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U.S. NUCLEAR REGULATORY COMMISSION 

AGENCY E-GOVERNMENT ACT IMPLEMENTATION UPDATE 

December 29, 2009 

The U.S. Nuclear Regulatory Commission (NRC) is pleased to submit its FY 2009 

E-Government report to the Office of Management and Budget. The report reflects the guidance 

provided in Mr. Vivek Kundra’s November 25, 2009, memorandum to Chief Information Officers, 

“FY 2009 E-Government Act Reporting Instructions.” 

NRC’s report highlights accomplishments under each of the three topic areas requested in 

Mr. Kundra’s guidance: (1) efforts with regard to transparency, engagement, and innovation; 

(2) information management and information technology activities; and (3) implementation of 

E-Government initiatives to include efficiency and effectiveness. 

Executive Summary 

The NRC is strengthening its commitment to openness and transparency through a variety of 

new and ongoing initiatives to help the public understand and participate in its processes. The 

NRC highlighted this commitment in a December 2009 “NRC News” release 

(http://www.nrc.gov/reading-rm/doc-collections/news/2009/09-198.html). In addition, on its Open 

Government Innovation Web page, the White House is highlighting one new NRC initiative. 

Transparency, engagement, and innovation have been long standing goals of the NRC because 

they are key principals in informing and involving stakeholders in the NRC’s regulatory process. 

NRC’s Strategic Plans included an “Openness” objective which states “The NRC appropriately 

informs and involves stakeholders in the regulatory process.” Consistent with this objective, the 

NRC was the first Government agency to provide an agencywide electronic documents 

management system which provides the public with electronic access to all its public 

documents. The agency also has in place measures and metrics to ensure compliance with its 

goals for timely release of information and timely response to stakeholder requests for 

information. 

The NRC makes extensive use of it public Web site (http://www.nrc.gov/) to inform 

stakeholders. The Web site contains information on Commission decisions, hearing transcripts, 

enforcement actions, petitions, event reports, daily plant status, a facility information finder, and 

detailed information on the performance of reactor licensees. In FY 2009, the agency added the 

capability for site users to subscribe to desired content (http://www.nrc.gov/publicinvolve/listserver.html) and receive updates as they occur. In FY 2010 a program to further 

enhance the agency‘s Web site is planned, including significant improvements to search engine 

capabilities. The agency is also transitioning to a Web-based distribution of agency 

correspondence related to operating reactors. This new distribution method allows the public to 

receive correspondence on a facility-by-facility basis through an interactive Web site. This new 

method greatly increases the ease and speed by which the public can access information. In a 

recent 30-day period, the agency distributed more than 17,000 pieces of correspondence to 

recipients in 16 different countries. 
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In addition to the above, stakeholder engagement is fostered through public meetings, public 

hearings, rulemaking, document comment processes, and conferences. To enhance public 

outreach and openness, the NRC has created a program to train existing staff as in-house 

meeting facilitators and advisors. The agency provides live Webcasts of high public interest 

Commission meetings; the public can also access past Webcasts from the public Web site. In 

FY 2009, the agency successfully piloted the use of “Live Meeting” at select public meetings to 

enable remote stakeholders to participate electronically. And, the NRC has enhanced the 

accessibility of its public Web site by offering site visitors the BrowseAloud assistive technology 

solution which allows site visitors to "listen" to the contents of a Web page. 

The agency involves its stakeholders in ongoing programs to improve current capabilities as 

well as to build new capabilities. The NRC coordinated with the Nuclear Energy Institute and 

industry to provide an electronic means for the submission of license applications. The agency 

worked with stakeholders to streamline the receipt, processing, and distribution of documents 

associated with adjudicatory proceedings. Finally, the agency has a standing user group to 

guide enhancements to its publicly available electronic documents system. 

These initiatives are key to ensuring transparency, and fostering engagement of stakeholders. 

NRC continues to look for innovative uses of technology to advance its Openness objective. 

In FY 2009, the NRC implemented the National Source Tracking System (NSTS), a significant 

E-Government initiative. The events of September 11, 2001, heightened the Nation’s concern 

about the possible use of radioactive materials for a malevolent act. Both in the United States 

and abroad, various industries, hospitals, and academic institutions make widespread use 

radioactive materials (often contained in sealed sources). A major impetus for NSTS is the need 

to control radioactive materials that could be used in a radiological dispersal device or “dirty 

bomb” (a conventional explosive that carries radioactive materials and releases them on 

detonation). 

At a July 12, 2007, hearing of the Senate Committee on Homeland Security and Governmental 

Affairs Permanent Subcommittee on Investigations, participants suggested that the NRC should 

consider establishing a Web-based licensing (verification) system that would allow suppliers of 

radioactive materials to validate purchaser licenses as well as the authorized quantity that a 

purchaser could obtain. The Government Accountability Office, NRC, and Congress deemed 

this information technology initiative both necessary and urgent. 

In FY 2009, the successful implementation of NSTS satisfied NRC’s commitment to Congress to 

develop source tracking capabilities and satisfied the International Atomic Energy Agency’s 

Code of Conduct’s call for a national, central database of high-risk sources. 

Over the 5-year period ending in FY 2015, the projected cost avoidance and cost saving for 

NSTS is $47 million. 

In addition, in FY 2009, NRC successfully implemented the eTravel system complying with the 

government wide E-Gov program. Over the 4-year period ending in FY 2013, the projected cost 

avoidance and cost saving for eTravel is $1.6 million dollars. 

