January 2001 Major Managem

Challenges and 

Performance Ri

Nuclear Regulatory 

Commission

GAO-01-259

Page 1 GAO-01-259 

Letter 

Overview 

Major 

Performance 

and 

Accountability 

Challenges

Related GAO 

Products

Performance 

and 

Accountability 

Series
Page 2 GAO-01-259 NR
of th

Page 3 GAO-01-259 

United States General Accounting Office

Washington, D.C. 20548

January 2001

The President of the Senate

The Speaker of the House of Representati

This report addresses the major performa

accountability challenges facing the Nucle

Commission (NRC) as it seeks to ensure a

protection of public health and safety, pro

defense and security, and protect the envi

regulating the nation’s civilian use of nucl

materials. It includes a summary of action

taken and that under way to address these 

also outlines further actions that GAO bel

needed. This analysis should help the new 

administration carry out their responsibil

improve government for the benefit of the 

people.

This report is part of a special series, first 

January 1999, entitled the Performance an

Accountability Series: Major Management 

and Program Risks. In that series, GAO ad

Congress that it planned to reassess the m

and criteria used to determine which fede

government operations and functions sho

highlighted and which should be designat

risk.” GAO completed the assessment, con

comments provided on a publicly availabl

draft, and published its guidance docume

Determining Performance and Accountab

Challenges and High Risks (GAO-01-159SP

November 2000.

This 2001 Performance and Accountabilit

contains separate reports on 21 agencies—

each cabinet department, most major inde
Page 4 GAO-01-259 NR

agencies, and the U.S. Postal Service. The se

includes a governmentwide perspective on p

and management challenges across the fede

government. As a companion volume to this 

is issuing an update on those government op

and programs that its work identified as “hig

because of either their greater vulnerabilitie

fraud, abuse, and mismanagement or major c

associated with their economy, efficiency, or 

effectiveness.

David M. Walker

Comptroller General 

of the United States
Page 5 GAO-01-259 
Page 6 GAO-01-259 

The Nuclear Regulatory Commission (NR

responsible for ensuring that those who u

material—in generating electricity, for exp

universities, and for such medical uses as 

cancer—do so in a manner that protects t

environment, and workers. NRC has issue

103 operating commercial nuclear power 

facilities that produce fuel for these plant

NRC, or the 32 states that have agreement

regulate almost 21,000 entities that use nu

(nuclear material licensees).1

 In the medic

licensees annually perform an estimated 1

12 million diagnostic and therapeutic proc

involving radioactive material.

NRC has been moving from its traditional 

approach, which was largely developed w

benefit of quantitative estimates of risk, to

a risk-informed, performance-based appro

this approach, NRC will use risk assessme

engineering analysis, and performance his

attention on the most important safety-rel

establish objective criteria to evaluate per

develop measures to assess licensee perfo

focus on results as the primary basis for m

regulatory decisions. Public interest group 

representatives, the Nuclear Energy Institu

believe that risk-informed and performan

approaches would result in a more transp

predictable, nonredundant, and efficient r

environment.2

 Successfully implementing 

approaches, however, will require NRC to 

1

In addition, about 100,000 entities are authorized to 

powered by radioactive materials.

2

The Nuclear Energy Institute includes members fro

licensed to operate commercial nuclear plants in the 

well as nuclear plant designers, major architectural/

fuel fabrication facilities, materials licensees, and ot

and individuals involved in the nuclear energy indus
Page 7 GAO-01-259 

culture of its staff, which has a long history w

commitment to the traditional regulatory app

GAO, the Nuclear Energy Institute, and othe

doubts about NRC’s ability to bridge this cul

and effectively implement the new approach

aware of the complexities involved and the l

nature of these types of changes. It has initia

number of activities to address implementat

but it continues to face major performance a

accountability challenges in managing these 

fundamental changes. NRC’s performance in 

these challenges will significantly shape its a

ensure that commercial nuclear power plant

licensees operate safely and, ultimately, that 

the public, and the environment are adequat

protected.

