ISMS Verification Report Format cont'd

DOE-HDBK-3027-99

6. Purpose - A discussion of the purpose of the verification and the process of

tailoring the review.

7. Background - A general discussion of the site, facility, or activity and the state of

maturity of the safety management programs.

8. Scope - A discussion of the bounds of the verification if necessary.

9. Prerequisites - An assessment of meeting the Approval Authority' prerequisites.

10. ISMS Assessment Results - The Team Leader should establish the format in which

the assessment results are presented. Past ISMS Verification Reports have presented

results of the verification as they pertain to the Five Core Functions, Seven Guiding

Principles, or designated functional areas. A consistent approach should be specified

and maintained throughout the report.

a. For Phase I verifications, the report should discuss whether the ISMS

Description and manuals of practice adequately address the DEAR, the FRAM,

and the functions and principles of the DOE policies. It should document the

conclusion reached on the adequacy of the contractor's ISMS Description to

conform to the above guidelines as amplified or modified by the Approval

Authority. The report should include a final recommendation to the Approval

Authority regarding approval of the ISMS Description.

b. For Phase II verifications, the report should discuss the implementation of the

documents, procedures, and/or manuals of practice used in the approved ISMS

Description. The report should draw conclusions regarding the state of

implementation of this system by the contractor and DOE. The report should

include an overall conclusion regarding the adequacy of the implementation of

the ISMS at the subject site, facility, or activity.

c. Any deviations from the Review Plan should be discussed, along with the

reasons for the deviation(s), and what alternative actions were taken to

compensate, if required. The detailed documentation to support the

conclusions may be included in an appendix, which consists of the individual

check lists with the accompanying appraisal and issue forms.

d. The specific forms to assist in identifying ISMS issues and concerns and to

document the specific details of the verification are included at the end of this

appendix. The ISMS Verification Assessment Form (Form 1) is used to

document the methods and actions of the team members in conducting the

verification, and documenting the findings and observations identified.

11. Conclusions and Recommendations - An overview of the conclusions and

recommendations.

A-7-5