Purpose - hdbk3027990007

DOE-HDBK-3027-99

INTEGRATED SAFETY MANAGEMENT SYSTEMS (ISMS) VERIFICATION

TEAM LEADER'S HANDBOOK

1.0 PURPOSE

The primary purpose of this handbook is to provide guidance to the ISMS verification Team

Leader and the verification team in conducting ISMS verifications. The handbook describes

methods and approaches for the review of the ISMS documentation (Phase I) and ISMS

implementation (Phase II) and provides information useful to the Team Leader in preparing the

review plan, selecting and training the team, coordinating the conduct of the verification, and

documenting the results. The process and techniques described are based on the results of several

pilot ISMS verifications that have been conducted across the DOE complex. A secondary

purpose of this handbook is to provide information useful in developing DOE personnel to

conduct these reviews. Specifically, this handbook describes methods and approaches to:

a. Develop the scope of the Phase I and Phase II review processes to be consistent with the

history, hazards, and complexity of the site, facility, or activity.

b. Develop procedures for the conduct of the Phase I review, validating that the ISMS

documentation satisfies the DEAR clause as amplified in DOE Policies 450.4, 450.5, 450.6

and associated guidance and that DOE can effectively execute responsibilities as described in

the Functions, Responsibilities, and Authorities Manual (FRAM).

c. Develop procedures for the conduct of the Phase II review, validating that the description

approved by the Approval Authority, following or concurrent with the Phase I review, has

been implemented.

d. Describe a methodology by which the DOE ISMS verification teams will be advised, trained,

and/or mentored to conduct subsequent ISMS verifications.

This handbook provides proven methods and approaches for verifying that commitments related

to the DEAR, the FRAM, and associated amplifying guidance are in place and implemented in

nuclear and high risk facilities. This handbook also contains useful guidance to line managers

when preparing for a review of ISMS for radiological facilities, non-nuclear, or non-Defense

Programs facilities. DOE line managers are encouraged to tailor the procedures described in this

handbook for ISMS verifications for low risk facilities.

1.1 Organization of the Team Leader's Handbook

This handbook provides detailed guidance for ISMS verification Team Leaders and team

members in the conduct of ISMS verifications. The handbook should be useful to the ISMS

Approval Authority and to contractors preparing their ISMS for review and implementation and

should be of benefit in developing local DOE personnel to perform ISMS verifications.

Scope: This section discusses the relationship of this handbook to the Department of Energy

Acquisition Regulation (DEAR) and the FRAM, and provides a general overview of the ISMS

verification process.