Combined Phase I and Phase II ISMS Verifications Lessons Learned

DOE-HDBK-3027-99

COMBINED PHASE I AND PHASE II ISMS VERIFICATIONS LESSONS LEARNED

These lessons learned were developed during the conduct of a site-wide verification of the

contractor' ISMS Descriptions (ISMS Manual) at the Rocky Flats Environmental Technology

Site during the period of January 12-23, 1998. This verification covered both Phase I (evaluation

of the ISMS Description and manuals of practice) and Phase II (assessment of implementation in

Buildings 371 and 664). Most of the lessons are of a general nature and are expected to be of

benefit across the complex as ISMS verifications are planned and conducted.

The decision to conduct a combined review, such as the one discussed here, must be evaluated on

a site specific basis. This decision should consider the degree of progress made by the contractor

both in the preparation of an ISMS Description and in the implementation of this Description.

Care must be taken to prevent one phase of the review from taking precedence over the other.

The Team Leader must clearly define the scope of each phase from the outset. As the verification

progresses, the Team Leader should ensure his/her team members are giving all elements of the

review proper attention.

1. Team Size and Composition. The team assembled for this verification was headed by an

approved Team Leader from RFFO and was comprised primarily of RFFO personnel. Mentors,

consisting of personnel having experience during the Savannah River ISMS verifications, were

assigned to assist the team with the review. The total team consisted of 34 members including

the Team Leader, a deputy team leader, 6 mentors, 23 team members, and 3 administrative

support personnel. A significant factor in determining the size of the team was the need to

develop a cadre of RFFO staff capable of conducting subsequent ISMS reviews. A smaller team

could accomplish the verification if they are experienced in ISMS processes and verification

techniques and have previously served as a verification team member. As in the SRS experience,

team member capability is considered beneficial in conducting ISMS verifications including:

Expertise in a functional area

Site experience (especially familiarity and understanding of site programs)

Assessment experience (Assessments, Audits, and/or ORRs)

Conceptual working knowledge of ISMS (Knowledge of ISMS Policy, ISMS Guide,

and Verification Team Leader' Handbook)

C Familiarity with the DOE Level I FRAM, DOE M411.1-1

When staffing an ISMS verification team from on site personnel, it is essential to ensure that

personnel assigned are able to devote full time to the verification. It is also important that the

individual selected have an ability to put personal agendas or issues aside in order to ensure an

objective and balanced assessment.

2. Functional Areas Selected for Review. Five functional areas were established for the review

were similar to the SRO effort. These areas were:

Business, Budget, and Contracts

Hazards Identification and Standards Selection

Management

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