POLICY ISSUE

(Information)

August 22, 2006 SECY-06-0184

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 2006

PURPOSE:

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

Management System (ADAMS) during the period January through June 2006 and to report on

current initiatives. 

BACKGROUND:

This is the fifth ADAMS semi-annual report. It covers the first six months of 2006 and uses the

“ADAMS Quality Measures and Value Statements” framework to provide the status of progress

on ADAMS initiatives. 

The ADAMS Quality Measures and Value Statements framework, Enclosure 1, is based on 13

measures of quality grouped into four key ADAMS 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 mission. The staff intends to continue reporting

progress on ADAMS activities, measuring user satisfaction, and planning future ADAMS

activities based on this framework.

CONTACT: Wayne Davis, OIS/IRSD

301-415-7229
The Commissioners 2

DISCUSSION:

The ADAMS Program Initiatives Progress Report, Enclosure 2, shows that there were three

main areas of activity during this reporting period. Listed chronologically, these are: 

(1) ADAMS Release 4.3.2.a, (2) ADAMS Release 4.3.2,a.1, (3) and ADAMS 5.0 Project

Progress. Other areas of activity are described in Enclosure 2.

(1) ADAMS Release 4.3.2.a.

The deployment of ADAMS Release 4.3.2.a, was completed in March of 2006. The changes

associated with this release are described in Enclosure 3. These improvements were

associated with the servers only and were transparent at the user’s desktop.

(2) ADAMS Release 4.3.2.a.1

The deployment of ADAMS Release 4.3.2,a.1, was completed in April of 2006. The change

associated with this release is described in Enclosure 4. The change was limited to the

Document Processing Center only.

(3) ADAMS 5.0 Project Progress

By deploying ADAMS 5.0, the staff will improve the existing NRC ADAMS environment with a

completely Web-based interface, intuitive and powerful search tools for locating documents and

information, and better integration with office automation tools to allow NRC to leverage the

benefits of an enterprise document management system for improved business processes. As

a guiding principle of ADAMS 5.0, staff will replace as much custom programming as possible

with the “out-of-the-box” capabilities of underlying vendor products. This should reduce the cost

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

of products.

During the first half of 2006, the ADAMS project team continued work on the ADAMS 5.0

system requirements specification, reviewed last year’s cost projections in light of new

information, developed a proposal for an ADAMS 5.0 governance structure that increases the

participation of NRC offices in the project, evaluated the feasibility of moving to a search tool

included with the commercial-off-the-shelf document management system versus a third-party

tool, and reviewed the general project approach for ADAMS 5.0. The result of this work will

serve as the baseline for the business case to move forward with the ADAMS 5.0 project. 
The Commissioners 3

COORDINATION:

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

Office of the General Counsel (OGC) or the Office of the Chief Financial Officer (OCFO). 

/RA/

Luis A. Reyes

Executive Director

 for Operations

Enclosures:

1. ADAMS Quality Measures and Value Statements

2. ADAMS Program Initiatives Progress Report # 5

3. ADAMS Release 4.3.2.a Changes

4. ADAMS Release 4.3.2.a.1 Changes
The Commissioners 3

COORDINATION:

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

Office of the General Counsel (OGC) or the Office of the Chief Financial Officer (OCFO). 

/RA/

Luis A. Reyes

Executive Director

 for Operations

Enclosures:

1. ADAMS Quality Measures and Value Statements

2. ADAMS Program Initiatives Progress Report #4

3. ADAMS Release 4.3.2.a Changes

4. ADAMS Release 4.3.2.a.1 Changes

Distribution:

L. Reyes, EDO

W. Kane, DEDR

M. Virgilio, DEDMRS

J. Silber, DEDIA

W. Dean, AO

M. Malloy, OEDO

E. Baker, OIS

J. Schaeffer, OIS

R. Mitchell, OIS/BPIAD

J. Linehan, OIS/IRSD

J. Golder, OIS/IRSD

S. Johnson, OIS/IRSD/ISB

W. Davis, OIS/IRSD/ISB

M. Janney, OIS/IRSD/RFPSB

06-080 (CIO)

200400006

SECY-2006-0142

OIS r/f

ADAMS Accession No.: ML061770059

ADAMS Document Title:SECY-XX-XXXX, Agencywide Documents Access and Management System:

Semi-Annual Progress Report for January - July 2006.

