November 2, 2005 

MEMORANDUM TO: Luis A. Reyes 

Executive Director for Operations 

FROM: Stephen D. Dingbaum/RA/ 

Assistant Inspector General for Audits 

SUBJECT: STATUS OF RECOMMENDATIONS: AUDIT OF NRC’S 

REACTOR PROGRAM SYSTEM (OIG-05-A-11) 

REFERENCE: DIRECTOR, OFFICE OF NUCLEAR REACTOR 

REGULATION, MEMORANDUM DATED 

 OCTOBER 14, 2005 

Attached is the Office of the Inspector General’s analysis and status of 

recommendations as discussed in the agency’s response dated October 14, 2005. 

Based on these responses, recommendations 5 and 10 are closed. Recommendations 

1 through 4 and 6 through 9 remain in resolved status. Please provide an update on all 

resolved recommendations by February 10, 2006. 

If you have any questions or concerns, please call me at 415-5915. 

Attachment: Status of Recommendations 

cc: W. Dean, OEDO 

M. Malloy, OEDO 

P. Tressler, OEDO 
Recommendation 1: Implement a tiered access level structure that allows users 

access to RPS modules based on the least privilege 

principle. This should include guidance on which users may 

receive what level of access. 

Response Dated 

October 14, 2005: The Office of Nuclear Reactor Regulation (NRR) has 

implemented an access structure in the Reactor Program 

System (RPS) software in conjunction with the changes 

made to support recommendations 2, 3, and 4. Changes 

have been made in NRC Inspection Manual Chapter (IMC) 

0306 and 0612 to support recommendations 1, 2, and 3 

related to RPS access control and quality of the RPS data as 

detailed further below (see other recommendations) 

 

OIG Analysis: The proposed corrective action addresses the intent of OIG’s 

recommendation. Recommendation 1 will be closed once 

OIG has received the Inspection Manual Chapters that 

reflect the modified access structure. 

Status: Resolved. 
Recommendation 2: Implement a process for removing access rights from inactive 

Reactor Program System users. 

Response Dated 

October 14, 2005: NRR is working with the four regions to develop and 

implement a consistent process for removing access from 

inactive RPS users. This policy document will include the 

formalization of the process to implement recommendations 

2 and 7. NRR has provided each region a list of users and 

the number of times the user accessed the module. 

 The regions will use this information to determine who needs 

access and to remove the access rights of users who no 

longer need to use the modules. The RPS software 

automatically removes the access rights of users who leave 

an office or region. New procedures requiring the program 

offices and regions to remove rights have been incorporated 

into a revision to NRC IMC 0306, "Information Technology 

Support for the Reactor Oversight Process." 

 For the program offices, IMC 0306 now includes guidance in 

Section 04.01 stating that it is the responsibility of program 

offices to control access to RPS by program office users. 

Staff who no longer need access to RPS modules should be 

removed. A periodic review of authorized users for each 

RPS module should be conducted. 

OIG Analysis: The proposed corrective action addresses the intent of OIG’s 

recommendation. Recommendation 2 will be closed once 

OIG has received the Inspection Manual Chapter that 

incorporates the process for removing user access. 

Status: Resolved. 
Recommendation 3: Implement a uniform quality control and Reactor Program 

System data entry review process that will ensure data 

accuracy and timeliness. 

Response Dated 

October 14, 2005: A quality control program has been implemented that will 

improve data accuracy and timeliness in RPS. Procedures 

in Inspection Manual Chapters 0306 and 0612 have been 

strengthened and software changes were implemented on 

September 16, 2005, to ensure data accuracy and 

timeliness. Accuracy and quality control of data is ensured 

by requirements in the Reactor Oversight Program (ROP) 

guidance in Inspection Manual Chapter (IMC) 0306, 

Sections 04.01 and 04.02. 

 Section 04.01 requires that program offices verify the 

accuracy and timeliness of the data contained in RPS. 

Program offices also have a responsibility to "maintain and 

control the RPS Inspection Procedure Authority System 

(IPAS) module to ensure accuracy and compliance with the 

NRC Inspection Manual." 

 In Section 04.02, regional offices are responsible to ensure 

the timely and accurate entry of RPS data for all regional 

activities and to verify the accuracy and timeliness of the 

data maintained in RPS. Section 05.03(a) requires that, as 

soon as practical after completion of the inspection, the 

cognizant branch chief (or designee) must update the 

completed sample size of each inspection procedures used 

during the inspection (procedures referenced in the 

inspection report) in the RPS/Item Reporting (IR) module. 

Further guidance is provided in Section 05.03(g) which 

requires that the completed sample size and completion 

procedure status should be updated in RPS as soon as 

practical after the completion of the inspection, but no later 

than 14 days after the inspection report is issued. In order to 

preserve the integrity of reports generated after the end of 

the year, changing a "Complete" status to "Incomplete" or 

"N/A" will not be allowed more than 60 days after the end of 

the cycle. 

 
 In addition to the above, a revision to IMC 0612, "Power 

Reactor Inspection Reports," includes a specific requirement 

that inspection reports identify what was inspected and 

provide sufficient detail on which and how many samples 

were inspected. 

