policy, commits the Department to conducting work

efficiently and in a way that provides reasonable assurance of adequate protection of workers,

the public and the environment. Demonstrating ISMS effectiveness is more than just an internal

affair between the Department and its contractors. While protecting the environment and the

safety and health of the public and workers, DOE is also committed to demonstrating good

stewardship of resources, and to building public trust and confidence in its programs and plans.

The Department has deliberately adopted a standards-based approach to safety management

that is intended to allow for good judgment in work design and resource allocation. This

approach creates consistency and stability of expectations and accountability, permits judgment

to be exercised at the level appropriate to effective management, and helps people do their jobs

through teamwork. These features are the outward sign of an effective ISMS at work. Central

to understanding ISM are the five core functions and seven guiding principles that undergird the

contract requirements that mandate an ISMS. Key references for the establishment of ISMS

include DOE P 450.4, Safety Management Policy; DOE G 450.4-1, Integrated Safety

Management System Guide; DEAR 970.5204-2, Integration of Environment, Safety, and Health

into Work Planning and Execution; and DEAR 970.5204-78; Laws, Regulations, and DOE