The NRC continues to adopt best practices to improve the oversight and management of its 

information technology and management investments. In FY 2009, the NRC adopted and 

integrated the IT Dashboard into its investment management process and has instituted 

procedures to ensure that staff updates the IT Dashboard monthly. In addition, the agency holds 
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managers accountable in their Senior Executive Service plans for the score of their major 

Information Technology (IT) investments on the IT Dashboard. 

The NRC is aggressively moving forward on exploring options for the reduction of legacy 

applications and systems through elimination and retirement, consolidation of “NRC-unique” 

applications and systems, outsourcing of applications and systems to other Federal agencies of 

“non-unique NRC” applications and systems, and on implementing new technologies focused 

on data center consolidation such as server virtualization, cloud computing, and implementing 

green data center best practices. As an example of progress made to date, twenty one NRC 

systems are hosted by partner agencies. 

In FY 2009, NRC made significant progress in its telework program. In February 2009, the 

agency conducted an “Information Technology (IT) Summit" during which participants identified 

their top priority IT goals as “Working from Anywhere” (e.g. Work-at-a-Distance) and “Working 

with Anyone.” A variety of tools are currently available for staff to use in achieving these goals, 

including virtual desktop solution, secure wireless loaner laptop computers, virtual meeting 

solutions, and others. Additional capabilities are planned, including use of Virtual Private 

Network (VPN) capability, instant messaging, and “Presence Management”. 

Section I: Transparency, Engagement, and Innovation

1. Describe major transparency initiatives undertaken in the past year and major 

transparency initiatives planned for the coming year. 

The NRC has been working on transparency for many years as part of its Openness objective 

described in the agency’s FY 2004-2009 and FY 2008-2013 Strategic Plans. The Agency’s 

Openness objective states “The NRC appropriately informs and involves stakeholders in the 

regulatory process.” In fact, Openness is one of the agency’s organizational values

(http://www.nrc.gov/about-nrc/values.html) and is part of the NRC’s “Principles of Good 

Regulation.” As mentioned previously, the NRC was the first agency to provide the public with 

electronic access to all of its public documents through the groundbreaking Agency Documents 

Access and Management System (ADAMS), which went into production in 2000. The NRC’s 

policy is to make most nonsensitive documents public through ADAMS unless there is a specific 

reason not to do so; this practice reduces the number of Freedom of Information Act requests 

the agency receives. 

As one important measure of transparency, the agency has established a composite information 

dissemination timeliness measure composed of four sub-measures related to the timeliness of 

Freedom of Information Act (FOIA) responses, public meeting notices, and the timely release of 

internally and externally generated public documents. The agency has improved on all four of 

those measures in FY 2009 and has met the agency-established target for three of them: the 

FOIA, the public meeting notice, and the internally generated documents timeliness measures. 

For FY 2010, in an effort to improve performance on the fourth measure, the agency has added 

the timely release of externally generated documents to the set of measures for which NRC 

offices are held accountable. 

In addition to the documents available through ADAMS, the NRC posts a vast array of 

information on its public Web site (http://www.nrc.gov/ ). This information includes all 

nonsensitive Commission decision’s, hearing transcripts, enforcement actions, petitions, event 

reports, daily plant status, a facility information finder, and detailed information on the 

performance of reactor licensees. In FY 2009, the agency added the capability for site users to 
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subscribe to desired content (http://www.nrc.gov/public-involve/listserver.html) and receive 

updates. The agency is transitioning to a Web-based distribution of agency correspondence 

related to operating reactors. This new distribution method allows the public to receive 

correspondence on a facility-by-facility basis through an interactive Web site. This new method 

greatly increases the ease and speed by which the public can access information. In a recent 

30-day period, the agency distributed more than 17,000 pieces of correspondence, to recipients 

in 16 different countries. 

Recognizing the important role of the Web in openness and outreach to the public, the NRC 

commissioned a number of surveys and reviews of usability and content and is now undergoing 

a major redesign of its public Web site. The redesign, scheduled for implementation in 2011, will 

improve navigation, appearance, content, usability and accessibility. Part of the redesign will 

include a significant upgrade to ADAMS, the agency’s online document management system, to 

make it more user friendly, with a significantly improved search capacity. 

2. Do you have an innovation you would like to share with the public and the Federal 

workforce on the Innovations Gallery? 

The NRC has recently contributed to the Innovations Gallery. The newly unveiled 2-minute 

video, available at www.whitehouse.gov/open/innovations , explains the NRC’s use of Web 

conferencing to bring meetings about possible changes to emergency preparedness regulations 

to more people. As part of the agency’s outreach efforts, public meetings were held in venues 

throughout the country. At each meeting, anyone with a computer could log on to an 

Internet-based conference center and participate from any location by listening to content, 

asking questions, and providing comments. 

NRC has regularly provided its stakeholders with leading edge, innovative solutions to improve 

the efficiency and effectiveness of stakeholder interaction with the agency. Examples are noted 

in various sections of this report and include the agency’s electronic document management 

system and automation of the license application and adjudicatory proceedings. 

3. How many data sets does your agency have on data.gov? 

In October of 2009, NRC published Its U.S. Commercial Nuclear Power Reactors dataset which 

provides demographic data on U.S. power reactors as well as annual capacity factors. As a 

result of an external request, additional datasets on commercial power reactor performance will 

be published in FY 2010. 

