Criteria and Review Approach Template for Phase I ISMS Verifications

DOE-HDBK-3027-99

The following set of criteria and review approach documents (CRADs) provide a template for

developing a tailored approach for conducting a Phase I ISMS verification of an ISMS

Description. As discussed in Volume 2, Appendix E of DOE G 450.4-1, ISMS Guide, this review

is an assessment of the adequacy of the ISMS documentation as submitted to the Approval

Authority by the contractor. To be successful, Phase I is not just an administrative review of the

ISMS documentation, but is also a review of the procedures, policies, and manuals of practice

used to implement safety management. The review evaluates how these procedures, policies, and

manuals of practice have been implemented at the upper levels of management and includes

detailed discussions with key management personnel who are assigned, or will be assigned, safety

management responsibilities. The primary goal for the review is to provide a recommendation to

the approval authority as to whether the ISMS documentation should be approved. To reach that

conclusion, it is necessary to develop a complete understanding of the safety management

programs and to determine that, when implemented, they will satisfy DOE requirements for ISMS

and adequately manage the work safely. The review also includes an assessment of the adequacy

of the local DOE office responsibilities as they relate to ISMS interface functions, responsibilities,

and authorities.

Each CRAD objective includes a reference to the specific ISMS Core Expectation (CE) it

addresses. The referenced CE as delineated in DOE G 450.4-1, ISMS Guide, and Appendix 1 of

this handbook is included in parenthesis after the statement of the objective.

The full scope of the review of DOE responsibilities to support the development of ISMS is

contained in the Business, Budget and Contracts (BBC), Hazards Identification and Standard

Selection (HAZ), and DOE CRADs. These review approaches involve the review of DOE

programs and policies, interviews with DOE managers, and selected observations of DOE

interactions with the contractor. In preparation of the tailored CRADs for the DOE review, the

applicable DOE FRAM/FRA documents should be reviewed to determine the extent of the

review approaches. The policy does not specifically require a verification of DOE performance.

It is recommended that the Team Leader negotiate the inclusion of DOE in their verification.

Integrated Safety Management policy requirements are applicable to subcontractors as well as the

Management and Operation (M&O) or Management and Integration (M&I) contractors. This

applies to M&O/M&I subcontractors and any contractors working for DOE, if applicable. The

DEAR clause specifies that the subcontractors be required to either develop an individual ISMS

Description or to meet the requirements of the M&O/M&I ISMS Description. Therefore, it is

necessary that the ISMS verification include subcontractors and that as appropriate their ISMS

Description be evaluated utilizing the same core expectations. The CRADs should be

appropriately tailored to include the subcontractors.

A-2-3