Contact: Susan W. Johnson, OCIO

 301-415-6747

POLICY ISSUE

INFORMATION

August 30, 2004 SECY-04-0160

FOR: The Commissioners

FROM: Luis A. Reyes

Executive Director for Operations

SUBJECT: AGENCYWIDE DOCUMENTS ACCESS AND MANAGEMENT SYSTEM: 

NEW SEMIANNUAL PROGRESS REPORT

PURPOSE:

To describe the new framework for communicating progress on the Agencywide Documents

Access and Management System (ADAMS) program initiatives and to provide a status update

on accomplishments over the period of January through June 2004, and current initiatives. 

BACKGROUND:

On December 19, 2003, in a request made through the Office of the Secretary, the staff asked

the Commission if the quarterly ADAMS Assessment and Action Plan Progress Reports could be

discontinued since ADAMS is well into its operational phase and most of the initial challenges

have been addressed. While two of the Commissioners approved the request, the Chairman

directed that " ...the staff should continue to provide periodic reports to the Commission on the

status of, problems with, and potential enhancements to ADAMS. The report should be provided
The Commissioners 2 

semi-annually." The Chairman's direction was communicated to the staff via e-mail on

January 8, 2004. This paper, which lays out a new framework for managing and communicating

progress on ADAMS initiatives, is the first of the requested semi-annual reports.

The new framework for managing ADAMS activities is based on 13 measures of quality. These

are grouped into the four key ADAMS components that contribute value to the staff and

members of the public. Making continuous improvements to ADAMS will improve the NRC’s

efficiency and effectiveness in achieving the agency’s regulatory mission. These measures of

quality will guide our continuous improvements activities. The staff will report progress on

ADAMS activities, measure user satisfaction, and plan future ADAMS activities based on this

framework.

DISCUSSION:

The previous ADAMS Assessment and Action Plan Progress Report was based on the 

10 Challenge Areas identified in response to the initial implementation phase of ADAMS. Many

of these challenges have been addressed and are now part of the agency’s routine operations

and maintenance of ADAMS. The new framework recognizes ADAMS as a more mature,

steady-state system which includes user feedback as one of its performance measures and

provides input to promote continuous improvement. A summary of the 10 Challenge Areas and

their linkage to the new framework is included in Attachment 1.

This new framework recognizes ADAMS as a key contributor to the successful accomplishment

of NRC’s mission. The staff’s ability to quickly and easily obtain accurate, complete, and timely

information is essential to the regulatory decision-making processes that support this mission,

and the ADAMS document collections -- the Main Library and the Legacy Library -- are key

sources of that information. 

NRC’s stakeholders also play an important role in the regulatory process. To participate

effectively, they too rely on having access to information. For them, the public component of

the ADAMS Main Library, called the Publicly Available Records System (PARS), and the Public

Legacy Library are key information sources. By making information available to the public,

ADAMS contributes directly to the NRC’s openness goal and facilitates effective stakeholder

participation in the regulatory process.

The new framework is based on a “system” view of ADAMS. This recognizes that ADAMS is

more than just hardware and software. It must operate within an agency-wide information

technology infrastructure. It also must rely upon staff within the Office of the Chief Information

Officer (OCIO) and other offices throughout the agency, as well as contractors, to capture and

distribute documents in a timely manner; to ensure that the documents and profile data within

the ADAMS information collections are complete and consistent; and to provide support
The Commissioners 3 

services, such as training and the ADAMS help desk. For example, having a sophisticated

search engine on high-performance hardware is of no value to end-users if they cannot find the

documents they need because of profile data inconsistencies or because the documents have

not been added to the library. Understanding all the components making up the ADAMS

“system” and their relative importance to ADAMS users is central to determining how best to go

about improving ADAMS. 

Taking into account this “system” view, the main types of system users (i.e., the staff, public, 

and other stakeholder end-users and the service providers), as well as the types of usage (i.e.,

document generation, capture, distribution, search, and retrieval), and feedback from ADAMS

user surveys, the staff has identified 13 ADAMS measures of quality (see table on next page)

and grouped them into the following four key ADAMS components: 

(1) ADAMS System Information Technology (IT) Components — The quality of the ADAMS

system hardware and software, and the IT infrastructure components.

(2) ADAMS Support Services — The quality of the policies, user support services, training,

and user information available to support both ADAMS end-users and ADAMS service

providers.

(3) ADAMS Document Capture and Distribution Services — The quality of the information,

processes, procedures, and services involved in the capture and distribution of agency

documents to NRC staff and to the public.

