Approval Authority Expectations and Scope for the Review

DOE-HDBK-3027-99

Approval Authority Expectations and Scope for the Review

The Approval Authority should discuss the expectations for the ISMS verification in the

appointing letter to the Team Leader. The discussion should define both the expectations of the

Approval Authority and the scope of the review. With a thorough description of the

assumptions, limitations, and the scope of the review, the probability the review will meet the

expectations of the Approval Authority is increased. The following subjects or information

should be considered for inclusion with the appointing letter:

a. A description of the activity to which the ISMS verification applies, or to which the

review is to be limited. This might include an entire site, one or more specific facilities, or

an activity within a facility.

b. A discussion of the background and historical perspective of the ISMS at the site or

facility in question. The discussion should include the maturity of the ISMS and the

adequacy of the existing ISMS and the status of implementation. In some cases, the

ISMS may be very mature and implementation thought to be complete. In other cases,

the ISMS may be newly developed and not yet implemented, as for a new facility that is

not yet completed. This background and historical perspective will help in defining the

scope of the ISMS verification.

c. Whether the review is to be a Phase I or Phase II or a combined Phase I and II, and

whether it is expected that the review will occur in segments.

d. A definition of the scope or focus of the review. For a Phase I review, the scope could be

limited to an ISMS that is developed but not yet implemented. Or, the review could

involve a review of facilities that have a mature safety management system already in

place, that has been routinely evaluated by readiness and operational reviews. In the

second case, the scope of the review could be limited to responses to issues identified in

previous reviews and to changes since the previous reviews. However, an ISMS review

should never simply be a validation of a plan for a future ISMS. That is, the verification

must review the ISMS Description and implementing program requirement documents.

Similarly, a Phase II review might include all aspects of an implemented ISMS, or only

those areas that were not considered in a recent independent review such as an ORR or an

EH Assessment.

e. The information provided by the Approval Authority to the contractor that specifies the

dates for submittal, discussion, and reviews of the system and the guidance on

preparation, content, review, and approval of the system. This information could be in the

form of an attachment or a reference.

f. If the verification is to be a Phase II review, the report from the Phase I review and the

direction from the Approval Authority to the contractor concerning implementation of the

ISMS should be discussed or attached.

A-4-3