4. Describe your progress in complying with OMB requirements to post all spending 

data on usaspending.gov. 

NRC is in compliance with OMB requirements to post all spending data on usaspending.gov. 

5. What tools is your agency using to advance citizen participation and engagement? 

Cite examples of how the agency has used citizen feedback.

The NRC uses numerous tools to foster citizen participation and engagement, including its 

public Web site, public meetings, public hearings, rulemaking, document comment processes, 

and conferences. 
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Public Web Site—The NRC Web site is designed to do the following: (1) increase openness by 

providing information that enhances the ability of stakeholders to participate effectively in the 

regulatory process; (2) broaden the public’s understanding of the NRC’s mission, goals, and 

performance; and (3) make doing business with the NRC easier by enhancing access to agency 

information and making tools available for conducting business electronically. In addition, the 

NRC makes use of public meetings, user groups, application-specific help desks, and surveys 

to further promote citizen participation. 

The NRC is committed to ensuring the quality of all information that it relies on for its regulatory 

decisions or disseminates. The agency’s practices in this area are consistent with the Office of 

Management and Budget Information Quality Guidelines and NRC Information Quality 

Guidelines as required by Section 515(a) of Public Law 106-554. 

The NRC Public Involvement page serves the goal of enhancing participation in the regulatory 

process (http://www.nrc.gov/public-involve.html). It contains links to pages with opportunities to 

learn about public meetings, comment on proposed rules and draft documents, request agency 

enforcement actions, participate in hearings, and ask the NRC to change or establish a 

regulation. Members of the public may also comment on proposed rulemaking actions through 

the Federal E-Rulemaking Portal at http://www.regulations.gov. 

The following sections of the NRC’s Web site, “About NRC”, ”Nuclear Reactors”, “Nuclear 

Materials”, and “Nuclear Waste”, aim to broaden the public’s understanding of the NRC’s 

mission, goals, and performance. The other main section of the Web site, the Facility 

Information Finder, provides Information about specific regulated facilities. 

The agency’s Electronic Submittals Page, where stakeholders can submit documents 

electronically to the NRC, addresses the goal of conducting business electronically. The NRC 

also has electronic hearing dockets. 

Public Meetings – The NRC conducts numerous public meetings across the country to engage 

stakeholders in the regulatory process. The agency’s policy is to Webcast all high public 

interest Commission Meetings and to post public meeting notices on its Web site at least 10 

calendar days in advance of the meeting. In FY 2009, the agency was successful in meeting 

this public meeting notice timeliness target 94 percent of the time, surpassing its 90 percent 

target. Also, in FY 2009, the NRC successfully piloted the use of “Live Meeting” at select 

meetings so that remote stakeholders could participate. The NRC will expand this capability 

during FY 2010. The agency also collects feedback from participants at every public meeting. 

To enhance public outreach and openness, the NRC has created a program to train existing 

staff to serve as in-house meeting facilitators and advisors. The NRC In-House Meeting 

Facilitator & Advisor Program will help ensure that NRC public meetings and outreach are 

effective, inclusive, fair, and increase NRC's capacity to collaborate and solve problems with 

both internal and external stakeholders. Facilitators serve as consultants to the staff members 

who have the lead for a meeting. They help ensure that outreach and participation best 

practices are used appropriately to make meetings effective for all parties involved. The 

facilitators are NRC staff members who assist with meetings as a collateral duty, led by a 

program manager. Currently, fourteen facilitators-in-training are being trained and mentored by 

experienced NRC staff and contractors to become solo facilitators as part of this program. 

The following paragraphs provide examples of how stakeholder feedback has been used by the 

agency. 
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ADAMS - Document Search and Retrieval - Since July 2001, the NRC has had an ADAMS User 

Group (AUG) for interested members of the public who use ADAMS on a routine basis. 

Through the user group, participants can learn about new releases and upgrades of the ADAMS 

software and can communicate with NRC staff about their ADAMS experiences and provide 

suggestions and comments for making ADAMS more accessible and easier to use. The minutes 

of past AUG meetings are available at http://www.nrc.gov/reading-rm/adams/usersgroup.html#2. The AUG tested the Web-based interface for accessing documents in the Publicly 

Available Records System (PARS) library before its deployment in late 2002. 

The agency also uses a distribution list of interested users to augment the activities of the group 

and provide faster communication to both heavy and casual ADAMS users. This listserv is 

intended for NRC to send communications to the AUG in order to notify them about ADAMS 

meetings, issues, problems, upgrades, etc. Information about this listserv can be found at the 

following URLs: 

 http://www.nrc.gov/public-involve/listserver.html

 http://www.nrc.gov/public-involve/listserve-descriptions.html

 

The NRC is working to improve the public’s ability to search for publicly available documents in 

ADAMS and will provide a Google-type interface to the PARS early next year. 

Electronic Submissions-License Applications - In providing the capability for industry to 

electronically submit license applications, the NRC coordinated with the Nuclear Energy Institute 

(NEI) to hold working group sessions with the industry. These sessions presented proofs of 

concept and collected input and feedback on electronic submission formats. They were 

successful in allowing the NRC to understand industry best practices and in defining an 

information technology solution for submitting electronic license applications. 

