POLICY ISSUE

INFORMATION

February 5, 2007 SECY-07-0026

FOR: The Commissioners

FROM: Luis A. Reyes

Executive Director for Operations 

SUBJECT: AGENCYWIDE DOCUMENTS ACCESS AND MANAGEMENT SYSTEM: 

SEMI-ANNUAL PROGRESS REPORT FOR JULY - DECEMBER 2006

PURPOSE:

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

Management System (ADAMS) during the period July through December 2006 and to report on

current initiatives. 

BACKGROUND:

This is the sixth ADAMS semi-annual report and it covers the last six months of 2006. The report

uses the “ADAMS Quality Measures and Value Statements” framework, Enclosure 1, to provide

the status of progress on ADAMS initiatives. The framework 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 the Nuclear Regulatory Commission’s (NRC)

efficiency and effectiveness in achieving the agency’s mission.

DISCUSSION:

The main areas of activity during this reporting period are presented chronologically below with

a brief description of each. The “ADAMS Program Initiatives Progress Report,” Enclosure 2,

describes all of the activities during this reporting period.

CONTACT: Wayne Davis, OIS/IRSD

301-415-7229
The Commissioners -2-

(1) ADAMS Release 4.3.2.b.

The deployment of ADAMS Release 4.3.2.b, was completed in August 2006. The specific

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

associated with the servers and enhanced performance and added capabilities and were

transparent at the user’s desktop.

(2) ADAMS Release 4.3.2.c.

The deployment of ADAMS Release 4.3.2.c, was completed in October 2006. The specific

changes associated with this release are described in Enclosure 4. These changes were also

limited to the servers and the Document Processing Center and were transparent to users.

(3) Next Generation ADAMS Project Progress

By deploying the next generation of ADAMS, 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 for the next generation ADAMS, staff will replace as

much custom programming as possible with the “off-the-shelf” capabilities of underlying vendor

products. This should reduce the cost of maintaining ADAMS and make it easier to upgrade

when vendors release newer versions of their products.

During the second half of 2006, the staff:

a. Reviewed cost projections in light of new information; 

b. Completed work on the next generation ADAMS System Requirements Specification;

c. Completed the search tool evaluation and recommended that NRC not upgrade at this

time because moving to a new search tool would not bring additional benefits unless

done as part of an enterprise effort that includes documents stored in other repositories

in addition to ADAMS; and 

d. Revised the project schedule which now starts the business case in quarter 3 FY2007. 

The schedule is now being vetted with the Division of Contracts since it involves

procurement activities.

(4) New Customization to Support E-Filings

A new document class was added to ADAMS, “Electronic Information Exchange (EIE) Autopopulate,” along with an automated process of adding and profiling these documents into the

ADAMS repository. This new capability was originally intended to ensure NRC could meet High

Level Waste (HLW) service level requirements and will now also be used to address the

required service levels needed during new reactor pre-hearing activities for early site permits,

design certifications and combined licensing reviews.

The information technology/information management (IT/IM) improvements recently

implemented to support the adjudicatory process are being utilized in a pilot during the

adjudicatory proceeding for the Vogtle Early Site Permit (ESP) that began in December 2006. 
The Commissioners -3-

These improvements provide for electronic filing, review, and distribution of adjudicatory

documents. The pilot is being evaluated to identify adjustments to the process and IT/IM

components. Once staff and the Atomic Safety and Licensing Board Panel (ASLBP) are

satisfied that the system is functioning, the Office of the General Counsel (OGC) will submit to

the Commission a draft final E-Filing rule. The rule will require participants from NRC

adjudications to submit their documents electronically.

(5) The Ability to Add, Open, Check-in, and Cancel the Check-out of Documents to ADAMS

Through Microsoft (MS) Word

Following the direction to move towards having the Microsoft Office suite as the agency

standard, the ADAMS team incorporated the same capabilities currently available in Corel’s

WordPerfect: adding, opening and checking in and out documents, into MS Word. The

purpose of this change was to allow staff to have the same capabilities for both applications. 

Future upgrades may include incorporating ADAMS functions into the other Microsoft

applications.