(4) ADAMS Document Collections and Profile Data — The completeness of the document

collections and the quality of their associated profile data. 

Through a process of continuous improvement, ADAMS will evolve over time. The new

framework will be integrated with the planning and budgeting process to prioritize future

ADAMS improvements. Some ADAMS improvements will occur as a result of vendor upgrades

for commercial off-the-shelf software products on which ADAMS depends. These upgrades will

be those that the vendor develops in response to market pressures, technology evolution, and

customer requests, and that must be implemented to maintain a vendor-supported product. In

addition, the 13 measures of quality will be used for evaluating the benefits of current ADAMS

program activities and for identifying those improvements that add the most value for ADAMS

users. 
The Commissioners 4 

ADAMS Quality Measures and Value Statements

ADAMS

Component Quality Measure Value Statement

 ADAMS System

Information

Technology (IT)

Com ponents

Availability ADAMS is available when I need to use it.

Performance ADAMS response tim e 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.

 ADAM S 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 m e 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 docum ents to me and/or my staff in a timely manner.

Timeliness of

Public Release

As a m em ber 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 W eb 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.
The Commissioners 5 

Attachment 2 is the first progress report on ADAMS initiatives using this new framework. It

reflects recent accomplishments and initiatives currently under way. Initiatives to address the

original 10 Challenge Areas that were not completed as of the July 2003 progress report are

included in this new report. Future reports will be issued on a semi-annual basis. They will be

posted on the NRC Web site and provided to the Commission for their information. Through

the use of this new framework, progress on ADAMS initiatives and their value to the end-users

will be more effectively communicated. 

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. Summary of Previous Challenge Areas and

 the New Quality Framework

2. ADAMS Program Initiatives Progress Report
The Commissioners 5

Attachment 2 is the first progress report on ADAMS initiatives using this new framework. It

reflects recent accomplishments and initiatives currently under way. Initiatives to address the

original 10 Challenge Areas that were not completed as of the July 2003 progress report are

included in this new report. Future reports will be issued on a semi-annual basis. They will be

posted on the NRC Web site and provided to the Commission for their information. Through

the use of this new framework, progress on ADAMS initiatives and their value to the end-users

will be more effectively communicated. 

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. Summary of Previous Challenge Areas and

 the New Quality Framework

2. ADAMS Program Initiatives Progress Report

DISTRIBUTION:

CIO r/f

DCIO r/f

IRSD r/f

EDO r/f

WITS 200400006

04-054 (CIO)

J. Schaeffer, OCIO

A. Levin, OCIO

C. Turner, OCIO

B. Shelton, OCIO

G. Lauffer, OCIO

ADAMS Accession No. ML041060327

ADAMS DOCUMENT TITLE: SECY-04-xxxx, Agencywide Documents Access and Management System - New

Semiannual Progress Report

OFFICE OCIO/IRSD/ISB/ADDPS OCIO/IRSD/ISB/IDDPS OCIO/IRSD/ISB OCIO/IRSD

NAME ECShelburne: WED for WEDavis: WED SWJohnson: SWJ FFGoldberg: FFG

DATE 08/05/2004 08/05/2004 08/05/2004 08/11/2004

OFFICE CIO EDO

NAME JESilber: JES LAReyes: LAR

DATE 08/08/2004 08/30/2004

OFFICIAL RECORD COPY
The Commissioners

Page 1 of 2 Attachment 1

Summary of Previous Challenge Areas and the New Quality Framework

Previous Framework New Framework

Challenge Area Summ ary of Progress Quality Component Measure

1. Transfer

responsibility for

completing the

processing of NRCgenerated docum ents to

OCIO

All planned tasks complete. Quality of ADAMS

Document Capture

and Distribution

Services

Timeliness of

Document

Processing

2. Improve

ADAMS document and

data integrity

Ongoing. Tasks are part of

routine operation and

maintenance activities.

Quality of ADAMS

Collections and Profile

Data

Document

Collection

Completeness

Quality of Profile

Data

3. Improve

ADAMS as a search

and retrieval system

Com pleted tasks originally

planned for full-text search

functionality. W ork in

progress for deploying Webbased search engine on all

ADAMS libraries. 

Quality of ADAMS

System Information

Technology

Components

Ease of Use

4. Improve

ADAMS functionality,

performance, and

reliability

Initial performance and

stability concerns have been

addressed. Work on

migrating to Web-based

ADAMS 5.0 is in the planning

stage. 

