The Report of the ISMS Verification

DOE-HDBK-3027-99

Phase I and Phase II verifications. It is not a trivial exercise to get the Review Plan right. It is

one of the most important challenges of the entire combined verification process.

The conduct of the review must be carefully planned. For the Review Plan to be effectively

utilized, it is necessary that the team determine the status of development of the implementing

mechanisms before evaluating the implementation of those mechanisms at the work place. The

quality and content of the presentations made to the team by the contractor and DOE is key to

success in this important aspect of the verification process. The discussion of the content and

agenda for the presentations provided in Appendix 5 should be carefully considered as the

presentations for a combined verification are being planned.

Another challenge to the combined verification is the final report. The report must clearly define

the recommendation as to whether the ISMS Description should be approved or what changes to

the Description are considered to be necessary. In addition, the report must discuss the status of

implementation of the mechanisms, including a discussion of a recommended path forward to

verify corrective actions or conduct additional verifications, if required. Experience indicates that

the entire verification should be included in a single report. The interrelationships between the

Phase I aspects of the verification and the Phase II aspects are too tightly intertwined to

effectively separate the report of each phase.

Another challenge associated with the report is the decision as to how it should be structured.

Several choices are possible. It could be structured by functional areas or by CRAD. It could

also be structured by the functions and principles of Integrated Safety Management. It could also

be structured with a Phase I and Phase II focus. The choice of how the report is to be focused

and structured must be made before the start of the verification and integrated into the Review

Plan. The Team Leader should review past reports for information and for guidance. The

Approval Authority Letter of Appointment to the Team Leader should also provide insight into

the expectations and the desires of the AA as to the content and the format of the report. The

ability of the team to successful complete the verification including issuing a report, will depend

on the prior planning and decisions associated with the format, focus, and content of the report.

If the conditions at the site, facility, or activity are right, a combined review should be considered.

It will save time and resources for the site and for the verification team. It will challenge the

planning and management skills of the Team as well as the site. It will, however be worth the

effort.

6.4 The Report of the ISMS Verification

The report of the ISMS verification should be the basis by which the Approval Authority will

determine the results of the Phase I or Phase II reviews for the site, facility, or activity. The

report should be sufficiently detailed to allow a knowledgeable reader an understanding of the

verification process. The report should contain a conclusion and recommendation by the Team as

to whether the Phase I or Phase II results meet the direction for that site, facility, or activity. The

report process should have a provision for the team members to provide dissenting opinions or

individual observations not reflected by the team as a whole. In that the report is the record of

the review, it is as important as the review itself.