 (6) Support for New Reactors

A number of projects are underway to provide technology and services to meet program time

lines. The Office of Information Services (OIS) is supporting the new reactor license review

process through customization that allows the mass loading and profiling of documents

submitted on compact disks. The mass loading and profiling will be accomplished through the

use of an automated mechanism that will ensure the integrity of the submitted documents and

their relationship with other related information. As the agency prepares to conduct the review

and adjudicatory processes associated with new reactor licensing, OIS is coordinating closely

with the offices to define and document requirements and service levels in advance of the

anticipated ESP and Combined Operating License (COL) applications. Significant progress has

been accomplished in partnership with the Office of New Reactors (NRO) and the industry to

streamline the process for electronic receipt and online review of COL applications. We have

achieved alignment with all of the stakeholders concerning how a COL will be formatted,

packaged, and submitted to the NRC. The design of the information technology components

that will support the process improvements is progressing on schedule. Project completion is

planned for July 2007. OIS has designated a lead project manager responsible for coordinating

the office’s efforts. OIS continues to review the IT/IM infrastructure and coordinate

improvements with NRO and other offices.

Beginning with the seventh semi-annual report, the staff intends to shift the emphasis of this

report from the current ADAMS steady state activities, which are considered to be maintenance

rather than development activities, to progress made and status on the next generation of

ADAMS.
The Commissioners -4-

COORDINATION:

This paper has no resource implications and has, therefore, not been reviewed by the Office of

the Chief Financial Officer. The Office of the General Counsel has no legal objections. 

/RA/

Luis A. Reyes

Executive Director

 for Operations

Enclosures:

1. ADAMS Quality Measures and Value 

 Statements

2. ADAMS Program Initiatives Progress 

 Report # 6

3. ADAMS Release 4.3.2.b Summary

4. ADAMS Release 4.3.2.c Summary
The Commissioners -4-

COORDINATION:

This paper has no resource implications and has, therefore, not been reviewed by the Office of

the Chief Financial Officer. The Office of the General Counsel has no legal objections. 

/RA/

Luis A. Reyes

Executive Director

 for Operations

Enclosures:

1. ADAMS Quality Measures and Value 

 Statements

2. ADAMS Program Initiatives Progress 

 Report # 6

3. ADAMS Release 4.3.2.b Summary

4. ADAMS Release 4.3.2.c Summary

ML063530126 200400006/EDATS: SECY-2006-0143 *See Previous Concurrence

OFFICE TECH EDITOR OIS/IRSD/ISB OIS/IRSD/ISB OIS/IRSD OIS/IRSD

NAME HChang:via email WDavis: WED* SJohnson: SJ* JGolder: JMG* JLinehan: JMG for*

DATE 01/11/07 01/10/07 01/10/07 1/11/07 1/12/07

OFFICE DD/OIS D/OIS OGC DEDIA EDO

NAME KGreene: EBaker: TRothchild JSilber LReyes

DATE 01/ /07 1/22/07 1/31/07 2/2/07 02/05/07

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 # 6

ADAMS Quality

Measures Recent Accomplishments Current Initiatives

ADAMS System Information Technology (IT) Components

Availability

ADAMS 4.3.2.b Upgrade

Upgraded the ADAMS server software to

incorporate Configuration Control Board

approved changes. [Q4/FY06]

ADAMS 4.3.2.c Upgrade

Upgraded the ADAMS server software

and the Document Processing Center

desktop software to incorporate

Configuration Control Board approved

changes. [Q1/FY07]

Server Improvements 

Installed new hardware and software to

improve system availability. [Q4/FY06]

ADAMS has obligated funds for 

certification and accreditation (C&A)

contractor support. This will help to

ensure that the ADAMS C&A is

completed and ADAMS is re-accredited

in 2008 and granted an Approval To

Operate (ATO). ADAMS is currently

operating with an Interim Approval To

Operate (IATO) which expires May 31,

2008. 

Updating the ADAMS Disaster

Recovery Plans

The current disaster recovery

plans for ADAMS are being

upgraded to provide for a more

robust recovery scenario, from

simply providing lookup and fax

services for documents to

providing more ADAMS

functionality. This will include

entering documents, search

capabilities and retrieval of

documents by NRC staff. The

new recovery plans call for full

backup and system recovery

from the NRC Region IV facilities

by FY09.