Adjudicatory Proceedings - The NRC initiated its Meta System project to provide the means to 

receive and manage complex electronic document submittals in anticipation of major license 

applications. To identify process and technology improvements to streamline the receipt, 

service, processing, distribution, and utilization of adjudicatory documents through the NRC 

Meta System, the agency’s Meta System Help Desk maintains an ongoing dialogue with 

external stakeholders. This help desk provides end-user support for Meta System applications, 

including supporting web-based E-Filing and Electronic Hearing Docket systems, answering 

questions about business processes, and identifying areas for improvement. 

Additionally, as follow-on to the long-standing practice associated with Commission meetings, 

the NRC has begun to provide Webstreaming access to selected adjudicatory proceedings, 

including those involving the Yucca Mountain high-level radioactive waste repository and 

combined license applications for new reactor facilities. As part of the access process for each 

adjudicatory Webstreaming event, the NRC provides stakeholders with an opportunity to 

provide comments on their experience using this technology. 

6. Is your agency currently meeting all reporting requirements of M-09-19? If not, what 

are your plans for being compliant? 

The NRC is meeting all reporting requirements of M-09-19. 
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Section II: Information & Information Technology Management

1. How has the IT Dashboard impacted the investment management process at your 

agency? 

The NRC currently has an Information Technology Business Council (ITBC) made up of 

executives from the NRC’s major offices. The ITBC functions as the agency investment review 

board. It recommends the IT capital investment portfolio and submits it to the Information 

Technology Senior Advisory Committee (ITSAC), which is comprised of senior executives from 

major NRC offices. The ITSAC sets IT investment strategy for the agency, ensuring a balance 

of programmatic and infrastructure IT support. The ITSAC reviews, concurs, and prioritizes the 

IT investment portfolio recommended by the ITBC and submits it to the Chief Information Officer 

(CIO). When requested by the CIO, the ITSAC serves as the executive review function for 

significant issues in the management control and evaluation phases of the Capital Planning and 

Investment Control process. All major investments receive an annual ITBC review. This control 

phase review process, in combination with the monthly review of NRC’s input to OMB’s IT 

Dashboard, ensures that the ITBC is continuously aware of the progress of all major 

investments and any significant changes to them. The IT Dashboard provides another 

mechanism for the ITBC to use as an early indicator of possible future problems. If potential 

problems are indicated, the ITBC raises the issue(s) to the ITSAC for review and action. 

In addition to the ITBC review and oversight, the agency holds responsible managers 

accountable for the score of their major IT investments on the IT dashboard in their SES plans. 

2. Describe your agency's efforts in complying with reporting requirements for the IT 

Dashboard. 

NRC investment managers are responsible for maintaining their Exhibit 300s. NRC has a 

defined process which requires the investment managers to advise of any updates required to 

the Dashboard by month-end. Proposed updates are presented to the Information Technology 

Business Council and the CIO for review. The CIO uses the update information provided along 

with other criteria to determine possible changes to the CIO Evaluation. Staff complete updates 

to the IT Dashboard by month end. 

3. Describe the process your agency is using to apply CIO Evaluations for your major IT 

investments. 

The IT Dashboard has increased the visibility of an investment's health and has promoted 

discussion between management, the Information Technology Business Council, and the 

investment managers on how they can improve the management and progress of their 

investments. As described above, appropriate staff review an investment’s “health” monthly. 

The NRC’s CIO has established quantitative and qualitative criteria for judging the “health” of IT 

investments and if the CIO determines that the CIO’s Evaluation of an investment should be 

changed, the change is made at month end. 

4. Provide your agency’s Information Resource Management (IRM) Strategic Plan and EA 

Transition Plan. 
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NRC’s Enterprise Transition Plan (ETP), which is attached, reflects the NRC's current and 

planned modernization initiatives. The agency submitted the attached version to OMB as a draft 

for the Q3 FY2009 EA (Enterprise Architecture) Assessment submission. The agency is 

updating the ETP to reflect the following: 

• The updates on the NRC modernization initiatives 

• Segment adjustments which the NRC will be submitting to OMB in Q2 FY2010 (see the 

response to Section II Question 6) 

• Alignment to applicable OMB Shared/Standard Segments, such as the Federal Identity, 

Credential and Access Management (FICAM) segment 

• Other relevant OMB E-Gov priorities identified from the FY2011 Budget Passback 

The NRC’s Information Technology/Information Management (IT/IM) Strategic Plan represents 

the foundation for directing and assessing the performance and results of the NRC’s IT/IM 

program over a 5-year period. The IT/IM strategic plan for fiscal year 2008-2013 is available on 

the Agency’s public Web site at http://www.nrc.gov/reading-rm/doccollections/nuregs/staff/sr1614/v4/sr1614v4.pdf

 NRC Attachments: 

Description File Name

DRAFT NRC Enterprise Transition Plan DRAFT NRC Enterprise Transition Plan.doc

5. Outline the progress of integrating the Enterprise Architecture and the Capital 

Planning and investment Control processes and policies. 

The NRC uses a formal Capital Planning and Investment Control (CPIC) process. The EA 

subject matter experts (SME) review all submissions for EA compliance and alignment. SME 

reviews are discussed at a project management review session and incorporated into standard 

conditions to be addressed for the project. The Information Technology Business Council and 

the Information Technology Senior Advisory Council are NRC’s IT governance boards. The 

ITBC recommends selection of the agency’s IT capital investment portfolio based on reviewing 

merits of the business case, core alignment with Agency’s goal and mission, and SME review 

input. The ITBC portfolio review includes alignment of investments with the NRC IT Roadmap. 

