The Phase I Verification

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assembling the dedicated team of safety professionals by placing high priority on the effort. This

may ensure that the selected team members are made available for the duration of the verification.

As more experience is gained in ISMS verifications, it is envisioned that each DOE site should be

able to conduct these reviews, when appropriate, using their own qualified staff. A goal of this

handbook is to provide information useful in developing personnel to conduct these reviews. In

all cases, the review should be well coordinated and documented and should confirm the

capability of DOE and the contractor to implement all aspects of the ISMS as required in DOE

policies, the DEAR, and the FRAM. The role of DOE in the success of the ISMS implemented

by the contractor is a major one that cannot be overstated.

It is Departmental policy (DOE P 450.4, 450.5, and 450.6) that safety management systems are

integrated into management, operations, and work practices at all levels of the Department's

facilities. In simple and straightforward terms, the department will "do work safely." These

concepts are embodied as requirements in the DEAR clause of 48 CFR 970, the FRAM, and as

amplified by DOE policies as noted above and in DOE G 450.4-1. The Department is committed

to achieving an integrated safety management system for all its activities as appropriate. This

handbook provides an acceptable process for the review and approval of the ISMS Description

plus approaches and methodologies for evaluation of the implementation of these agreements in

site and facility operations.

According to the DEAR Clause, "Guidance on the preparation, content, review, and approval of

the system will be provided by the contracting officer." The "system" being described is the

Integrated Safety Management System (ISMS) and the means by which the ISMS is normally

presented to DOE for review and approval is for the contractor to prepare an ISMS Description.

Experience has shown that the Contracting Officer's guidance is best developed through a process

that includes consultation with the contractor. So, it may evolve somewhat as the actual ISMS is

being developed. It is, therefore, important that the ISMS Description be maintained under a

configuration and change control process. The Contracting Officer's guidance to the contractor

will be used by the ISMS verification team as one of the principle elements against which the

ISMS is reviewed.

For the ISMS to be effective, contractor and DOE field organizations must integrate the

contractor' ISMS with DOE requirements outlined in DOE M 411.1-1, MANUAL OF

SAFETY MANAGEMENT FUNCTIONS (FRAM). At the Field Element level these

requirements are promulgated in lower tiered Functions, Responsibilities, and Authorities (FRA)

documents. The FRAM/FRA documents highlight many important DOE functions necessary for

the development and implementation of an ISMS. These DOE functions will also be reviewed

during ISMS verifications. DOE elements essential to the development and implementation of

ISMS are discussed in detail in Volume I, Chapter III of DOE G 450.4-1, ISMS GUIDE.

5.2 The Phase I Verification

The following sections broadly describe the activities, decisions, and sequence of events

necessary to provide the Approval Authority with a recommendation for the approval of the

ISMS Description for a given site, facility, or activity. The Phase I verification process is

outlined by a flow chart, which is included as Figure 1 of this handbook.