Contact:

Susan W. Johnson, OIS

301-415-6747

POLICY ISSUE

(Information)

August 23, 2005 SECY-05-0153

FOR: The Commissioners

FROM: Luis A. Reyes

Executive Director for Operations /RA/

SUBJECT: AGENCYWIDE DOCUMENTS ACCESS AND MANAGEMENT SYSTEM: 

SEMI-ANNUAL PROGRESS REPORT FOR JANUARY-JUNE 2005

PURPOSE:

To provide an update on accomplishments related to the Agencywide Documents Access and

Management System (ADAMS) during the period January through June 2005 and to report on

current initiatives. 

BACKGROUND:.

This ADAMS semi-annual report, covering the first six months of 2005, is the third that uses the

“ADAMS Quality Measures and Value Statements” framework to communicate progress on

ADAMS initiatives. The first covered the first six months of 2004 and was sent to the

Commission in August 2004; the second, covering the last six months of 2004, was submitted in

March 2005. The framework is based on 13 measures of quality grouped into four key ADAMS
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components that contribute value to the staff and members of the public who use the system. 

Improving ADAMS based on these components enhances the usefulness of ADAMS and,

thereby, increases NRC’s efficiency and effectiveness in achieving the agency’s regulatory

mission. The staff intends to continue reporting progress on ADAMS activities, measuring user

satisfaction, and planning future ADAMS activities. The staff includes a list of the

enhancements in ADAMS release 4.3.

DISCUSSION:

There were five major areas of activity during this reporting period. These five areas are: (1)

ADAMS release 4.3, (2) continuing development of a Web-based search interface to the

ADAMS Main Library, (3) implementing the ADAMS quality control audit plan, (4) moving to

ADAMS 5.0 (the next generation of ADAMS), and (5) the Sensitive Information Screening

Project (SISP). 

(1) ADAMS Release 4.3

One of the major planned activities was the deployment of ADAMS release 4.3, which was

completed in March 2005. The primary improvements and features of this upgrade to the

ADAMS Main Library include more flexible password controls, a new version of the document

viewer, an enhanced search tool, and an expanded report capability offering users multiple

document formats. Each of these enhancements is described in Attachment 3. 

To assist staff with the new release, a revised version of the ADAMS Desk Reference Guide

was made available both electronically and in paper format. Changes in the ADAMS 4.3

software are clearly highlighted in the new Desk Reference Guide and information on the SISP

review process is also included. The ADAMS Desk Reference Guide can be found in the Main

Library in the ADAMS Documentation folder under the ADAMS Desk Reference Guide 4.3

update folder. It is also available on the ADAMS documentation page on the NRC's Internal

Web site. The guide provides step-by-step instructions for using ADAMS to conduct day-to-day

business and includes detailed screen shots of each step. In addition to the "how to" software

instructions, the guide contains the agencywide business rules associated with using ADAMS to

store Official Agency Records (OARs), route documents, record concurrences, declare

documents as OARs, and make documents publicly available.

(2) Web-based Search Interface to the ADAMS Main Library

Also during this reporting period, OIS staff have continued work on the development of a

Web-based search interface to the ADAMS Main Library. This new interface is based on the

same software products being used to provide Web-based access to the ADAMS Publicly

Available Records System (PARS) library.

The interface to the ADAMS Main Library will provide additional functionality to the staff that is

not available to the public, such as the ability to save their search criteria and search results for

later use. A brief controlled usability study was conducted in February 2005 and interface

design changes were made based on the study’s results. A more comprehensive pilot

evaluation began in May 2005 when representatives from NRC offices were given desktop

access to this new ADAMS search tool for use in day-to-day activities. This pilot user group
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continues to provide sound input with respect to their experience in using the new search tool.

The OIS staff interface team will use the information gained from the pilot user group to tailor

the interface to the needs of the users. Deployment to NRC staff is currently planned for

December 2005.