In addition, the ITBC reviews project control and status updates, which include progress on any 

open standard conditions. 

6. Provide the status and maturity of your modernization roadmap (segment 

architecture) activity including use by major programs and alignment shared target 

architectures. 

The included spreadsheet (NRC Segment Architecture.xls) provides the status and maturity for 

the NRC segment architecture activities, as reported in the September 2009, Enterprise 

Architecture Segment Report (EASR) submission. The EA Team is revising its segment 

definitions to better reflect the agency's program offices and business functions; the 

spreadsheet notes these changes in the "NRC Status" column. To summarize, the 

"Rulemaking" and "Regulatory Oversight" segments will be collapsed into one "Regulatory 

Activities" segment; "Information Sharing" will be collapsed into a new "IT Infrastructure" 

segment; "Management Oversight" will be added as a new segment; and the "Enterprise 
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Content Management" segment will be renamed to "Information Management" to better align to 

the OMB Standard Segment. 

Additionally, the spreadsheet reflects the progress being made maturing agency segment 

architectures. Several of the NRC segments have substantial architecture analysis; however, 

due to the new Enterprise Architecture Assessment Framework reporting requirements, they 

are reported as Notional or Planned. Plans currently exist to mature five of these segments 

(specifically, Information Management, Financial Management, Information and Technology 

Management, Project Management, and Security).

NRC Attachments: 

Description File Name 

NRC Segment Architecture NRC Segment Architecture.xls 

7. For each E-Gov initiative, provide the final determinations, priorities, and schedules. 

Also include your agency’s information dissemination product catalogs, directories, 

inventories, and any other management tools used to improve the dissemination of and 

access to your agency’s information by the public. 

• Get Copies of Document http://www.nrc.gov/reading-rm/copies-docs.html

• Freedom of Information Act (FOIA) Guide http://www.nrc.gov/reading-rm/foia/foiarequest.htmls 

• NUREG/BR-0010, Rev. 4, “Citizen’s Guide to U.S. Nuclear Regulatory Commission 

Information,” http://www.nrc.gov/reading-rm/doccollections/nuregs/brochures/br0010/index.html

• Government Information Locator Service http://www.nrc.gov/reading-rm/doccollections/gils/index.html

8. Provide your agency’s Freedom of Information Act (FOIA) handbook, the link of your 

agency’s primary FOIA Web site, and the Web site link where frequent requests for 

records are made available to the public. 

Freedom of Information Act Guide http://www.nrc.gov/reading-rm/foia/foia-request.html

Primary FOIA Web site http://www.nrc.gov/reading-rm/foia/foia-privacy.html

Records Frequently Requested Under FOIA http://www.nrc.gov/reading-rm/foia/records.html

Recent FOIA Requests http://www.nrc.gov/reading-rm/foia/recent-request.html
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9. Describe in brief your agency efforts to comply with Section 508 in regard to 

information Management. 

The NRC does have service provisions for people without access to the Internet. The NRC 

maintains a Public Document Room (PDR) where copies of NRC publicly available records can 

be read. Copies can be ordered in person, through e-mail, or by telephone. The PDR has a 

toll-free number (800-397-4209) and staff to assist members of the public who do not have 

Internet access. The PDR staff can also provide bibliographies based on subject searches of 

the public databases to give users an idea of the documents that are available. The PDR has a 

fee-based copy service. It is not uncommon to refer people to the nearest public library for 

further assistance since most public libraries now have Internet access. 

The NRC has further enhanced the accessibility of its public Web site by offering site visitors the 

BrowseAloud assistive technology solution. This customizable software allows site visitors to 

"listen" to the contents of a Web page, highlighting the words and sentences as they are "read" 

aloud. Unlike other available screen readers, which are designed exclusively for the blind, 

BrowseAloud provides a range of options to accommodate the broader needs of print-disabled 

stakeholders, who have visual impairments, learning disabilities (such as dyslexia), or literacy 

challenges (including English as a second language). BrowseAloud is available free of charge 

for NRC Web site visitors to download and use. 

10. A list of your agency’s public Web sites disseminating research and development 

(R&D) information to the public, and whether or not each web site provides the public 

information about federally funded R&D activities and/or provides the results of Federal 

research. 

The agency’s public Web site as a whole (http://www.nrc.gov) disseminates R&D information to 

the public, specifically through the following pages: 

• NUREG-series contractor reports http://www.nrc.gov/reading-rm/doccollections/nuregs/contract/index.html

• Research activities http://www.nrc.gov/about-nrc/regulatory/research.html

The Web site provides information about Federally funded R&D as well as the results of Federal 

research. 

11. Provide an inventory of formal agency agreements (e.g., contracts, memorandum of 

understanding, partnerships) with external entities (e.g., partnerships with State and 

local governments, public libraries, industry and commercial search engines) 

complementing your agency’s information dissemination program, briefly explaining 

how each agreement improves the access to and dissemination of Government 

information to the public. 

The NRC has formal agency agreements with several external entities that complement NRC’s 

information dissemination program. The NRC uses the U.S. Government Printing Office's 

Superintendent of Documents to disseminate its NUREGs, and has an agreement in place to 

participate in the Federal Depository Library Program and their sales program. The NRC also is 

required to send the Library of Congress File Center 15 copies of all its published documents. 