OIG Analysis: The proposed corrective actions address the intent of OIG’s 

recommendation. Recommendation 3 will be closed once 

OIG has received the final Inspection Manual Chapters that 

reflect these changes. 

Status: Resolved. 
Recommendation 4: Develop a process to lock down Reactor Program System 

inspection data fields after the inspection report has been 

issued. 

Response Dated 

October 14, 2005 The September 16, 2005, release of RPS implemented a 

process to lock down inspection sample data after it has 

been reviewed, approved, and certified. An explanation of 

the IMC guidance is included in the response to 

Recommendation 3. 

OIG Analysis: The corrective action addresses the intent of OIG’s 

recommendation. Recommendation 4 will be closed once 

OIG has received the final Inspection Manual Chapters that 

reflect these changes. 

Status: Resolved. 
Recommendation 5: Formalize a process for handling Reactor Program System Help 

requests. 

Response Dated 

October 14, 2005: NRR has implemented a process for recording and 

monitoring RPSHELP e-mails requests from RPS users. All 

RPSHELP e-mails received since May 9, 2005, are in the 

database. This database is being monitored to ensure all 

requests are responded to within two days of the request. 

Implementation of some requests includes a benefit-cost 

analysis and a discussion at the next regional counterpart 

meeting. For those requests that require further analysis the 

requester will be notified within a week of the decision to 

approve or reject the request. Requests which require 

software changes are included in the next software release. 

OIG Analysis: The corrective action addresses the intent of OIG’s 

recommendation. Recommendation 5 is closed. 

Status: Closed. 
Recommendation 6: Create performance metrics to assess timeliness and user 

satisfaction of Reactor Program System Help. 

Response Dated 

October 14, 2005: The data collected in the database created in response to 

Recommendation 5 is being used to assess timeliness in 

response to RPSHELP e-mails. The metric being used is to 

respond to the requester within two work days of the 

request. During the period from May 9 to August 16, 2005, 

59 percent of the RPSHELP e-mails were responded to, 

resolved, and closed on the same day they were received. 

In addition, the RPS user survey developed in response to 

Recommendation 8 will be used to measure user satisfaction 

of RPS help requests. 

OIG Analysis: The corrective actions address the intent of OIG’s 

recommendation. Recommendation 6 will be closed when 

NRR provides information on how frequently the metric will 

be checked and documentation indicating that this 

assessment has been integrated into office procedures. 

Status: Resolved. 
Recommendation 7: Develop a formal process for Reactor Program System regional 

counterparts to proactively gather user concerns prior to 

counterpart meetings. 

Response Dated 

October 14, 2005: NRR is working with the four regions to develop a consistent 

policy that will include the formalization of the process to 

implement recommendation 2 and 7. The RPS regional 

counterparts will send an e-mail to the regional RPS users 

periodically and just prior to counterpart meetings to gather 

concerns and comments. 

OIG Analysis: The proposed corrective action addresses the intent of OIG’s 

recommendation. Recommendation 7 will be closed once 

OIG has received documentation that a formal process for 

Reactor Program System regional counterparts to 

proactively gather user concerns prior to counterpart 

meetings has been implemented. 

Status: Resolved. 
Recommendation 8: Conduct an annual Reactor Program System user survey to 

determine the needs of the users. 

Response Dated 

October 14, 2005: NRR developed an on-line RPS survey which was e-mailed 

to regional RPS users on September 8, 2005. Users had 

until September 30, 2005, to submit their responses. This 

survey will be conducted annually. 

OIG Analysis: The corrective action addresses the intent of OIG’s 

recommendation. Recommendation 8 will be closed when 

NRR provides a copy of the survey questions and 

documentation indicating that this annual survey has been 

integrated into office procedures. 

Status: Resolved. 
Recommendation 9: Implement a formal Reactor Program System training program that 

includes periodic refresher training and classes tailored to 

different user responsibilities. 

Response Dated 

October 14, 2005: The survey created in response to Recommendation 8 will 

be used to gather information on the training needs of RPS 

users. The Headquarters Reactor Program Team will 

continue to provide training to the regional counterparts. 

Training in the regions will normally be conducted by the 

regional counterparts. The Headquarters Reactor Program 

Team will provide training at the regions when requested. 

OIG Analysis: The proposed corrective action addresses the intent of OIG’s 

recommendation. Recommendation 9 will be closed once 

OIG has received documentation that a formal training 

program has been implemented. 

Status: Resolved. 
Recommendation 10: Complete the efforts to provide users with current system 

information in the form of online tutorials. 

Response Dated 

October 14, 2005: NRR has developed on-line "How-do-I" tutorials for the most 

used features of RPS. "How-do-I" tutorials are being 

developed for new and changed features and will be made 

available when new releases are deployed. This is an ongoing effort that will continue for the life of RPS as new 

features are added to the system. 

OIG Analysis: The corrective action addresses the intent of OIG’s 

recommendation. OIG reviewed the online tutorials and 

found that they address the commonly used features, 

therefore, recommendation 10 is closed. 

Status: Closed.