(3) ADAMS Quality Control Audit Plan

During this reporting period, OIS completed an ADAMS quality control audit plan and began its

implementation. Using contractor support, OIS is reviewing records captured in ADAMS to

determine if offices are placing records in ADAMS according to the recordkeeping system

designations made in the ADAMS records disposition schedules. The staff is also checking for

problems with record completeness, consistent processing, problematic trends, inconsistencies,

and major gaps in ADAMS recordkeeping. We will conduct site reviews with office staff to

address any gaps. A final report on the ADAMS quality control audit plan will be completed by

the end of FY 2005.

(4) ADAMS 5.0

OIS has put together a project team to plan and implement the next generation of ADAMS,

known as ADAMS 5.0. This new version will have a Web-based user interface and will include

capture of e-mail records. The project team is working on a project management plan that will

be used to guide the project. 

ADAMS 5.0 will bring a number of improvements to the existing NRC environment, such as:

moving to a completely Web-based approach, intuitive and powerful search tools for locating

documents and information, better integration with office automation tools, and better workflow

tools that will allow the NRC to leverage the benefits of an enterprise document management

system for improved business processes. A guiding principle of ADAMS 5.0 will be to replace

the custom programming associated with the current version of ADAMS with the "out of the

box" capabilities of the underlying vendor products. This will reduce the cost of maintaining

ADAMS 5.0 and make it easier to upgrade when vendors release newer versions of their

products.

During the first half of FY 2005, OIS staff worked on planning the ADAMS 5.0 development and

deployment efforts. The first phase will start in the late 4th quarter of FY 2005 and concentrate

on revalidating and revising the ADAMS requirements and identifying custom-developed

functionality in the current version of ADAMS that can be replaced by "out of the box"

functionality offered by the latest version of the underlying software. The result of this work will

serve as the baseline for an alternatives analysis and business case. If this study shows that

the best alternative is to use the latest version of the current software of ADAMS 5.0 and the

business case is approved, a pilot conversion of the Legacy and Public Legacy Libraries will

occur in the fourth quarter of FY 2006. During this time, NRC staff and the public will have the

opportunity to "test drive" the pilot implementations. Anticipated completion of the pilot is

scheduled for the end of the second quarter of FY 2007.
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(5) The Sensitive Information Screening Project (SISP)

A major agency activity during this reporting period that impacted both staff efforts regarding

ADAMS and the public’s usage of PARS was the “Sensitive Information Screening Project”

(SISP). This activity involved additional security review of publicly-available documents by

agency experts to ensure that potentially sensitive information was removed from the agency

Web site. ADAMS was temporarily unavailable to the public while the review was conducted. 

Citrix-based access to PARS was restored on December 7, 2004; Web-based access to PARS

was restored on February 4, 2005. To date, of the approximately 380,000 documents originally

in PARS, over 259,000 have been restored. An abbreviated chronology of the shutdown of the

public library and the SISP restoration efforts are as follows:

October 25, 2004 Commission suspended public access to ADAMS and staff starts 

SISP. Public access to the Electronic Hearing Docket and Licensing

Support Network also was suspended.

December 7, 2004 Staff completed review and restored access to the majority of

reactor-related documents.

December 30, 2004 Staff completed review and restored access to documents related to

uranium enrichment facilities proposed by LES and USEC, Inc., and to

new reactors.

February 4, 2005 Staff completed review and restored Web access to the ADAMS public

library.

March 16-8, 2005 Staff completed review and restored access to 29,300 WM-00011 (Yucca

Mountain) HLW Documents in PARS.

June 2–16, 2005 Staff completed review and restored access to a total of 67,012 nondocket related documents (including 25,633 packages) in PARS.

The SISP review and restoration of documents to PARS presented many challenges for the

OIS and program office staff involved in the ADAMS program, including staff in the Public

Document Room working to assist the public, staff in the ADAMS Support Center assisting the

program offices in conducting the reviews and modifying record profiles, and information

technology (IT) staff working on approaches to temporarily block and then restore access to

portions of the database as reviews were completed. SISP screening procedures were posted

on the Web to communicate the latest information to the staff involved in the SISP review

process for newly-generated or received documents. This information has been updated on a

regular basis to ensure that the most recent guidance is always available to the staff. This

practice has helped the SISP review process become fully integrated into agency business

processes.
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COORDINATION:

This paper has no legal or resource implications and has, therefore, not been reviewed by OGC

or OCFO. 

