Phase II Core Expectations

DOE-HDBK-3027-99

9. The DOE Approval Authority should have a set of processes that interface efficiently and

effectively with the contractor organization. (CE I-9)

Phase II Core Expectations

The following eight core expectations should be considered during a Phase II assessment of

ISMS implementation following the approval of the ISMS Description. This assumes that the

Approval Authority has formally approved the ISMS Description or has approved it with

comments. This acknowledges that contractor ISMS programs are satisfactory at the corporate

or site level. Any comments that affect the adequacy of the safety management programs should

be resolved and incorporated before the Phase II review occurs.

1. An integrated process has been established and is utilized to identify and prioritize specific

mission discrete tasks, mission process operations, modifications and work items. (CE II-

2. The full spectrum of hazards associated with the Scope of Work is identified, analyzed,

and categorized. Those individuals responsible for the analysis of the environmental,

health and safety, and worker protection hazards are integrated with those personnel

assigned to analyze the processes. (CE II-2)

3. An integrated process has been established and is utilized to develop controls that mitigate

the identified hazards present within a facility or activity. The set of controls ensure

adequate protection of the public, worker, and the environment and are established as

agreed upon by DOE. These mechanisms provide integration, which merge together at

the workplace. (CE II-3)

4. An integrated process has been established and is utilized to effectively plan, authorize

and execute the identified work for the facility or activity. Both workers and management

demonstrate a commitment to ISMS. These mechanisms demonstrate effective

5. A process has been established and is utilized which ensures that mechanisms are in place

to ensure continuous improvements are implemented through an assessment and feedback

process, which functions at each level of work and at every stage in the work process.

(CE II-5)

6. Clear and unambiguous roles and responsibilities are defined and maintained at all levels

within the facility or activity. Facility or activity line managers are responsible and

accountable for safety. Facility or activity personnel are competent commensurate with

their responsibility for safety. (CE II-6)

7. DOE ISMS procedures and mechanisms should ensure that work is formally and

appropriately authorized and performed safely. DOE line managers should be involved in

the review of safety issues and concerns and should have an active role in authorizing and

approving work and operations. (CE II-7)

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