*see previous Concurrence

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

NAME WEDavis:WED SWJohnson:SJ JGolder:JG JLinehan:JG for KGreene:KOG

DATE 7/28/06 7/28/06 7/31/06 7/31/06 8/ 15 /06

OFFICE D/OIS DEDIA EDO ADM

NAME EBaker:ETB JSilber: LReyes: Hchang:WB for

DATE 8/15 /06 8/ /06 8/ /06 7/27/06

OFFICIAL RECORD COPY
Enclosure 1

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 OIS 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.
Enclosure 2

ADAMS PROGRAM INITIATIVES PROGRESS REPORT # 5

ADAMS Quality

Measures Recent Accomplishments Current Initiatives

ADAMS System Information Technology (IT) Components

Availability

ADAMS 4.3.2.a Upgrade

Upgraded the ADAMS server software

to incorporate Configuration Control

Board approved changes. [Q2/FY06]

ADAMS 4.3.2.a.1 Upgrade

Upgraded the ADAMS Document

Processing Center desktop software to

incorporate a Configuration Control

Board approved change. [Q3/FY06]

Server Improvements 

Installed new hardware and software to

improve system availability. [Q3/FY06]

The Office of Information Services (OIS)

implemented a Security Tiger Team that

developed a schedule to address

certification and accreditation for priority

agency systems in which ADAMS was

not identified as a priority system. OIS

granted ADAMS the Interim Approval

To Operate (IATO) until May 31, 2008. 

In accordance with the current Tiger

Team schedule, we expect to have

ADAMS re-accreditation completed

before the IATO expires. 

Performance

Server Improvements

Installed new hardware and software to

improve system performance. 

[Q3/FY06]

ADAMS 5.0

Continue the Capital Planning

and Investment Control (CPIC)

process for the ADAMS 5.0

project. ADAMS 5.0 will have a

Web-based interface, intuitive

and powerful search tools, and

better integration with office

automation tools. 
ADAMS Quality

Measures Recent Accomplishments Current Initiatives

2

ADAMS System Information Technology (IT) Components (Continued)

Functionality

ADAMS 4.3.2.a Upgrade

Upgraded the ADAMS server software

to incorporate Configuration Control

Board approved changes. [Q4/FY05]

ADAMS 4.3.2.a.1 Upgrade

Upgraded the ADAMS Document

Processing Center desktop software to

incorporate a Configuration Control

Board approved change. [Q1/FY06]

ADAMS 5.0

Continue the CPIC process for

the ADAMS 5.0 project. ADAMS

5.0 will have a Web-based

interface, intuitive and powerful

search tools, and better

integration with office automation

tools. 

ADAMS 4.4 Upgrade

Continue working towards a

successful deployment of the

next major maintenance release

of ADAMS.

Ease of Use

ADAMS 5.0

Continue the CPIC process for

the ADAMS 5.0 project. ADAMS

5.0 will have a Web-based

interface, intuitive and powerful

search tools, and better

integration with office automation

tools. 

ADAMS Support Services

Policy and Procedures

Training and

Documentation

DPC Forms 665

The DPC document submittal forms

665S and 665P were modified in

accordance with the new SUNSI

requirements.

[Q2 FY06]

Support Services

ADAMS Support Center Assistance

Provided support to offices with

problems using ADAMS.

[Ongoing]

ADAMS Support Center Staff

Assistance 

Continue to support program

offices.

 [Q4 FY06 – Q1 FY07]
ADAMS Quality

Measures Recent Accomplishments Current Initiatives

3

ADAMS Support Services (Continued)

User Input

Staff and Public User

Satisfaction Survey-Under

Preparation to be conducted in

FY06. [Q4/FY06]

PDR to Develop LISTSERV

As a result of the July 20, 2005

ADAMS Public User Group

Meeting, a listserv will be created

to communicate ADAMS —

related issues with the public in

lieu of formal meetings. 

[Ongoing]

ADAMS Document Capture and Distribution Services

Timeliness of

Document Processing

ADAMS 4.3.2.a and 4.3.2.a.1 Upgrade

Upgrade included DPC processing

improvements. See Enclosure 4.