Nuclear Power 

Plants

NRC faces numerous challenges to impleme

informed regulatory approach for commerci

• Resolve numerous issues to implement a ris

informed regulatory approach for commercia

nuclear power plants

• Overcome inherent difficulties to apply a risk

informed approach to nuclear material licen

• Continue efforts to cope with significant hum

capital challenges, resolve financial 

management issues, and effectively develop 

implement new information technology
Page 8 GAO-01-259 NR

power plants. In a March 1999 report, we c

whatever processes NRC ultimately adopt

consistent, visible, and clear. This become

important as the nation moves to a compe

electricity environment because utilities w

be able to pass the costs of regulatory com

consumers. Yet because of concerns abou

catastrophic accidents, the public will con

pressure NRC and the industry to explain 

As we recommended in March 1999, a cle

strategy would help both NRC and the uti

the public’s concerns as it implements a r

regulatory approach. 

In response, NRC initially agreed on the n

comprehensive strategy that would descr

activities it wanted to risk-inform, the acti

make them so, and the schedule and reso

to accomplish the activities, but it has not 

Instead, NRC developed the Risk-Informe

Implementation Plan, which includes guid

identify, set priorities for, and implement 

changes to regulatory processes. Howeve

not as comprehensive as it needs to be be

not identify those items critical to achievi

objectives, activities that cut across the ag

resources, performance measures, or the 

among these various activities. NRC has m

commitment to having performance meas

end of December 2000 and to including th

year 2002 performance plan. 

As we reported in January 2000, NRC also 

overcome the opposition of its own staff a

to a risk-informed approach. Both NRC st

public have had a long history with the tra

approach and do not fully understand the 

implementing a risk-informed approach a

relationship of that approach to maintainin

Finally, NRC needs to address several que
Page 9 GAO-01-259 

aspects of its relationship with the utilities it 

After concluding that it could not demonstra

risk-informed approach would be cost-benef

utilities, NRC decided that compliance with 

approach would be voluntary. As we previou

concluded, NRC will be regulating with two 

systems—one for those utilities that choose 

with a risk-informed approach and another f

that choose to stay with the existing regulato

approach. Furthermore, NRC has not decide

to allow utilities to “pick and choose” among 

provisions of the regulations that it risk-info

compounds the challenges in an already com

regulatory environment. If NRC successfully 

these challenges, it will help ensure that com

nuclear plants operate safely and that it disc

regulatory responsibilities effectively and eff

Nuclear Material 

Licensees

NRC also needs to overcome the difficulties 

applying a risk-informed regulatory approac

nuclear material licensees. Of most importan

sheer number of licensees—almost 21,000—

diversity of activities they conduct—convert

uranium, transporting radioactive material, a

radioactive material for industrial, medical, o

purposes—increase the complexity of develo

informed regulatory approach for material li

addition, NRC will be challenged to define it

including the size and skill mix of staff both 

headquarters and regional offices, as an incr

number of states assume responsibility for r

nuclear material users within their borders. 

decisions that NRC ultimately makes could h

budgetary and other implications for the age

Management Issues NRC needs to resolve a number of challenge

effectively and efficiently manage the agency

example, by the end of fiscal year 2005, abou
Page 10 GAO-01-259 NR

of NRC staff will be eligible to retire. As a 

needs to identify the scientific, engineerin

technical core competencies as well as th

expertise that staff need to carry out NRC

develop a plan to replenish its workforce. 

Chairman has said that maintaining techn

competency may be the biggest challenge 

the agency. NRC must also ensure that sta

replace those who retire or leave the agen

training needed to effectively and efficien

their responsibilities. In October 2000, we 

that NRC identify the skills needed for tho

replace its technical training instructors a

succession plan to ensure that qualified st

available and trained to minimize the disr

technical training provided. NRC’s human 

problems can be seen as part of a broader 

human capital shortcomings that have ero

capabilities across the federal governmen

High-Risk Series: An Update (GAO-01-263, 

for a discussion of human capital as a new

governmentwide high risk area.