Quality of ADAMS

System Information

Technology

Components

All Measures

5. Improve public

access to ADAMS

Com pleted tasks originally

planned. Access to public

ADAMS (PARS) via the Web

was deployed in January 2003

rather than waiting for

migration to ADAMS 5.0. 

Quality of ADAMS IT

Components

Quality of ADAMS

Support Services

Quality of Document

Capture and

Distribution Services

All Measures

User Support

Timeliness of

Public Release

6. Improve

electronic document

distribution software and

processes

Completed improvements to

process for electronically

distributing externally

generated docum ents

(incoming mail). Work on

electronic distribution of staffgenerated documents is

ongoing.

Quality of ADAMS

Document Capture

and Distribution

Services

All Measures

7. Improve and

standardize agency

business practices

The Procedures Task Group

led by the OEDO issued its

report on May 2, 2001. No

other tasks are planned. 

-- --
The Commissioners

Summary of Previous Challenge Areas and the New Quality Framework

Previous Framework New Framework

Challenge Area Summ ary of Progress Quality Component Measure

Page 2 of 2 Attachment 1

8. Improve

ADAMS training and

user support

Ongoing. Currently

reassessing training aids and

user support in response to

January 30, 2004 SRM

resulting from the annual

Commission meeting on

OCIO programs.

Quality of ADAMS

Support Services

Training and

Documentation

User Support

9. Improve

ADAMS

comm unications

program and

agencywide guidance

Ongoing. Tasks are part of

routine operations and

maintenance.

Quality of ADAMS

Support Services

All Measures

10. Conduct

“lessons learned”; chart

longer term course

SECY-01-0220 (December

2001) provides ADAMS

lessons learned. Independent 

assessments in March/April

2001 validated longer-term

course. New framework is

intended to inform longer-term

course. 

Quality of ADAMS

Support Services

User Input
The Commissioners

Page 1 of 5 Attachment 2

ADAMS Program Initiatives Progress Report

ADAMS Quality Measures Recent Accomplishments Current Initiatives

ADAMS System Information Technology (IT) Components

Availability

ADAMS 4.1 Upgrade 

The recent upgrade of the ADAMS

desktop was one step in the plan to

bring the FileNet software to the most

recent supported version of this vendor

product. [Q3/FY04]

Backup Access 

In case of a failure of ADAMS TW FN

computer operations, a backup system

was installed in OW FN to provide

ADAMS document management and

search capabilities until the TWFN

facility can be restored to service.

[Q2/FY04]

Disaster Recovery

An offsite disaster recovery capability

has been put in place and successfully

tested to allow search-and-retrieval

access to ADAMS documents in case of

the unavailability of headquarters

services. [Q3/FY04]

Migration to Windows XP (ADAMS 4.2) 

ADAMS has been tested to ensure it

operates correctly in the XP

environm ent. [Q3/FY04]

Server Im provements 

New hardware and software is being

procured to im prove system availability.

 [FY05]

Performance

None. Server Im provements

New hardware and software is being

procured to improve response times

and reliability. [FY05]
The Commissioners

ADAMS Program Initiatives Progress Report

ADAMS Quality Measures Recent Accomplishments Current Initiatives

Page 2 of 5 Attachment 2

Quality of ADAMS System Information Technology (IT) Components (Continued)

Functionality

Desktop Access to Older Documents

There are currently over 105,000

records in the Main Library that are

dated prior to Novem ber 1999. W e have

now updated Legacy Library records

with an indication that the document

image can be retrieved from Main

Library. The same is planned for the

Public Legacy Library. [Q4/FY04]

E-Rule 

Issuance of the final rule on Electronic

Maintenance and Submission of

Information allows all NRC

licensees/applicants to voluntarily subm it

documents electronically, resulting in

fewer image-only docum ents and m ore

searchable text. [Q2/FY04]

New Automated Tools for DPC 

New tools will allow the DPC to assess

whether documents received via

Electronic Information Exchange (EIE)

or on CD-ROM are subm itted in

accordance with the E-Rule guidance.