/RA/

Luis A. Reyes

Executive Director

 for Operations

Attachments: 1. ADAMS Quality Measures and Value Statements

2. ADAMS Program Initiatives Progress Report #3

3. ADAMS Release 4.3 Enhancements
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COORDINATION:

This paper has no legal or resource implications and has, therefore, not been reviewed by OGC

or OCFO. 

/RA/

Luis A. Reyes

Executive Director

 for Operations

Attachments: 1. ADAMS Quality Measures and Value Statements

2. ADAMS Program Initiatives Progress Report #3

3. ADAMS Release 4.3 Enhancements

Distribution:

E. Baker, OIS

J. Schaeffer, OIS

R. Mitchell, OIS/BPIAD

A. Levin, OIS/ICOD

C. Turner, OIS/PMAS

F. Goldberg, OIS/IRSD

S. Johnson, OIS/IRSD/ISB

W. Davis, OIS/IRSD/ISB

E. Shelburne, OIS/IRSD/ISB

T. Smith, OIS/IRSD/ISB

B. Shelton, OIS/IRSD/RFPSB

G. Lauffer, OIS/IRSD/PDSB

200400006

EDO r/f

05-145 (CIO)

D/OIS r/f

DD/OIS r/f

IRSD r/f

ADAMS Accession No.: ML052080272

ADAMS Document Title: SECY-05-XXXX, Agencywide Documents Access and Management System: Semi-Annual

Progress Report for January-June 2005

*see previous concurrences

OFFICE OIS/IRSD/ISB OIS/IRSD/ISB OIS/IRSD/ISB OIS/IRSD/ISB OIS/IRSD

NAME TESmith: TES* ECShelburne: ECS* WEDavis: WED* SWJohnson: SWJ* FFGoldberg: FFG*

DATE 7/ 28 /2005 7/ 27 /2005 7/ 28 /2005 7/ 28 /2005 8/ 1 /2005

OFFICE DD/OIS D/OIS DEDIA EDO

NAME JBSchaeffer: JBS* ETBaker: JSilber: LAReyes:

DATE 8 / 10 /2005 8 / 15 /2005 8 / 23 /2005 8 / 23 /2005

OFFICIAL RECORD COPY
ADAMS QUALITY MEASURES AND VALUE STATEMENTS

ADAMS

Component Quality Measure Value Statement

 ADAMS

System

Information

Technology

(IT)

Components

Availability ADAMS is available when I need to use it.

Performance ADAMS response time is adequate for me to interact efficiently

with the system.

Functionality ADAMS provides the functions I need to interact efficiently and

effectively with the system.

Ease of Use The ADAMS user interface makes it easy for me to use the

system.

 ADAMS

Support

Services

Policy and

Procedures

ADAMS policies and procedures are clear, up to date, and

readily available to me.

Training and

Documentation

ADAMS training and documentation makes me aware of my

roles and responsibilities related to records management and

ADAMS, and helps me use the system efficiently and effectively. 

User Support Support for using ADAMS is easily available, timely, and

accurate.

User Input OCIO is soliciting my feedback and working to continuously

improve the value of ADAMS. 

 ADAMS

Document

Capture and

Distribution

Services

Timeliness of

Document

Processing

The documents I work on are processed by the Document

Processing Center in a timely manner.

Timeliness of

Incoming

Document

Delivery to the

Staff

As an NRC staff member, I can rely on ADAMS to deliver

incoming documents to me and/or my staff in a timely manner.

Timeliness of

Public Release

As a member of the public, I can rely on ADAMS to provide

newly released documents to me in a timely manner in the

ADAMS Publicly Available Records System (PARS) library and,

for certain document types, on the NRC Web site.