Like most other federal agencies, NRC als

improve its financial management by deve

implementing a cost accounting system. N

the Inspector General (OIG) identified the 

accounting process as a material weaknes

a substantial noncompliance with the Fed

Management Improvement Act. Finally, th

NRC experienced with its new document 

retrieval system illustrate that the agency 

that its information technology acquisitio

developed and implemented as intended t

staff dissatisfaction and maximize its reso
Page 11 GAO-01-259 

y g

NRC’s primary mission is to ensure that th

using radioactive materials do so in a man

protects the public, the environment, and 

Identifying safety problems and making su

licensees correct them promptly are essen

safety mission. NRC faces a number of ch

moves from its traditional regulatory appr

was largely developed without the benefit 

quantitative estimates of risk, to an appro

risk-informed regulation—that considers 

conjunction with engineering analyses an

experience. NRC has also been moving to 

performance-based regulatory approach. 

informed, performance-based approach u

assessment results and findings, engineer

and performance history to focus attentio

important activities, establish objective cr

evaluate performance, develop measures 

licensee performance, and focus on result

primary basis for making regulatory decis

faces significant challenges in managing t

NRC Needs to 

Resolve Numerous 

Issues to 

Implement a RiskInformed 

Approach for 

Commercial 

Nuclear Power 

Plants 

Public interest group representatives, the 

Energy Institute, and others believe that r

and performance-based approaches woul

more transparent, predictable, nonredund

efficient regulatory environment. We prev

concluded that whatever processes NRC u

adopts must be consistent, visible, and cle

for clarity may be even more important to

been in the past because in a competitive 

environment, utilities will not always be a

costs of regulatory compliance on to cons

because of concerns about the risks of ca

accidents, the public will continue to pres

the industry to explain their actions. A cle

strategy would help both NRC and the uti

the public’s concerns. 
Page 12 GAO-01-259 NR

However, NRC does not have comprehensive 

implement a risk-informed regulatory approa

performance-based approach. As early as 19

OIG recommended that the agency define th

of a performance-based approach and develo

implement it.1

 NRC subsequently identified th

and in September 2000 published “high-level

for identifying the regulations that could be 

performance based. NRC staff tested the gui

applying them to two regulations. They conc

the test cases clearly support the utility of th

guidelines, but to maximize the performance

potential, the guidelines need to be applied t

regulations selected and their implementing 

ensure effective results. 

NRC staff plan to develop a management dir

support agencywide implementation of the g

ongoing and future rulemakings and other re

activities. They also expect to develop a 

communications plan to promote broader aw

performance-based approaches among exter

stakeholders. As a result, NRC staff do not be

comprehensive strategy or plan to implemen

performance-based approach is needed. How

it completes these efforts and demonstrates 

of the guidance, it is not clear whether NRC w

its goals or whether it will need to resolve ot

challenges. 

In March 1999, we recommended that NRC d

comprehensive strategy to guide the process 

to a risk-informed regulatory approach. In re

NRC initially agreed on the need for a compr

1

Better Definition and Planning Needed to Guide NRC’s 

Risk-Informed, Performance-Based Regulatory System 

Oct. 4, 1996).
Page 13 GAO-01-259 

strategy that would describe the activities 

wanted to risk-inform, the actions needed 

so, and the schedule and resources neede

accomplish the activities, but it has not do

NRC Commissioner said in March 2000, “w

are . . . inventing this as we go along [and] 

much things are changing, it’s very hard to 

months from now, let alone years from no

NRC developed the Risk-Informed Regula

Implementation Plan, which includes guid

identify, set priorities for, and implement 

changes to regulatory processes. The plan 

specific tasks and projected milestones. 

The Risk-Informed Regulation Implement

not as comprehensive as it needs to be be

not identify performance measures, the it

critical to achieving its objectives, activiti

across its major offices, resources, or the 

among the more than 40 separate activitie

20 pertain to nuclear power plant safety). 

risk-informing NRC’s regulations will be a 

task because they are interrelated. Amend

regulation can potentially affect other reg

governing other aspects of nuclear plant o

NRC recognized this problem when, in dev

informed approach for one regulation, it i

20 regulations that would need to be mad

NRC expects that its efforts to change its 

applicable to nuclear power plants to focu

relative risk will take 5 to

8 years.

Another example of the many challenges 

implementing a risk-informed approach fo

nuclear power plants relates to the develo

implementation of risk-based performanc

NRC may need until at least fiscal year 20

integrate risk-based indicators into its new 

oversight process for commercial nuclear 
Page 14 GAO-01-259 NR

The risk-based indicators would supplement 

performance indicators, inspections, and ris

significance determination process of the ne

oversight process. The Nuclear Energy Instit

interest groups, and one state official have ra

number of issues about NRC’s development 

indicators: the (1) scope and source of the da

(2) resources required to develop them, (3) n

assessments to reflect actual conditions at th

and (4) impact on inspection coverage at the 

For example, the nuclear power industry has 

that NRC could reduce its inspection covera

implementing the risk-based performance ind

the other hand, the Union of Concerned Scie

one state official oppose this suggestion. The 

official noted that NRC needs to conduct mo

inspections than the few it does now. NRC st

to report in November 2001 on their efforts t

reliable risk-based performance indicators fo

equipment, fire protection, and industrywide 

in the spring of 2003, on the feasibility of dev

such indicators for earthquakes and other ex

events. However, NRC has not determined w

when such indicators would be included in t

safety oversight process.

According to staff, NRC intends the Risk-Inf

Regulation Implementation Plan to be a high

with other agency documents, such as opera

prepared by its major program offices, provi

day-to-day linkages and interrelationships am

various activities. NRC has made a commitm

define performance measures by the end of 

2000 and to include them in its fiscal year 20

performance plan. It also expects to elicit bo

and the public’s comments on the plan. At a 

2000 briefing, several NRC Commissioners 

acknowledged that the agency still “had a wa

have a strategy to guide its actions. Until the 
Page 15 GAO-01-259 

complete these activities, NRC, the Congr

stakeholders cannot determine whether th

Informed Regulation Implementation Plan 

the comprehensive roadmap that we reco

Management 

Leadership Needed 

for Staff to 

Successfully 

Implement, and the 

Public to Accept, 

NRC’s New 

Direction

NRC needs to obtain staff “buy in” and en

public is confident about its new regulato

As we concluded in January 2000, a large 

NRC staff did not believe that managemen

effectively leading the change process or i

in the changes being made. More importa

25 percent of the Office of Nuclear Reacto

staff believed that a risk-informed approa

accepted by NRC staff.2

 With such limited 

acceptance, it will be difficult for NRC to 

implement its new regulatory approach. N

began an initiative to identify options to h

accept and effectively implement the agen

direction and to ensure that they understa

for implementing a risk-informed approac

relationship of that approach to maintainin

Because NRC started this initiative in Oct

too early to determine whether it would h

achieve greater staff buy-in. 

NRC also needs to ensure that the public 

that a risk-informed approach would affor

level of safety as its traditional regulatory 

example, NRC has approved more than 10

amendments for nuclear power plants usi

informed approach. This approval was ba

guidance that NRC used to determine if u

assessments adequately supported the pro

2

The Office of Nuclear Reactor Regulation is respon

that commercial nuclear power plants operate safel

endanger the public or the environment. 
Page 16 GAO-01-259 NR

amendments. Risk assessments are one of th

tools to identify and focus on those structure

and components of nuclear plants that pose 

risk to safety. NRC used the interim guidanc

standards for the quality and scope of risk as

are currently under development by the Ame

Society of Mechanical Engineers, the Americ

Society, and others. 

