OIG-19-A-06, Status of Recommendations: Audit of U.S. Nuclear Regulatory Commissions Process for Developing and Coordinating Research Activities Dated October 26, 2020
| ML20300A398 | |
| Person / Time | |
|---|---|
| Issue date: | 10/26/2020 |
| From: | Baker B NRC/OIG/AIGA |
| To: | Margaret Doane NRC/EDO |
| References | |
| OIG-19-A-06 | |
| Download: ML20300A398 (6) | |
Text
UNITED STATES NUCLEAR REGULATORY COMMISSION WASHINGTON, D.C. 20555-0001 OFFICE OF THE INSPECTOR GENERAL October 26, 2020 MEMORANDUM TO:
Margaret M. Doane Executive Director for Operations FROM:
Dr. Brett M. Baker /RA/
Assistant Inspector General for Audits
SUBJECT:
STATUS OF RECOMMENDATIONS: AUDIT OF U.S.
NUCLEAR REGULATORY COMMISSIONS PROCESS FOR DEVELOPING AND COORDINATING RESEARCH ACTIVITIES (OIG-19-A-06)
REFERENCE:
DIRECTOR, OFFICE OF NUCLEAR REGULATORY RESEARCH, MEMORANDUM DATED JULY 13, 2020 Attached is the Office of the Inspector Generals (OIG) analysis and status of recommendations as discussed in the agencys response dated July 13, 2020. Based on this response, recommendations 1, 2, 3, and 4 are now closed. Therefore, all recommendations associated with this audit are now closed and no further action is needed.
If you have any questions or concerns, please call me at (301) 415-5915, or Mike Blair, Team Leader, at (301) 415-8399.
Attachment:
As stated cc:
C.Haney, OEDO J.Jolicoeur, OEDO C. Cook, OEDO S.Miotla, OEDO RidsEdoMailCenter_Resource OIG Liaison Resource EDO_ACS Distribution
Audit Report AUDIT OF U.S. NUCLEAR REGULATORY COMMISSIONS PROCESS FOR DEVELOPING AND COORDINATING RESEARCH ACTIVITIES (OIG-19-A-06)
Status of Recommendations Recommendation 1:
Involve the Office of Nuclear Regulatory Research (RES) and requesting office senior managers earlier in the work request development process to ensure work requests are properly understood, resourced, and achievable before they are formally submitted to RES.
Agency Response Dated July 13, 2020:
In calendar year 2019, the RES staff conducted four program reviews with senior office management to enhance coordination and communication on planned research activities. Senior managers gained an increased awareness of ongoing work and plans for future activities. The program review meetings facilitate alignment between RES and NRR on the priority, strategic outcomes, schedule, and proposed budgets for research activities. RES completed these program reviews with the Office of Nuclear Reactor Regulation between November and December 2019, informing senior office management of anticipated resource needs in support of the FY2022 budget formulation process.
RES program reviews for the Office of Nuclear Material Safety and Safeguards were conducted at the division director level as research activities in support of the office are a smaller portion of the research budget portfolio.
The staff has revised RES Office Instruction PRM-001, Process for Developing Work Requests and Coordination of Research Activities, to update communication roles and responsibilities to ensure continuation of these program reviews and their integration with the budget formulation cycle. The latest revision, Revision 3, was formally issued on May 12, 2020.
The public version of the program review materials has also been made available to support external stakeholder dialog and feedback and can be found on the NRC research activities homepage or under ADAMS accession No.
Audit Report AUDIT OF U.S. NUCLEAR REGULATORY COMMISSIONS PROCESS FOR DEVELOPING AND COORDINATING RESEARCH ACTIVITIES (OIG-19-A-06)
Status of Recommendations Recommendation 1 (cont.):
OIG Analysis:
OIG verified staff have (1) conducted program reviews on research activities with the key offices of Nuclear Reactor Regulation, New Reactors, and Nuclear Material Safety and Safeguards, and (2) updated PRM-001 to include notifying senior office management in RES and the key offices of the potential for, and resource implications of, new work requests during the budget formulation process to ensure that the budget request is commensurate with the workload demand. This recommendation is therefore considered closed.