The agency also supplies publications to the National Technical Information Service (NTIS), 

which provides another point of public access for users. 
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The U.S. Department of Interior/Federal Consulting Group provides an online customer 

satisfaction survey to users of the NRC public Web site. The NRC uses the results of this survey 

in planning for and prioritizing improvements to the site. 

The agency also contracts with On-Line Video Service for Web streaming of all Commission 

meetings and some public meetings. 

12. Provide an inventory that describes your agency’s NARA-approved records 

schedules(s) or the link to the publicly posted records schedules(s), and a brief 

explanation of your agency’s progress to implement NARA Bulletin 2006-02. For the 

brief explanation please report the number of systems for which a record schedule was 

submitted to NARA in Fiscal Year (FY) 2008 and the number of systems still requiring 

records schedules. 

NUREG-0910, Revision 4, “Comprehensive Records Disposition Schedule,” includes a 

description of all records (in any format) that had a NARA-approved records retention schedule 

as of March 2005. This document as well as any new NRC Records Disposition Schedules 

approved after the publication of NUREG-0910 is posted on the NRC public Web site at 

http://www.nrc.gov/reading-rm/records-mgmt/disposition.html. Also, NRC Management Directive 

3.53, “NRC Records Management Program,” revised March 15, 2007, is available on the NRC 

public Web site at 

http://adamswebsearch2.nrc.gov/idmws/ViewDocByAccession.asp?AccessionNumber=ML0711

60026. This management directive does not report on the actual transfer of electronic records 

but does include instructions on implementation requirements for format and media. 

The NRC submitted 22 records retention schedules to NARA in FY 2008 covering 56 electronic 

information systems. The agency also determined which systems did not require a retention 

schedule because they did not contain records, were covered by NUREG-0910 or a General 

Records Schedule, or were created after the time mandated by the NARA bulletin. A retention 

schedule for analytical data (covering 60 electronic systems) is in draft, as well as one to cover 

budget activities. Additional records schedules are developed as needed based on information 

derived by a biannual data call and Privacy Impact Assessments.

Section III: Implementation of E-Government initiatives

In past years the NRC has highlighted major electronic initiatives that provide the means to 

receive and manage complex electronic document submittals in support of major license 

applications for new nuclear power plants, license renewals for existing nuclear power plants, 

and the Department of Energy’s high-level waste repository license application for Yucca 

Mountain, NV. This year the NRC is providing an update on its National Source Tracking 

System. 

1. Describe the initiative, the methodology for identification of the initiative, and how the 

initiative is transforming agency operations. 

The events of September 11, 2001, heightened the Nation’s concern about the possible use of 

radioactive materials for a malevolent act. Both in the United States and abroad, various 

industries, hospitals, and academic institutions make widespread use radioactive materials 

(often contained in sealed sources). A major impetus for NSTS is the need to control radioactive 
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materials that could be used in a radiological dispersal device or “dirty bomb” (a conventional 

explosive that carries radioactive materials and releases them on detonation). The NRC has 

been proactively working on material “real time” tracking capability since 2005. 

In late 2006 and early 2007, the Government Accountability Office (GAO) conducted a test of 

the NRC controls governing the issuance of licenses for possessing certain types of radioactive 

materials and for enforcing possession limits on the quantities of those materials. 

Subsequently, GAO reported that they were able to obtain radioactive materials licenses for two 

fabricated companies, modify the licenses to raise the possession limits, and utilize the 

augmented licenses to receive quotes for purchasing radioactive materials from legitimate 

licensees. 

At a July 12, 2007, hearing of the Senate Committee on Homeland Security and Governmental 

Affairs Permanent Subcommittee on Investigations following GAO’s report, participants 

suggested that the NRC should consider establishing a Web-based licensing (verification) 

system that would allow suppliers to validate purchaser licenses and the authorized quantity 

that a purchaser could obtain. The GAO, NRC, and Congress deemed this as a necessary and 

urgent information technology initiative to protect the nation from the threat of malevolent use of 

radioactive materials. 

2. Quantify the cost savings and cost avoidance achieved through implementing the 

initiative (e.g. reducing or eliminating other investments in information technology). 

In FY 2009, the successful implementation of NSTS satisfied NRC’s commitment to Congress to 

develop source tracking capabilities and satisfied the International Atomic Energy Agency’s 

Code of Conduct’s call for a national, central database of high-risk sources. 

As noted above, benefits associated with the NSTS include the following: monitoring the 

location, possession and disposal of radioactive sources of concern throughout the country; 

improve accountability and give better information to decisionmakers; responding in the event of 

an emergency; and communicating radioactive source information among Government 

agencies. 

Over the 5-year period ending in FY 2015, the projected cost avoidance and cost saving for 

NSTS is $47 million. 

3. Explain how your agency maintains an ongoing dialogue with interested parties to 

find innovative ways to use information technology for the initiative. 

The NRC regularly seeks opportunities for improvements to the NSTS and contributing 

processes. A major source of input is periodic conference calls with Agreement State agencies 

and direct contact and outreach efforts with key users who have high NSTS transaction volume. 

After capturing and analyzing these business drivers, the NRC utilizes independent contractor 

resources to evaluate potential improvements through system features then proposed for 

maintenance releases. Similarly, the NRC assesses application of emergent technologies as 

appropriate. 