Performance

Server Improvements

Installed new hardware and software to

improve system performance. 

[Q4/FY06]

ADAMS Modernization

Continue the Capital Planning

and Investment Control (CPIC)

process for the ADAMS

modernization project. The next

generation ADAMS 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 Enclosure 2

ADAMS System Information Technology (IT) Components (Continued)

Functionality

ADAMS 4.3.2.b Upgrade

Upgraded the ADAMS server software to

incorporate Configuration Control Board

approved changes. [Q4/FY06]

ADAMS 4.3.2.c Upgrade

Upgraded the ADAMS server software

and Document Processing Center

desktop software to incorporate 

Configuration Control Board approved

changes. [Q1/FY07]

ADAMS Modernization

Continue the Capital Planning

and Investment Control (CPIC)

process for the ADAMS

modernization project. The next

generation ADAMS will have a

Web-based interface, intuitive

and powerful search tools, and

better integration with office

automation tools. [Ongoing]

ADAMS 4.4 Upgrade

Continue working towards a

successful deployment of the

next major maintenance release

of ADAMS. Anticipated

deployment in Q3/FY07.

ADAMS Content Searching

The ADAMS software vendor

(FileNet) continues to work on the

problem in the Main Library that

may cause search results for

content searching to be

incomplete. Until this problem is

resolved, staff have been

instructed to use the ADAMS

Web-based search (Staff

Interface Portal (SIP)) for text

searches of documents in the

Main Library as an alternative to

using ADAMS Find. The

requirements for next generation

ADAMS will include more robust

search capabilities.
ADAMS Quality

Measures Recent Accomplishments Current Initiatives

3

ADAMS System Information Technology (IT) Components (Continued)

Ease of Use

ADAMS Modernization

Continue the Capital Planning

and Investment Control (CPIC)

process for the ADAMS

modernization project. The next

generation ADAMS 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

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.

User Input

Staff and Public User Satisfaction

Survey

The User Satisfaction survey was

completed and compiled on 12/31/06

and the results will be published in

January 2007. The survey comment

section will be reviewed for potential

areas of improvement to ADAMS. 

Please reference ADAMS accession

number ML063550371 for the detailed

survey results.

[Q1/FY07]

PDR Developed LISTSERV

A listserv was created to communicate

ADAMS related issues with the public in

lieu of formal meetings. This listserv is a

method for the agency to send

information to a list of users; their

responses are sent back only to the

agency and are not available for reading

or responding by other users. As of 

October 2006, there is now a distribution

list available through the NRC Web site

for Public ADAMS Users. 

[Ongoing]
ADAMS Quality

Measures Recent Accomplishments Current Initiatives

4

ADAMS Document Capture and Distribution Service

Timeliness of

Document Processing

ADAMS 4.3.2.c

Upgrade included DPC processing

improvements. See Enclosure 4.

[Q1/FY07]

Timeliness of Incoming

Document Delivery to

the Staff

OIS successfully revised e-RIDS

databases: GroupWise Rids Resources

(e-mail accounts), Distribution Lists, and

the RIDS Docket Database in support of

two major reorganizations of NRC staff

offices (NRR/NRO and NMSS/FSME). 

Over 200 individual database changes

were handled on an expedited basis.

[Q4 FY06]

OIS will continue to revise eRIDS Databases in support of

organizational realignments.

Timeliness of

Public Release

OIS compiled statistical data for each

agency office for the number of

documents that were not released to the

public in accordance with the NRC’s

publishing policy, for the period of

Q3/FY06. 

Reference ADAMS package

ML061250105 for details.

[Q4/FY06]

ADAMS Collections and Profile Data

Quality of Profile Data

Profile Data Review

Reviewed uncontrolled fields in ADAMS

for accuracy and addressed problems

with associated Quality Assurance 

efforts. [Ongoing]

OIS Reminder

OIS informed staff that it is their

responsibility to review documents for

sensitive information and that personal

privacy information is not to be made

publicly available. 

[Q4/FY06]

Profile Data Review

Review uncontrolled fields in

ADAMS for accuracy and

address any problems with

associated Quality Assurance 

efforts. [Ongoing]

PII Identification

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]
ADAMS RELEASE 4.3.2.b Summary

All changes in this release were for the server-side of ADAMS and did not require an agencywide desktop or client-side upgrade.