While NRC believes that most of these new s

will be made final in 2001, this issue is far fro

resolved because NRC will have to adopt the 

and obtain public comment on them. Further

will have to develop a mechanism to make u

assessment results available to the public. Cu

public has access only to information that is 

years old. In October 2000, the Advisory Com

Reactor Safeguards noted that without ready 

updated assessment results, the public may n

confidence in regulatory decisions that use r

assessments.3

Selective 

Implementation of 

Regulations Could 

Exacerbate an 

Already Complex 

Regulatory 

Environment

Because NRC cannot demonstrate that a risk

approach would be cost-beneficial to utilities

that compliance with such an approach will 

voluntary. As we previously concluded, NRC 

regulating with two different systems—one f

utilities that choose to comply with a risk-in

approach and another for those that choose 

the existing regulatory approach. In addition

not decided whether to allow utilities to “pic

choose” among the specific provisions of the 

that it risk-informs (selective implementation

3

The Advisory Committee on Reactor Safeguards is a st

committee established to advise NRC on the safety aspe

proposed and existing nuclear facilities as well as to pe

duties as the Commission may request.
Page 17 GAO-01-259 

not yet issued an agency policy on selecti

implementation or specified a time frame 

We believe that selective implementation 

compound the challenges in an already co

regulatory environment. According to NR

agency has had many years of experience 

different nuclear plant designs and differe

requirements. They also noted that with e

deregulation, the nuclear power industry 

consolidating, which may resolve some of 

regulatory complexities. This is because s

policies and practices could result from th

consolidation and because NRC will have 

companies to oversee. NRC recently bega

impact of deregulation and its consequenc

agency and the industry in such areas as g

decommissioning funding, and regional co

This assessment could identify other polic

programmatic, or management challenges 

need to address. 

NRC Needs to 

Overcome 

Inherent 

Difficulties to 

Apply a RiskInformed 

Approach to 

Nuclear Material 

Licensees

NRC needs to overcome the difficulties in

applying a risk-informed regulatory appro

nuclear material licensees. The sheer num

licensees—almost 21,000—and the divers

activities they conduct—converting urani

decommissioning nuclear plants, transpor

radioactive materials, and using radioactiv

industrial, medical, or academic purposes

complexity of developing a risk-informed 

would adequately cover all types of licens

example, the diversity of licensees results 

levels of analytical sophistication; differen

in using risk-informed methods, such as r

assessments and other methods; and unev

about the analytical methods that would b

them.
Page 18 GAO-01-259 NR

Because material licensees will be using diff

informed methods, NRC has grouped them b

of material used and the regulatory requirem

that material. For example, licensees that ma

casks to store spent reactor fuel could be req

formal analytical methods, such as a risk ass

Other licensees, such as those that use nucle

in industrial and medical applications, would 

expected to conduct risk assessments. Rathe

said that they will use other methods to dete

aspects of the licensees’ operations that have 

risk, using an approach that considers the ha

form, and quantity of material) and the barri

physical and administrative controls that pre

reduce exposure to these hazards. 

Another example of the challenges in implem

risk-informed approach for material licensee

proposal to implement a new safety and safe

oversight process for fuel cycle facilities. Un

commercial nuclear power plants, which hav

of design similarities, most of the 10 fuel cyc

perform separate and unique functions. For 

one facility converts uranium to a gas for use 

enrichment process, two facilities enrich or i

amount of uranium-235 in the gas, and five fa

fabricate the uranium into fuel for commerc

power plants. These facilities possess large q

materials that are potentially hazardous (i.e, 

radioactive, toxic, and/or combustible) to wo

Their diversity of activities makes it particul

challenging for NRC to design a “one-size-fit

oversight process and develop indicators and 

of performance. NRC has yet to resolve such 

the structure of the problem identification, r

and corrective action program; the mechanic

risk-significance determination process; and 

regulatory responses that NRC would take w

changes in performance occur. NRC had plan

pilot-test the new oversight process for fuel c
Page 19 GAO-01-259 

safety in fiscal year 2001, but staff told us 

schedule could slip. 

