ML20322A407
| ML20322A407 | |
| Person / Time | |
|---|---|
| Issue date: | 11/17/2020 |
| From: | Baker B NRC/OIG/AIGA |
| To: | Margaret Doane NRC/EDO |
| References | |
| OIG-19-A-20 | |
| Download: ML20322A407 (4) | |
Text
UNITED STATES NUCLEAR REGULATORY COMMISSION WASHINGTON, D.C. 20555-0001 OFFICE OF THE INSPECTOR GENERAL November 17, 2020 MEMORANDUM TO: Margaret M. Doane Executive Director for Operations FROM: Dr. Brett M. Baker /RA/
Assistant Inspector General for Audit
SUBJECT:
STATUS OF RECOMMENDATIONS: AUDIT OF U.S.
NUCLEAR REGULATORY COMMISSIONS PROCESS FOR PLACING OFFICIAL AGENCY RECORDS IN AGENCY DOCUMENTS ACCESS AND MANAGEMENT SYSTEM (ADAMS) (OIG-19-A-20)
REFERENCE:
CHIEF INFORMATION OFFICER MEMORANDUM DATED OCTOBER 22, 2020 Attached is the Office of the Inspector Generals (OIG) analysis and status of recommendations as discussed in the agencys response dated October 22, 2020.
Based on this response, recommendations 3 through 5 are open and resolved. Please provide an updated status of the resolved recommendations by March 27, 2021.
If you have any questions or concerns, please call me at (301) 415-5915, or Vicki Foster, Team Leader, at (301) 415-5909.
Attachment:
As stated cc: J. Jolicoeur, OEDO C. Haney, OEDO S. Mroz, OEDO S. Miotla, OEDO RidsEdoMailCenterResource OIG Liaison Resource EDO_ACS Distribution
Audit Report AUDIT OF U.S. NUCLEAR REGULATORY COMMISSIONS PROCESS FOR PLACING OFFICIAL AGENCY RECORDS IN ADAMS (OIG-19-A-20)
Status of Recommendations Recommendation 3: Conduct an initial review of ADAMS to identify and remove personal papers, and implement a policy to conduct such reviews on a periodic basis.
Agency Response Dated April 23, 2020: OCIO established an internal procedure to conduct these reviews on a recurring basis and continues to search to identify and remove personal papers. In cases in which it is unclear whether identified documents are personal papers, OCIO may consult with owners to make the appropriate determination. The NRC believes the intent of this recommendation has been fulfilled.
Target date for completion: Completed OIG Analysis: The proposed actions meet the intent of the recommendation. As of November 12, 2020, the OIG spoke with the OCIO point of contact and confirmed that this recommendation will remain open and resolved. The OIG will close the recommendation after receipt and review of agency supporting documentation to verify that the NRC has identified and removed personal papers from ADAMS and has implemented an agency policy for periodically reviewing ADAMS for personal papers.
Status: Open: Resolved.
Audit Report AUDIT OF U.S. NUCLEAR REGULATORY COMMISSIONS PROCESS FOR PLACING OFFICIAL AGENCY RECORDS IN ADAMS (OIG-19-A-20)
Status of Recommendations Recommendation 4: Strengthen internal controls to prevent individuals from entering personal papers in ADAMS.
Agency Response Dated October 22, 2020: The static warning message on the Agencywide Documents Access Management System (ADAMS) Navigator page advising submitters that personal papers must not be placed in ADAMS has been successfully tested. It will be deployed in ADAMS Release 1.12 following review and approval of required Change Request by the agency Change Control Board.
Revised Target Completion Date: Q1 FY 2021 Point of
Contact:
Kenny Nguyen, OCIO/GEMSD/DPRB (301) 415-1938 OIG Analysis: The proposed action meets the intent of the recommendation. The OIG will close the recommendation after the NRCs deployment of ADAMS Release 1.12 and verifying that the NRC has strengthened internal controls to prevent individuals from entering personal papers in ADAMS.
Status: Open: Resolved.
Audit Report AUDIT OF U.S. NUCLEAR REGULATORY COMMISSIONS PROCESS FOR PLACING OFFICIAL AGENCY RECORDS IN ADAMS (OIG-19-A-20)
Status of Recommendations Recommendation 5: Strengthen internal controls to ensure use of the Capstone tool and compliance with NARA requirements.
Agency Response Dated October 22, 2020: The Office of the Chief Information Officer (OCIO) briefed the CXO Board (CXOB) on the proposal to change to a Capstone opt-out approach on August 18, 2020. The CXOB recommended that OCIO brief the Commissioners Assistants (CAs) prior to briefing the Senior Leadership; that meeting is scheduled for November 5, 2020. Assuming the CAs agree with the new approach, OCIO will set up a briefing for Senior Leadership. OCIO has determined how to implement an opt-out approach in the O365 environment.
Revised Target Completion Date: Q2 FY 2021 Point of
Contact:
Marianne Narick, OCIO/GEMSD/DPRB (301) 415-2175 OIG Analysis: The proposed actions meet the intent of the recommendation. The OIG will close the recommendation after verifying that the NRC has implemented processes and procedures to ensure Capstone officials use the Capstone tool in compliance with NARA requirements.
Status: Open: Resolved.