ADAMS Official Records Processor (ORP) Upgrades

Issue being addressed - ORP generated Portable Document Format (PDF) missing images

from the original WordPerfect (WP) application file.

This change was instituted to eliminate the inconsistent rendering of WP images in the ADAMS

ORP. Upgrading the ORP to use WordPerfect X3 for rendering original application files

resolved this issue.

Issue being addressed – Electronic Information Exchange (EIE) documents through ORP –

Streamline.

This change was created to alleviate the backlog of documents in the ORP queue by having all

PDF type documents re-routed directly to the ADAMS Main Library, thus allowing all other

documents in the ORP queue to be rendered into PDFs without waiting on the documents that

do not require conversion to PDF.

Issue being addressed – ORP delays for packages.

This change was created to alleviate the backlog of packages being processed through the

ADAMS ORP. This software solution allows packages to be processed more quickly and

efficiently.

Issue being addressed – Stop ORP from filing to the Records Manager (RM) folder.

This change resolved the issue of the ORP failing due to the RM folder becoming full (its limit is

5000 documents) by removing that process in the ORP. The original intent/requirement of

having all ORP’d documents filed to the RM folder is no longer required.

Issue being addressed – Upgrade the ORP server hardware.

Two new ADAMS ORP servers were acquired. One will be utilized in production and the

second will be utilized in the test arena.

Non-ORP, ADAMS server upgrades,

Issue being addressed – Add ‘Date Declared’ to the document profile fields.

This change was created to allow a user to search for documents in ADAMS by the date it was

declared as an Official Agency Record (OAR). The ADAMS Support Center has received many

calls to have this feature added to ADAMS.

Issue being addressed – Create new document class, Electronic Information Exchange (EIE)

Auto-Populate.

This change was created as a result of a gap analysis performed for the High Level Waste

(HLW) project. It allows additional information, particular to HLW documents, to be added to

the document profile, including ASLBP Number, LSN Number, and Hearing Party Identifier. 

These fields are added by the auto-populate feature for EIE documents.

Enclosure 3
Enclosure 4

ADAMS RELEASE 4.3.2.c Summary

This release was an ADAMS server-side upgrade and did not require any change to the NRC

agency-wide ADAMS desktop/client-side of the application. There was one desktop upgrade

for the DPC only.

ADAMS server upgrades

Issue being addressed – EIE Data Population Automation.

This change adds the capability to automate the processing of documents into ADAMS that are

added via the EIE in accordance with adjudicatory service level requirements. During the prehearing phase, filings must be processed through ADAMS and published to the Electronic

Hearing Docket (EHD) within 24 hours in peak periods. During the hearing phase, filings must

complete the process within 6 hours of receipt.

Issue being addressed – Simplify addition of packages and their contents to the ADAMS

Publication Cycle.

This change was generated by the High Level Waste (HLW) Metasystem to provide quick and

efficient processing of packages and their contents through ADAMS to the EIE/EHD folders.

Issue being addressed – Change Staff Interface Portal (SIP) login file for ADAMS desktop from

.tmp to html.

The client file that allowed staff to login to the SIP needed to be re-written to submit an HTML

file instead of a .tmp file in order to log the users information and provide the link to the Convera

application. An agency-wide upgrade to Microsoft Service Pack 2 negated the old login method

and was the impetus for this change.

Routing application for incoming EIE/EHD documents to the Document Processing Center

(DPC)

Issue being addressed – SECY tool for ADAMS Docket Database.

The purpose of this change is to provide SECY staff with a means to prioritize ADAMS

processing of select documents incoming via EIE/EHD to expedite their availability during

hearings. Development of this tool provides SECY with the ability to interface with the ADAMS

Docket Number database, which enables expeditious processing of incoming hearing-related

documents, as specified by SECY (by docket number), into ADAMS and prompt processing by

the DPC. Marking a specific Docket Number by SECY triggers the ADAMSEIEPostFiler to

route documents incoming via EIE/EHD with that particular docket number into the ADAMS

"Expedite" folder for immediate processing completion. Documents not specifically marked

follow a regular processing flow into a "Normal" ADAMS folder.