NRC also faces challenges in redefining it

changing regulatory environment. As the n

agreement states increases beyond the ex

must continue to ensure the adequacy and 

of the states’ programs as well as its own 

and efficiency in overseeing licensees tha

regulated by an agreement state. NRC has 

with the Conference of Radiation Control 

Directors (primarily state officials) and th

of Agreement States to address these chal

However, NRC has not yet addressed such 

the following: (1) Would NRC continue to 

all four of its regional offices as the numb

agreement states increases? (2) What are 

appropriate number, type, and skills need

headquarters staff? and (3) What should N

the future?

In June 2000, one NRC Commissioner not

agency has more expertise on the use of n

material than any other agency in the wor

would be unfortunate to lose that expertis

longer had materials licensees to regulate

a NRC/state working group expects to pro

Commission with various options for the 

program of the future. NRC staff said that 

wants to be in a position to plan for neede

because, in 2003, it anticipates that 35 sta

agreements with NRC and oversee more t

of all material licensees.
Page 20 GAO-01-259 NR

NRC Needs to 

Address Human 

Capital, Financial 

Management, and 

Information 

Technology Issues

NRC needs to resolve a number of human ca

financial management, and information tech

challenges to effectively and efficiently man

Specifically, it needs to develop a succession 

skills and expertise needed to replace its wo

improve its financial management by develo

implementing a cost accounting system, and 

it effectively and efficiently develops and im

new information technologies.

NRC Faces Human 

Capital Challenges

As one NRC Commissioner said, “There is a 

looming in government” because an entire ge

employees is going to retire or will be eligible 

the near future. In fiscal year 2001, about 16 

NRC staff are eligible to retire and by the en

year 2005, about 33 percent will be eligible. I

year 2000 performance plan, NRC identified 

maintain core competencies and staff as an i

could affect its ability to achieve its perform

NRC noted that maintaining the correct bala

knowledge, skills, and abilities is critical to 

accomplishing its mission and is affected by 

factors. These factors include the labor mark

experienced professionals, the workload as p

the nuclear industry, and the declining unive

enrollment in nuclear engineering studies an

fields related to nuclear safety. 

As we recently reported, in February 2000, N

Commissioners directed the staff to develop 

comprehensive plan that links the abilities n

carry out NRC’s mission with the training off

According to NRC’s senior managers, the lac

computer system that is tied to its personnel 

hampered the staff’s efforts to conduct the s

assessment. NRC wants to collect the data fo

and have a mechanism to automatically upda

as warranted. The senior managers noted tha
Page 21 GAO-01-259 

link to its personnel system, the skills ass

will be of limited use. They estimated that 

initiate the skills assessment sometime in 

2001. 

In addition, in October 2000, NRC’s Chairm

that, by the end of January 2001, the staff 

assess the scientific, engineering, and tech

competencies NRC needs and propose sp

strategies to ensure that the agency maint

competency. The Chairman noted that ma

technical competency may be the biggest 

confronting NRC. NRC also must ensure t

to replace those who retire or leave the ag

the training needed to effectively and effic

out their responsibilities. In October 2000

recommended that NRC identify the skills 

those who will replace its technical traini

and develop a succession plan to ensure t

staff are available and trained to minimize 

of the technical training provided. 

