The Phase II Verification

DOE-HDBK-3027-99

Phase I is a review of the Description of the Integrated Safety Management System developed by

the contractor in response to formal direction provided by the Approval Authority in accordance

with the ISM DEAR clause. To be successful, Phase I should not just be an administrative

review of the ISMS Description, but should also be a review for adequacy of the procedures,

policies, and manuals of practice used to implement safety management. The review should

evaluate whether the procedures, policies, and manuals of practice adequately address the

functions and the principles of the ISMS Description prepared by the contractor. Implementation

of these procedures, policies, and, manuals of practice at the upper levels of management should

be evaluated by detailed discussions with key management personnel who are assigned, or will be

assigned, safety management responsibilities. The primary goal of the Phase I review is to

provide a recommendation to the Approval Authority as to whether the ISMS documentation

should be approved. This handbook is intended to be used as a tool to help in determining the

adequacy of the submitted documentation.

The ISMS verification should be a well structured review process and should be conducted by a

review team of qualified team members led by a Team Leader who is selected from a list of

approved team leaders. The ISMS verification team members are selected by the Team Leader

who prepares and trains the team. The team will prepare a Review Plan (RP), conduct the

review, and provide a report of the review to the Approval Authority. This report will include a

recommendation for approval, or identify the actions required for approval to be recommend.

5.3 The Phase II Verification

The following section broadly describes the activities, decisions, and sequence of events to help

the Approval Authority in determining the adequate implementation of the ISMS at a site, facility,

or activity. The Phase II ISMS verification process is outlined by a flow chart included as Figure

2 of this handbook.

The purpose of Phase II is to verify that the contractor' ISMS submitted to and approved by the

Approval Authority is in-place at the site, facility, or activity. The Phase II review is developed,

prepared, and conducted by a team of safety management professionals. Like the Phase I

verification, the Team Leader is selected by the Approval Authority from a list of approved Team

Leaders. The team members are selected by the Team Leader who leads the preparations and

training of the Team Members. The team then prepares a Review Plan (RP), conducts the

review, and provides a report of the review to the Approval Authority. For continuity, team

members from the Phase I verification should be used for Phase II to evaluate the response to

Phase I issues.

5.4 Combined Phase I and Phase II Verification

At some sites, facilities, and activities the status of implementation of the ISMS has been viewed

by the contractor and the DOE HCA as mature. Thus, it was the view of the contractor and the

HCA that verification of implementation (Phase II verification) could be conducted at the same

time as the verification of the adequacy of the ISMS Description (Phase I verification).

Experience gained as a result of conducting a combined Phase I and Phase II review has provided

several lessons learned: