Integrated Safety Mangement System Verification Core Expectation

DOE-HDBK-3027-99

INTEGRATED SAFETY MANAGEMENT SYSTEM VERIFICATION

CORE EXPECTATIONS

The following core expectations were developed from the requirements of the DOE policies, the

requirements of the DEAR, FRAM, and the fundamental attributes that support the

implementation of ISMS. These core expectations have been developed to provide a reference or

starting point which can serve as the basis for developing the Criteria and Review Approach

Documents (CRADs). The CRADS are tailored to support the verification efforts at the

particular site, facility, or activity. The following core expectations are annotated as being

applicable to Phase I or Phase II. The Phase I core expectations are used to evaluate the

adequacy of the safety management documentation and the establishment of these programs at

the site or corporate level. The Phase II core expectations are used to evaluate the status of

implementation at the facility or activity. There is a complete discussion of the ISMS core

expectations in Volume II Appendix E of the ISMS Guide, DOE G 450.4-1. The core

expectations are reiterated here for ease of reference.

Phase I ISMS Core Expectations

Nine core expectations are recommended for conducting the Phase I review. To be fully

effective, the Phase I review should evaluate whether safety management programs and

institutional processes have been implemented at the site or corporate level.

1. The ISMS documentation is consistent with DOE P 450.4, the DEAR, and the guidance

provided to the contractor by the Approval Authority. (CE I-1)

2. DOE and the contractor effectively translate mission into work, set expectations, provide

for integration, and prioritize and allocate resources. (CE I-2)

3. An ISMS should include methods for identifying, analyzing, and categorizing hazards.

(CE I-3)

4. The ISMS should include methods for establishing and maintaining an agreed-upon set of

safety standards before work is performed. (CE I-4)

5. Contractor policies, procedures, and documents are established and are adequate for the

work or process to be performed safely. (CE I-5)

6. The ISMS should be continuously improved through an assessment and feedback process,

which should be established at each level of work and at every stage in the work process.

(CE I-6)

7. The ISMS should establish that at every level of control, line management must be

responsible for safety. Clear and unambiguous roles and responsibilities should be defined

and maintained at all levels within the organization. (CE I-7)

8. The ISMS should ensure that personnel are competent commensurate with their

responsibility for safety. (CE I-8)

A-1-3