To help alleviate these concerns, NRC req

for fiscal years 2001, 2002, and 2003 to act

qualified college graduates and to provide 

specialized training but also rotational ass

various offices for them. It has established 

assistance program, relocation bonuses, a

inducements to encourage qualified indiv

accept and continue their employment wi

NRC staff said that the agency is doing th

with the tools available to hire and retain 

needs to be done to provide agencies with 

encourage acceptance of federal employm
Page 22 GAO-01-259 NR

NRC Needs to 

Improve Its 

Financial 

Management

In its independent audit of financial statemen

year 1999, NRC’s OIG noted that the agency d

a cost accounting system. Such a system, req

Government Performance and Results Act o

would provide managers with information to 

their responsibilities for planning and contro

making decisions, and evaluating performanc

experienced delays in developing and implem

cost accounting system because of problems 

encountered with the contractor initially sel

develop the core system.

NRC’s OIG concluded that the lack of a cost 

process is a material weakness constituting a 

noncompliance with the Federal Financial M

Improvement Act. Since then, NRC has cont

a new vendor and purchased a software pac

develop the core system. NRC staff are optim

by April 2001 the agency will have implemen

substantial portion of the cost accounting sy

provide managers with time and labor charg

strategic arena, which they believe should re

material weakness the OIG identified. 

Despite the Controls 

Instituted, NRC 

Experienced 

Problems 

Implementing a 

Major Information 

Technology 

Initiative 

NRC’s information technology report describ

major systems that it is developing, and its c

plan shows the estimated funding required fo

system as well as the justification, funding b

benefits to be derived, and other information

a Capital Planning and Investment Control P

scrutinize each information technology initia

Executive Council is responsible for reviewi

variances to the development of new compu

and requiring corrective action before the va

become significant. Despite these controls, N

problems implementing new information tec

such as the Agency Documents Access and M

System (ADAMS). 
Page 23 GAO-01-259 

NRC has spent more than $24 million to d

implement, and maintain ADAMS. The sys

intended to support document creation, c

retrieval, including those documents that 

available to the public. ADAMS, which wa

in April 2000, is NRC’s “file cabinet” as it s

implement a more efficient and effective w

environment. However, NRC experienced 

start-up problems with the system as well 

and public dissatisfaction with it. Some ex

start−up problems include security issues 

non-NRC users and not recognizing that s

additional training on using the system. In 

public had complained about the unavaila

documents that were supposed to be in A

difficulty of accessing documents in the s

nuclear industry publication reported, for 

Citizens Awareness Network asked NRC t

time for filing a hearing request and petitio

in a license transfer action because it was 

print needed documents from ADAMS. 

NRC’s own staff identified hundreds of pr

using the system. They noted, for example

system overall is slow in performing the m

tasks. Like the public, NRC staff also expe

problems printing files stored in ADAMS: 

that it was time-consuming, cumbersome

inefficient to print a document. The Adviso

on Reactor Safeguards noted that ADAMS 

critical resources from the timely perform

normal work processes. According to staf

of the Chief Information Officer, they wer

these problems and had identified solutio

These staff also noted that NRC staff wer

identify the problems during the time they 

the system and adapting to new agency gu

concerning the dissemination of documen

that such problems typically arise when im

new information technology systems. 
Page 24 GAO-01-259 NR

Nevertheless, in May 2000, NRC’s Chairman d

staff to evaluate the problems that its major 

encountered in using the system and determ

and when the agency can resolve them. In Au

NRC’s Chairman endorsed the staff’s recomm

to address the problems identified. The staff 

consolidated the problems into 10 challenge

take 12 to 18 months to complete, including 

data integrity, the search and retrieval system

access, training and user support, and guidan

the system. Of the numerous issues identified

said that about half will be resolved by the e

calendar year 2000 by transferring document 

responsibilities to the Office of the Chief Inf

Officer and by implementing a new software 

According to a senior manager who worked 

staff, one of the most significant findings wa

needed to standardize its business practices

the distribution of mail by its various offices

such standardization, ADAMS may not achie

potential. 