 ADAMS

Collections

and Profile

Data

Document

Collection

Completeness

I have confidence that the collection of documents in each

ADAMS library is complete.

Quality of Profile

Data I have confidence that the profile data is accurate and complete.
Attachment 1
Page 1 of 4 Attachment 2

ADAMS PROGRAM INITIATIVES PROGRESS REPORT #3

ADAMS Quality

Measures Recent Accomplishments Current Initiatives

ADAMS System Information Technology (IT) Components

Availability

Re-Deployment of the Public ADAMS

Library 

Web-based PARS redeployed after the

SISP Task Force began its document

review. [Q2/FY05] 

ADAMS 4.3 Upgrade

Upgraded the ADAMS desktop software

as one step in the plan to bring the

ADAMS software to the most recent

supported version. [Q2/FY05]

Server Improvements 

Acquire new hardware and

software to improve system

availability. [Q4/FY05]

System Security

Complete ADAMS Security reaccreditation so that ADAMS can

continue to operate securely.

[Q2/FY06]

Filenet Software Upgrade. 

The software platform for all

ADAMS Main Library will be

upgraded to version 5.4. 

[Q4/FY05]

Performance

Release of Web-based Search for the

ADAMS Publically Available Records

System Library (PARS)

Upgraded web-based search interface

for PARS to latest vendor version to

maintain stability and correct a problem

with certain search results. [Q2/FY05]

Hardware Upgrade for Main Library 

Storage 

Upgraded the disk array that contained

the ADAMS documents to a Hitachi

SAN (Storage Area Network) in order to

maintain vendor support and increase

storage capacity. [Q2/FY05] 

Server Improvements

Acquire new hardware and

software to improve system

performance. [Q4/FY05]

Improve Access to PDF Files

Implement byte-serving for PDF

files and a new package

interface to shorten document

download time. [Q2/FY06]

Convert TIFF to PDF Files

Convert older TIFF files in

ADAMS to PDF to shorten

document download time.

[Q1/FY06]
ADAMS Quality

Measures Recent Accomplishments Current Initiatives

Page 2 of 4

ADAMS System Information Technology (IT) Components (Continued)

Functionality

ADAMS 4.3 Upgrade

Major changes included:

• Enhanced password controls

• Upgraded the ADAMS Viewer

capabilities.

• Enhanced Find tool

• Upgraded the “Create Report”

functionality making it possible to

produce reports containing large

numbers of documents.

[Q2/05]

ADAMS 4.4 Upgrade

Define what functions and

features are to be included in the

next release of ADAMS.

[Q3/FY06]

Ease of Use

Web-based Search for the ADAMS

Main Library 

Developed, tested, and implemented a

pilot project to provide input toward the

design of the Web-based Search of the

ADAMS Main Library for the staff.

[Q3/FY05]

Web-based Search for the

ADAMS Main Library 

Deploy Web-based search of the

ADAMS Main Library. [Q1/FY06]

ADAMS Support Services

Policy and Procedures

Update of information about handling of

e-mails as Federal records

Updated guidance for the staff in the

ADAMS Desk Reference Guide, rev.4. 

[Q3/FY05]

Update of MD 3.4, “Release of

Information to the Public”

Update guidance for the staff on

what documents to make public. 

[FY05]

Training and

Documentation

ADAMS Desk Reference Guide

Updated instructions for the staff for

release 4.3. [Q3/FY05]

SISP Web Site

Created and maintained Intranet site as

a central source of guidance for SISP

review and document profiling.

Support Services

ADAMS Support Center Assistance

Provided support to offices in

developing search strategies and

electronic document handling

approaches in support of SISP reviews.

ADAMS Support Center Staff

Assistance 

Continue to support program

offices during the document

sensitivity review process and all

other needs. [Q1-4/FY05]
ADAMS Quality

Measures Recent Accomplishments Current Initiatives

Page 3 of 4

ADAMS Support Services (Continued)

User Input

Semi-Annual Meetings of the ADAMS

Public Users Group 

Provided opportunities for feedback

through presentations at this and other

stakeholder forums. [Ongoing]

The last meeting was July 20, 2005.