[Q2/FY06]
ADAMS Quality

Measures Recent Accomplishments Current Initiatives

4

ADAMS Document Capture and Distribution Services (Continued)

Timeliness of Incoming

Document Delivery to

the Staff

Timeliness of

Public Release

OIS is compiling statistical data

to show the percentage of

documents of each office that

were released to the public in

accordance with NRC’s

published policy. OIS will be

sharing the data with each office

and helping them understand the

policy. 

[Q2/FY06]

ADAMS Collections and Profile Data

Completeness of

Document Collections

ADAMS Quality Control 

Developed a more systematic approach

for ensuring completeness and

accuracy of the ADAMS record

collections. [Ongoing]

ADAMS Quality Control 

Develop a more systematic

approach for ensuring

completeness and accuracy of

the ADAMS record collections. 

[Ongoing]

Quality of Profile Data

Unscheduled Profile Data Review

In late March 2006, the NRC learned

that a document containing an

individual’s Social Security Number

(SSN) was publicly available in PARS. 

This incident raised concerns that other

documents containing personal privacy

information may also be in PARS. OIS

conducted searches over a period of six

weeks and initially identified and

removed 2,607 documents in PARS

that contained a pattern similar to a

SSN. The documents were all reviewed

and 80 were found to actually contain

SSNs. The 80 documents containing

SSNs were removed from PARS and

the remaining 2,524 documents were

restored to PARS.

Profile Data Review

Reviewed uncontrolled fields in ADAMS

for accuracy and addressed problems

with associated Quality Assurance 

efforts. [Ongoing]

Profile Data Review

Review uncontrolled fields in

ADAMS for accuracy and

address any problems with

associated Quality Assurance 

efforts. [Ongoing]

OIS Reminder

OIS will be reminding staff that it

is their responsibility to review

documents for sensitive

information and that personal

privacy information is not to be

made publicly available. 

Additionally, OIS is evaluating

the feasability of custom code

that will search documents ready

to be made public for specific

patterns which may indicate that

a document contains personal

privacy information before they

are released to the public.

[Ongoing]
5 Enclosure 2
Enclosure 3

ADAMS RELEASE 4.3.2.a CHANGES

All changes in this release were for the server-side of ADAMS and did not require a desktop or

client-side upgrade.

Digital Data Managment System (DDMS) exhibits

A new ADAMS utility was developed and deployed to auto-populate the ADAMS document

profile fields for newly submitted documents and place them into the proper document folders,

significantly reducing the processing time and simplifying production of transaction reports and

system configuration.

High Level Waste (HLW) and Electronic Hearing docket (EHD) Issues

There were five solutions incorporated in this release to assist the HLW and EHD processes . 

These include:

(1) modifying the publishing code to prevent multiple copies of packages being produced,

(2) utilizing Opalis scheduling software to add data logging to the publishing process,

(3) utlizing the Opalis scheduling software to either continue or halt the publishing process,

according to the ‘Publish’ status,

(4) modified the ADAMS code to add a user friendly interface to automatically excute the

parsing of an XML file created by the HLW/EHD Panagon Web Published (PWP) process via

the DDMS data input program,

(5) replaced a Microsoft Grid Control application with Infragistics DataGrid/Comb/DropDown

(OLEDB) control application to assist the DPC in editing the ADAMS Custom Value List (CVL).
Enclosure 4

ADAMS RELEASE 4.3.2.a.1 CHANGE

This release was for a select, Document Processing Center (DPC) only, ADAMS

desktop/client-side upgrade and did not require any change to the NRC agency-wide ADAMS

desktop/client-side of the application.

Document Processing Center (DPC) Custom Value List (CVL) Editor

A single change was incorporated for this release, which was deployed only to the DPC, it was

not deployed agency-wide. This single change modified the code in the ADAMS Custom Value

List (CVL) editor tool. This code change added a popup menu with the option to copy and

paste entries into the ADAMS CVL when the DPC needs to modify values in that list. All

changes made by the DPC to this CVL will be saved upon closing the list editor tool. 

The DPC only has access to this list and this change did not affect any other agency process.