[Q4/FY04]

Planning for ADAMS 4.3 Desktop 

Major changes under development

include:

• Upgrading the “Create Report”

functionality to make it possible to

produce reports containing large

numbers of documents. [FY05]

• Upgrading the ADAMS Viewer

capabilities. [FY05] 

Ease of Use

None. W eb-Based Search 

A new search capability is under

development for the ADAMS Main

Library, the legacy libraries, and the

Electronic Hearing Docket (EHD)

similar to the Web-based search now

available for PARS. [FY05]
The Commissioners

ADAMS Program Initiatives Progress Report

ADAMS Quality Measures Recent Accomplishments Current Initiatives

Page 3 of 5 Attachment 2

ADAMS Support Services

Policy and Procedures

New Records Management Web page

A new records managem ent Web page

was established to provide a decision

tree for determining Federal record

status. See:

http://www.internal.nrc.gov/RMB/

[Q1/FY04]

ADAMS Desk Reference Guide

New version provides updated

instructions for the staff. [Q3/FY04]

Update of MD 3.4, “Release of

Information to the Public”

W ill provide updated guidance for the

staff. [FY05]

Update of information about handling of

e-mails as Federal records

W ill provide updated guidance for the

staff. [Q4/FY04]

Reassess Training Aids and Support 

Training and user support approaches

will be reassessed in response to

January 30, 2004, SRM resulting from

the annual Commission meeting on

OCIO programs. [FY05]

Training and

Documentation

Updated ADAMS Training Courses 

Now available in PDC Training Center. 

[Q2/FY04]

Developed Video Demonstrating WebBased Search Interface for PARS

Available for staff use in the Regions

and the Individual Learning Center.

[Q2/FY04]

ADAMS Desk Reference Guide

New version provides updated

instructions for the staff. [Q3/FY04]

Support Services

ADAMS Support Center Staff Assistance

Assisted NMSS and OGC in the search

for potentially relevant high-level waste

documents not tagged with

W M-00011 docket number. [Q3/FY04]

None.

User Input

ADAMS Public User Survey 

A survey was posted on the public W eb

site for six weeks, ending June 30.

ADAMS NRC Staff and Public User

Surveys 

Analysis of feedback is underway. 

[Q4/FY04]

Semiannual meetings of the ADAMS

Public Users Group 

Presentations at this and other

stakeholder forums provide

opportunities for feedback. [Ongoing]
The Commissioners

ADAMS Program Initiatives Progress Report

ADAMS Quality Measures Recent Accomplishments Current Initiatives

Page 4 of 5 Attachment 2

ADAMS Capture and Distribution Services

Timeliness of

Document Processing

None. Security Group Mem bership

Information

A new feature to facilitate updates will

be implemented. [FY05]

Timeliness of Incoming

Document Delivery to

the Staff

Implementation of the E-Rule

Docum ents submitted electronically in

accordance with new E-Rule can be

processed more quickly. [Q3/FY04]

Briefings on the E-Rule 

Office-specific briefings were provided to

sm all groups of program staff. 

[Q3/FY04]

None.

Timeliness of

Public Release

None. Update of MD 3.4, “Release of

Information to the Public” 

W ill provide updated guidance to the

staff. [FY05]

ADAMS Collections and Profile Data

Completeness of

Document Collections

Retrofitting Older HLW-Related

Docum ents

Docum ents from the Legacy Library,

from the Center for Nuclear W aste

Regulatory Analysis, and from staff for

potential submission to Atomic Safety

Licensing Board’s Licensing Support

Network were added to ADAMS. 

[Q2/FY04]

Up-To-Date Guidance About What

Should Be In ADAMS

A new records managem ent Web page

was established to provide a decision

tree for determining Federal record

status. See:

http://www.internal.nrc.gov/RMB/

[Q1/FY04]

ADAMS Quality Control 

The staff is developing a more

systematic approach for ensuring

completeness and accuracy of the

ADAMS record collections. [FY05]

See also the policy and training

activities under ADAMS Support

Services.
The Commissioners

ADAMS Program Initiatives Progress Report

ADAMS Quality Measures Recent Accomplishments Current Initiatives

Page 5 of 5 Attachment 2

ADAMS Collections and Profile Data (Continued)

Quality of Profile Data

Profile Data Consistency

Continuous DPC efforts to review

ADAMS Profile records and clean up

errors to enhance staff’s ability to

retrieve documents.

Profile Data Consistency

Once ADAMS 4.1 was deployed to all

staff, values in the Author Name and

Addressee Name fields became

controlled values. This ensures

consistent data entry and enhances

staff’s ability to search on these name

fields because variations of nam es have

been eliminated. [Q3/FY04]

Spell-Checker Capability

The DPC will be able to spell check the

“Title” field in the ADAMS profile. 

[Q4/FY04]