ADAMS NRC Public User Surveys 

Finished analysis of feedback, made it

available in ADAMS, and posted it on

the public Web site. [Q2/FY05]

Web-based Search for the ADAMS

Main Library

Deployed Pilot of Web-based search of

the ADAMS Main Library for the staff.

[Q3/FY05]

2nd Public User Satisfaction

Survey-Under Preparation

To be conducted in FY06

[Q4/FY06]

Semi-Annual Meetings of the

ADAMS Public Users Group 

Provide opportunities for

feedback Presentations at this

and other stakeholder forums. 

The next ADAMS Public Users

Group meeting is scheduled for

January 18, 2006. [Ongoing]

Web-based access to the

ADAMS Main Library

Evaluate the pilot (staff input) for

the design of the Web-based

search of the ADAMS Main

Library for the staff. [Q4/FY05]

ADAMS Document Capture and Distribution Services

Timeliness of

Document Processing

Process Improvements for EIE

Submittals

Changed procedures by DPC for

processing EIE submittals to streamline

indexing electronic documents and

reduce document processing time.

[Q3/FY05]

Desk Reference Guide for EIE

Submitters

Develop Desk Reference Guide

to support EIE submitters. Guide 

gives step-by-step instructions

for "rendering" PDF files (from

commonly used commercial

wordprocessing, spreadsheet,

and presentation applications)

that comply with the

specifications and parameters

prescribed in NRC's electronic

submission guidance document.

[Q4/FY05]
ADAMS Quality

Measures Recent Accomplishments Current Initiatives

Page 4 of 4

ADAMS Document Capture and Distribution Services (Continued)

Timeliness of Incoming

Document Delivery to

the Staff

None. Special Pick-up Service for

Incoming EDO Mail

Institute a new document pickup

service (six scheduled runs per

day) for the OEDO which will

significantly increase the speed

of processing EDO-controlled

correspondence into ADAMS.

[Q4/FY05]

Timeliness of

Public Release

None. Update of MD 3.4, “Release of

Information to the Public” 

Update guidance to the staff on

what documents to make public. 

[FY05]

ADAMS Collections and Profile Data

Completeness of

Document Collections

ADAMS Records Quality Control Audit

Developed an audit plan and began

conducting the audit.

[Q3/FY05]

ADAMS Quality Control 

Develop a more systematic

approach for ensuring

completeness and accuracy of

the ADAMS record collections. 

[FY05]

Conduct ADAMS Records

Quality Control Audit 

Complete the audit and issue the

audit report. [Q4/FY05]

Quality of Profile Data

None. Profile Data Review

Review uncontrolled fields in

ADAMS for accuracy and

address any problems with

associated Quality Assurance 

efforts (ongoing). [FY05] 
Attachment 3

ADAMS RELEASE 4.3 ENHANCEMENTS

Password Controls

The password controls for ADAMS have been enhanced to provide additional flexibility for

expired passwords. To comply with Federal Information Security Management Act (FISMA)

requirements, staff are required to change their Main Library password at least once every

90 calendar days. If the password is not changed within the 90 day period, the password will

expire, but with this upgrade staff are given one grace logon before being locked out of the

library. This is helpful when staff are unable to change their password (e.g. because of travel,

leave).

New Viewer

There are some changes in the user interface of the Viewer, including a new menu structure,

toolbar and Multiple Document Interface (viewing multiple documents simultaneously). An

intermittent problem with the viewer displaying documents with color pages also was corrected.

ADAMS Find Tool

The enhanced Find tool enables staff to stop and then continue the display of a search results

list. Users can now simply click on the Stop button to temporarily stop the display and then click

on the Go button to resume the list where it left off. 

Create Reports

The Create Reports feature has been expanded to include creating reports in the Crystal

Reports format as well as with WordPerfect. This enhanced capability will provide users with

more options when creating reports.