Status:
Closed.
Audit Report AUDIT OF U.S. NUCLEAR REGULATORY COMMISSIONS PROCESS FOR DEVELOPING AND COORDINATING RESEARCH ACTIVITIES (OIG-19-A-06)
Status of Recommendations Recommendation 2:
Implement a standard template for RES staff to use when preparing acceptance memorandum or email responses to all work request types.
Agency Response Dated July 13, 2020:
The staff has developed a standard template form for all work request types that includes standardized information that documents key information on the scope of the work request, the schedule, the deliverables, and the estimated resources. The revised concurrence process allows acceptance of research scope in a single package. The standardized form has been placed into the NRC form library as NRC Form 843, Research Work Request.
The staff has revised RES Office Instruction PRM-001, Process for Developing Work Requests and Coordination of Research Activities, to reflect the use of the standard form and the efficiencies in the concurrence process.
OIG Analysis:
OIG verified that NRC has implemented the standardized form that will be common to all work request types and will document key information on the scope of the work request, the schedule, the deliverables, and the estimated resources.
This recommendation is therefore considered closed.
Status:
Closed.
Audit Report AUDIT OF U.S. NUCLEAR REGULATORY COMMISSIONS PROCESS FOR DEVELOPING AND COORDINATING RESEARCH ACTIVITIES (OIG-19-A-06)
Status of Recommendations Recommendation 3:
Implement a single agencywide tracking system with the capabilities needed to effectively and efficiently keep the agency aware of research activities.
Agency Response Dated July 13, 2020:
The NRC staff has developed a management dashboard using Microsoft Power BI for the offices Operating Plan to improve adherence to the existing requirements and to provide visibility to managers and staff to support performance reporting and monitoring. The staff has continued the practice of conducting division and branch-level counterpart meetings on status of work requests to discuss milestones and research deliverables. Moreover, as discussed in Recommendation 1, the staff discusses research progress and priorities through the program reviews to support agencywide awareness of activities.
The staff has revised RES Office Instruction PRM-001, Process for Developing Work Requests and Coordination of Research Activities, to reflect the roles and responsibilities to support data entry with the Operating Plan system.
OIG Analysis:
OIG verified that NRC has improved adherence to the RES Operating Plan requirements and conducted performance reporting and monitoring of the operating plan. OIG also verified that NRC assessed if changes to PRM-001 are needed once staff provides documentation showing they reviewed the operating plan performance as part of standing office meetings and branch-and division-level counterpart meetings with the requesting offices. This recommendation is therefore considered closed.
Status:
Closed.
Audit Report AUDIT OF U.S. NUCLEAR REGULATORY COMMISSIONS PROCESS FOR DEVELOPING AND COORDINATING RESEARCH ACTIVITIES (OIG-19-A-06)
Status of Recommendations Recommendation 4:
Develop and implement a process for obtaining and using feedback from requesting offices. The process should include, but not be limited to, guidance on obtaining feedback during interim project milestones, creating access controls, and delineating roles and responsibilities.
Agency Response Dated July 13, 2020:
The staff has established a new survey site that provides access control of survey results. Write access to the results data is limited to the OCIO administrator and RES Program Management, Policy Development & Analysis lead analyst.
For FY2019, 30 surveys on research products were received using the ticketing process. In FY2020, the system has been fully automated to support the issuance of surveys to the users in the program offices at the completion of specific milestones within each Work Request.
The staff has revised RES Office Instruction PRM-001, Process for Developing Work Requests and Coordination of Research Activities, to reflect roles and responsibilities for obtaining and using feedback on interim project milestones and other research work products.
OIG Analysis:
OIG verified NRC has developed and implemented a process for obtaining and using feedback from requesting offices that includes guidance on obtaining feedback during interim project milestones, creating access controls, delineating roles and responsibilities, among other relevant provisions. This recommendation is therefore considered closed.
Status:
Closed.