4. Identify improved performance (e.g., outcome measures, quantifiable business 

impact) by tracking performance measures supporting agency objectives and strategic 

goals. 
 13

The NSTS, which received an authority-to-operate in December 2008, tracks the transfer of 

responsibility of sealed sources of radioactive materials. This tracking spans the life cycle of the 

source from manufacture through shipment receipt, decay, and burial. It supports controlled 

authorizations and accountability for licensed suppliers and licensed recipients of sealed 

sources. The successful implementation of NSTS satisfies NRC’s commitment to Congress to 

develop source tracking capabilities and satisfies the International Atomic Energy Agency’s 

Code of Conduct’s call for a national, central database of high-risk sources. 

NSTS helps the NRC do the following: 

• monitor the location, possession, and disposal of radioactive sources of concern 

throughout the country 

• improve accountability and give better information to decision makers 

• detect and act on tracking discrepancies 

• conduct inspections and investigations 

• communicate radioactive source information among Government agencies 

• respond in the event of an emergency 

• verify legitimate import, export, ownership, and use of radioactive sources 

• further analyze hazards attributable to the possession and use of radioactive materials 

In January 2009, all users of Category 1 and Category 2 radioactive sources in the United 

States began reporting their source inventories and transactions, as required by Titles 10 of the 

Code of Federal Regulations (10 CFR) Part 20, or Agreement State equivalent regulation. The 

regulations state that each licensee who manufactures, transfers, receives, disassembles, or 

disposes of a nationally tracked source must complete and submit a National Source Tracking 

Transaction Report. 

5. Explain how this initiative ensures the availability of government information and 

services for those without access to the internet and for those with disabilities. 

The NRC provides support for those who do not have access to a computer with Internet and 

who also need to report to the NSTS or who wish to obtain NSTS data. For those reporting 

regulated transactions (e.g., shipment or receipt of materials), the NSTS operational support 

contract includes data entry support for those who wish to report by fax using NRC Form 748. 

Those without NSTS user accounts may request NSTS data through routine NRC procedures. 

These include the NRC Freedom of Information Act process as well as services of the NRC 

Public Document Room, where NRC publicly available records can be read. The PDR has a 

toll-free number (800-397-4209) to assist members of the public who do not have Internet 

access. The PDR can also provide bibliographies based on subject searches of the public 

databases to give users an idea of the documents that are available. The PDR has a fee-based 

copy service. 
 14

6. Identify external partners (e.g. Federal, State or local agencies, industry) who 

collaborated on the initiative. 

Prior to enactment of the Energy Policy Act of 2005, the NRC began collaboration with a full 

range of organizations concerned with the threat of radiological dispersal devices. These 

outreach efforts included the establishment of an Interagency Coordinating Committee (ICC), 

comprised of representatives of external Federal agencies as well as the Organization of 

Agreement States (OAS). The OAS represents the interests of those states that regulate 

nuclear materials under the NRC Agreement State Program. In addition to the ICC, a 

crosscutting working group developed the NSTS requirements document, ensuring input from 

all perspectives. Later design efforts included industry input on the NSTS user interface. Most 

recent efforts have focused on working closely with industry users in an effort to minimize their 

burden in providing timely reporting of key activities of manufacturing and transfer of source 

materials. 

7. Explain how the project applies effective capital planning and investment control 

procedures; 

In 2005, the NRC Information Technology Business Council reviewed and approved the NSTS 

business case prior to concurrence of the NRC Chairman. Prior to acquisition of contractor 

support, the agency developed an integrated project plan reflecting all planned activities and 

resources required, both from NRC and contractor staff. In early 2006, following contract award, 

the agency refined this integrated plan resulting in the baseline NSTS plan. At the same time, 

the NRC implemented the Earned Value Management process to provide monthly monitoring of 

schedule and cost variance. This process continues and is integrated with our reporting under 

the OMB Exhibit 300. At an operational level, ongoing maintenance and enhancement work is 

managed using a Change Control Board, including representatives of all stakeholder segments, 

such as industry and Agreement State agencies. 

8. Describe the established process your agency has in place for the continued ongoing 

process of identification of initiatives. 

The NRC has a Capital Planning and Investment Control process that uses a vetting process to 

identify initiatives that may duplicate E-Government initiatives. The identification occurs at the 

very beginning of any investment and includes a review by the Enterprise Architecture Branch. 

An NRC governance board (The Information Technology Business Council) performs further 

review and includes a review by an NRC senior procurement official as required by OMB 

memorandum. 

9. Quantify the cost savings and cost avoidance achieved through implementation of 

new IT programs. 

As noted in the response to question 2 above, over the 5-year period ending in FY 2015, the 

projected cost avoidance and cost saving for NSTS is $47 million. 

In addition, in FY 2009 NRC successfully implemented the eTravel system, a Presidential 

Priority Initiative under OMB’s E-Gov program. eTravel provides a common, automated, and 

integrated approach to manage the travel function of the federal government’s civilian agencies. 

Over the 4-year period ending in FY 2013, NRC’s projected cost avoidance and cost saving 

through its use of eTravel is $1.6 million dollars. 
 15

10. Describe your efforts to consolidate, or collaborate with other agencies, to reduce 

the number of Federal data centers. 

Over the past 18 to 24 months the NRC has been in the process of assessing its IT portfolio 

seeking to reduce the number of applications and systems operated and maintained by the 

agency. These initiatives have been driven internally by agency mission needs, financial 

constraints, and advances in technologies, and externally by OMB and other Federal mandates. 