According to staff, ADAMS is providing NRC 

external users with timely information. For e

average, NRC adds 1,900 documents each we

system, and during a typical day, about 285 N

non-NRC users concurrently access the syst

NRC had taken weeks to make documents p

available but since the implementation of AD

agency does so in 5 business days. Under its 

NRC is required to prepare a lessons learned 

6 months after implementing a new informat

technology system. NRC staff expects to rep

lessons learned for ADAMS by the end of De

2000. This report could identify further chan

NRC needs to make to, among other things, 

Planning and Investment Control Process an

guidance. 
Page 25 GAO-01-259 

Key Contact Robert A. Robinson, Managing Director

Natural Resources and Environment 

(202) 512-3841

robinsonr@gao.gov
Page 26 GAO-01-259 

Facility Relocation: NRC Based Its Decisi

Technical Training Center on Perceived B

Costs (GAO-01-54, Oct. 19, 2000).

Radiation Standards: Scientific Basis Inco

EPA and NRC Disagreement Continues

(GAO/RCED-00-152, June 30, 2000).

Observations on the Nuclear Regulatory C

Fiscal Year 1999 Performance Report and 

2001 Performance Plan (GAO/RCED-00-20

June 30, 2000).

Fire Protection: Barriers to Effective Imp

NRC's Safety Oversight Process (GAO/RC

19, 2000).

Nuclear Regulation: Regulatory and Cultu

Challenge NRC (GAO/T-RCED-00-115, Ma

Nuclear Regulation: NRC Staff Have Not F

Planned Changes (GAO/RCED-00-29, Jan. 

Nuclear Regulation: Better Oversight Nee

Accumulation of Funds to Decommission 

Power Plants (GAO/RCED-99-75, May 3, 1

Nuclear Regulation: Strategy Needed to R

Using Information on Risk (GAO/RCED-9

Mar. 19, 1999).

Nuclear Regulatory Commission: Strategy 

Develop a Risk-Informed Safety Approach

(GAO/T-RCED-99-71, Feb. 4, 1999).
Page 27 GAO-01-259 

Major Management Challenges and Progr

Governmentwide Perspective (GAO-01-24

Major Management Challenges and Progr

Department of Agriculture (GAO-01-242)

Major Management Challenges and Progr

Department of Commerce (GAO-01-243)

Major Management Challenges and Progr

Department of Defense (GAO-01-244)

Major Management Challenges and Progr

Department of Education (GAO-01-245)

Major Management Challenges and Progr

Department of Energy (GAO-01-246)

Major Management Challenges and Progr

Department of Health and Human Service

(GAO-01-247)

Major Management Challenges and Progr

Department of Housing and Urban Develo

(GAO-01-248)

Major Management Challenges and Progr

Department of the Interior (GAO-01-249)

Major Management Challenges and Progr

Department of Justice (GAO-01-250)

Major Management Challenges and Progr

Department of Labor (GAO-01-251)

Major Management Challenges and Progr

Department of State (GAO-01-252)
Page 28 GAO-01-259 NR

Major Management Challenges and Program 

Department of Transportation (GAO-01-253)

Major Management Challenges and Program 

Department of the Treasury (GAO-01-254)

Major Management Challenges and Program 

Department of Veterans Affairs (GAO-01-255

Major Management Challenges and Program 

Agency for International Development (GAO

Major Management Challenges and Program 

Environmental Protection Agency (GAO-01-2

Major Management Challenges and Program 

National Aeronautics and Space Administrat

(GAO-01-258)

Major Management Challenges and Program 

Nuclear Regulatory Commission (GAO-01-25

Major Management Challenges and Program 

Small Business Administration (GAO-01-260

Major Management Challenges and Program 

Social Security Administration (GAO-01-261)

Major Management Challenges and Program 

U.S. Postal Service (GAO-01-262)

High-Risk Series: An Update (GAO-01-263)

Official Business

Penalty for Private Use $300

Address Correction Requested