ISMS Verification Techniques cont'd

DOE-HDBK-3027-99

team will develop acceptance criteria for each applicable core expectation along with review

approaches to permit an assessment of the expectations. These tailored review approaches will

be unique to the site, facility, or activity. When they are evaluated as effective, it should be

possible to conclude that the core expectations have been met. The techniques used by the

verification teams will differ; however, it has been shown that a carefully selected sampling of

records, interviews with responsible personnel, and observations of work and operations is

sufficient to evaluate the status of ISMS.

Templates of Criteria and Review Approach Documents (CRADs) have been developed for both

phases of ISMS verifications and are included in Appendices 2 and 3. They serve as a frame of

reference from which a tailored set of CRADs may be developed to fit the particular needs of the

specific ISMS to be reviewed.

The ISMS verification Review Plan (RP) should define how the review will be structured.

Experience shows that the review is best conducted using CRADs grouped along functional

areas. By establishing these groupings, personnel can be assigned responsibilities in designated

review areas in which they have the required expertise. This also is an effective way to distribute

report writing responsibilities and contributes to the overall efficiency of reaching an overall

conclusion. The functional areas most frequently used and found to be effective include:

Phase I

Business, Budget, and Contracts (BBC)

Hazards Identification and Standards Selection (HAZ)

Management (MG)

Department of Energy (DOE)

Phase II

Hazards Identification and Standards Selection (HAZ)

Management (MG)

DOE ISMS Implementation (DOE)

Operations (OP)

Subject Matter Expert (SME)

It has been necessary to include SMEs to ensure that specific safety management functions are

effectively addressed. It is highly recommended that all Phase II verifications include an SME for

Maintenance and Work Control since these are basic functions of all ISM systems. SMEs to be

considered may include experts in the following disciplines:

Criticality Safety

Fire Protection

Industrial Hygiene and Safety

Radiation Protection

Security

Training and Qualification

Maintenance and Work Control