Specifically, the NRC has been focused on exploiting “E-Government” initiatives to the 

maximum extent possible to reduce the need for internal IT assets and resources; aligning its 

business processes with EA Lines of Business guidance to facilitate interagency 

communication, collaboration, and data sharing under the Federal Enterprise Architecture 

model; and by exploring and adapting new technologies to support environmental initiatives 

focused on “green data center” best practices. 

As a result, the agency has been developing and implementing strategies to reduce IT related 

costs directly and indirectly related to data center space, power, and environmental 

consumption through three core initiatives: 

 

1) Consolidation of applications and servers to reduce the agency’s data center operational 

requirements and carbon footprint. 

2) Collaboration with other Federal agencies to leverage data center and IT service 

offerings for “non-unique NRC” business applications (i.e., financials, human resources, 

travel, training, etc.). 

3) Coordination and partnering with other Federal agencies to explore opportunities for “colocation” of IT assets to support Disaster Recovery (DR) of NRC “business critical 

systems”. 

Consolidation of Applications and Servers 

The NRC has been in the process of planning and implementing both application and server 

consolidation through the replacement of legacy “client-server” applications with ‘web-based” 

technologies to reduce the number of applications and through the use of virtualization 

technologies to reduce the number of servers. Progress in consolidation efforts is reflected in 

the table below. In addition to the consolidation of case management and action item tracking 

systems that will remain within the NRC domain, the consolidation of both the legacy travel and 

financial and accounting systems are further offset by outsourcing these services to other 

Federal agency data center service providers.

Application/System Types Consolidation Ratio (Applications consolidated) 

Case management systems 4 to 1 consolidation. 

Reduces both applications and servers. 

Action item tracking systems 12 to 1 consolidation. 

Reduces both applications and servers. 

Travel systems 2 to 1 consolidation. 

Also outsourced to GSA leveraging the “E-Gov” “etravel” system. 

Financial & accounting 

systems 

19 to 1 consolidation. 

Also outsourced to DOI/NBC leveraging their “Financial Accounting 

and Integrated Management Information System (FAIMIS)” 
 16

Collaboration with other Federal agencies 

Currently the NRC has a number of applications and systems used by the NRC (exclusively and 

non-exclusively) which are hosted at other Federal agency data centers. The table below 

identifies our partnering agencies along with the number of applications/systems located and 

maintained by each: 

Agency # of Applications/Systems 

Department of Homeland Security (DHS) 1 

Department of Defense (DOD) 1 

Department of Energy (DOE) 4 

Department of Interior/National Business Center (DOI/NBC) 5 

General Service’s administration (GSA) 2 

National Institutes of Health (NIH) 4 

Office of Personnel Management (OPM) 2 

Department of the Treasury 2 

Total 21 

 

Coordination and Partnering with other Federal agencies to support Disaster Recovery 

During the past 12 months, the NRC has been in the process of developing a comprehensive 

Disaster Recovery (DR) Plan which includes the selection of an alternate site to house NRC 

“business critical” applications and systems. A key component of the alternate site selection 

process has been meeting with and evaluating other Federal agency data centers as a potential 

alternate site suitable for “co-hosting” NRC DR IT assets. This process is ongoing at this time 

but is expected to be completed in FY2010. The table below reflects agencies contacted and 

visited to date to determine a suitable environment (i.e., capacity, appropriate physical and IT 

security safeguards, environmental surroundings, and redundant critical service such as power, 

cooling, connectivity, and geographical location): 

Agency 

Department of Agriculture 

Department of Interior/National Business Center (DOI/NBC) 

Federal Emergency Management Agency (FEMA) 

Department of Defense (DoD) 

National Institutes of Health (NIH) 

11. Describe the telework program at your agency; include your plans to increase your 

employees’ ability to use Web 2.0 tools to work-at-a-distance. 

The NRC encourages staff to participate in the agency’s telework program, including both fixed 

and project-based telework alternatives. The NRC Human Resource Office maintains the 

information reference supporting the telework program. This information is accessible through 

the Agency’s Intranet. Please find attached “HR-Telework.pdf.” This file contains a snapshot 

view of the Agency’s internal Web site, where employees may access this information. Please 

also see the enclosed NRC telework brochure. The brochure provides an overview of the 

Agency’s telework program and how NRC employees can participate. 

In February 2009, the agency conducted an “Information Technology (IT) Summit" during which 

participants identified their top priority IT goals as “Working from Anywhere” (e.g. Work-at-aDistance) and “Working with Anyone.” A variety of tools are currently available for staff to use in 

achieving these goals, including virtual desktop solution, secure wireless loaner laptop 
 17

computers, virtual meeting solutions, and others. Additional capabilities are planned, including 

use of Virtual Private Network capability, instant messaging, and “Presence Management.” The 

document called “Working from Anywhere.pdf” contains a snapshot of the types of tools and 

services offered today. In addition, the NRC will be developing strategies and architectures to 

improve support for mobile and remote workers including a few focused areas in Web 2.0. 

Programs such as Microsoft SharePoint and Tomoye (a community of practice tool supporting 

NRC’s knowledge management program) facilitate internal collaboration. Agency staff also use 

tools such as wikis, blogs, and mashups that adhere to the NRC IT security requirements. 

NRC Attachments: 

Description File Name 

NRC Telework Brochure telework-brochure.pdf 

NRC’s HR Telework Web site page HR-Telework.pdf 

Working from Anywhere (WA) Working from Anywhere (WA).pdf