Objective - hdbk3027990055

DOE-HDBK-3027-99

OBJECTIVE

MG.3 Feedback information on the effectiveness of the ISMS is gathered, opportunities for

improvement are identified and implemented, line and independent oversight is conducted, and, if

necessary, regulatory enforcement actions occur. (CE I-6, CE I-7, CE I-8)

Criteria

1. Contractor procedures describe clear roles and responsibilities to provide feedback and

continuous improvement including line management responsibility for safety.

2. Contractor procedures ensure that competence is commensurate with the responsibilities

to provide feedback and continuous improvement.

3. Contractor procedures ensure that priorities are balanced to ensure feedback is provided

and continuous improvement results.

4. Contractor procedures require line and independent oversight or assessment activities at

all levels. Oversight and assessment activities verify that work is performed within agreed

upon controls.

5. Contractor procedures ensure oversight or assessment results are managed to ensure

lessons are learned and applied; that issues are identified and managed to resolution; that

fundamental causes are determined and effective corrective action plans are developed and

implemented.

6. Contractor procedures ensure that performance measures or indicators and performance

objectives are developed in coordination with DOE as required. Contractor procedures

require effective management and use of performance measures and objectives to ascertain

the status of the ISMS.

7. Contractor procedures provide for regulatory compliance and enforcement as required by

rules, laws, and permits such as PAAA, NEPA, RCRA, CERCLA, etc.

Approach

Record Review: Review corporate/site manuals of practice to determine that the procedures,

processes and requirements that meet this objective are effective. The review should include

determining compliance with regulations in accordance with laws, rules, and permits.

Review the results and schedules of self and independent assessments. Review procedures for

scheduling and tracking routine assessments. Track issues identified during assessments to

completion. Assess the effectiveness of the assessment and feedback process to achieve

process improvement.

Review the issues management program for adequacy, effectiveness, and support for process

improvement.

Review the performance measures or indicators and performance objectives. Ensure that a

process has been established to measure the performance of the ISMS. Review the process

A-2-17