ML26006A222

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The Office of the Inspector Generals Fiscal Year 2026 Annual Plan for the Defense Nuclear Facilities Safety Board, Dated January 6, 2026
ML26006A222
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Annual Plan Fiscal Year 2026 Office of the Inspector General Defense Nuclear Facilities Safety Board

FOREWORD I am pleased to present the Office of the Inspector Generals (OIG) fiscal year (FY) 2026 Annual Plan for our work pertaining to the Defense Nuclear Facilities Safety Board (DNFSB). The Annual Plan provides the audit and investigative strategies and associated summaries of the specific work planned for the coming year. In addition, it sets forth the OIGs formal strategy for identifying priority issues and managing its workload and resources for FY 2026.

Congress created the DNFSB in September 1988 as an independent Executive Branch agency to identify the nature and consequences of potential threats to public health and safety at the U.S. Department of Energys (DOE) defense nuclear facilities, elevate those issues to the highest levels of authority, and inform the public. The DNFSB strives to ensure implementation of safety standards at the DOEs defense nuclear facilities, conducts in-depth reviews of new DOE defense facilities to help ensure the early integration of safety into design and construction, and provides oversight to mitigate the possibility of an accidental detonation during the evaluation, maintenance, or dismantling of nuclear weapons.

The OIG prepared this Annual Plan to align with the OIG Strategic Plan for FYs 2024-2028, which is based, in part, on an assessment of the strategic challenges facing the DNFSB. The Strategic Plan identifies OIG priorities and establishes a shared set of expectations regarding the goals we expect to achieve and the strategies we will employ. The OIG based this Annual Plan on the foundation of the Strategic Plan and The Inspector Generals Assessment of the Most Serious Management and Performance Challenges Facing the Defense Nuclear Facilities Safety Board in Fiscal Year 2026. In developing this Annual Plan, the OIG sought input from the former DNFSB Acting Chair, the current DNFSB Board member, DNFSB staff at headquarters and onsite at DOE defense nuclear facilities, and members of Congress. We have programmed all necessary resources to address the matters identified in this plan. The OIG may, however, modify this plan based on changes in available resources or the OIGs mission-related priorities, or based on other circumstances.

Robert J. Feitel Robert J. Feitel Inspector General Robert J. Feitel NRC and DNFSB Inspector General

TABLE OF CONTENTS MISSION AND AUTHORITY.................................................................................................... 1 PLANNING STRATEGY............................................................................................................ 2 AUDIT AND INVESTIGATION OVERVIEW........................................................................ 2 AUDIT STRATEGY........................................................................................................ 2 INVESTIGATIVE STRATEGY........................................................................................ 3 PERFORMANCE MEASURES.................................................................................................. 4 OPERATIONAL PROCESSES................................................................................................... 5 AUDITS.......................................................................................................................... 5 INVESTIGATIONS......................................................................................................... 7 HOTLINE....................................................................................................................... 9 APPENDICES A. MANDATORY AUDITS FOR FY 2026 Audit of the Defense Nuclear Facilities Safety Boards Fiscal Year 2026 Financial Statements. A-1 Audit of the Defense Nuclear Facilities Safety Boards Fiscal Year 2025 Compliance with the Payment Integrity Information Act of 2019..................... A-2 Audit of the Defense Nuclear Facilities Safety Boards Implementation of the Federal Information Security Modernization Act of 2014 for Fiscal Year 2026 A-3 PLANNED AUDITS FOR FY 2026 Audit of the Defense Nuclear Facilities Safety Boards Protection of Sensitive Data Throughout the Data Lifecycle................................................................. A-4 Audit of the Defense Nuclear Facilities Safety Boards Contract Management and Oversight........................................................................................................... A-5 Audit of the Defense Nuclear Facilities Safety Boards Resident Inspector Program............................................................................................................. A-6 B. INVESTIGATIONS - PRIORITIES, OBJECTIVES, AND INITIATIVES FOR FY 2026 Introduction - Priorities and Objectives. B-1 Initiatives........................................................................................................... B-2 Allocation of Resources.......................................................................... B-3 C. ABBREVIATIONS AND ACRONYMS C-1

1 MISSION AND AUTHORITY The NRC OIG was established as a statutory entity on April 15, 1989, in accordance with the 1988 amendments to the Inspector General Act, to provide oversight of NRC operations. In addition, the Consolidated Appropriations Act of 2014, provided that, notwithstanding any other provision of law, the NRC Inspector General (IG) would be authorized in 2014 and subsequent years to exercise the same authorities concerning the DNFSB, as determined by the NRC IG, as the IG exercises under the Inspector General Act (IG Act) of 1978 (5 U.S.C. 401-424) for the NRC. The OIGs mission is to provide independent, objective audits, evaluations, and investigative oversight of the DNFSBs operations to promote integrity, economy, and efficiency.

To fulfill its mission, the OIG:

  • Conducts and supervises independent audits, evaluations, and investigations of agency programs and operations;
  • Promotes economy, effectiveness, and efficiency within the agency;
  • Prevents and detects fraud, waste, abuse, and mismanagement in agency programs and operations;
  • Develops recommendations regarding existing and proposed regulations relating to agency programs and operations; and,
  • Keeps the agency head and Congress fully and currently informed about problems and deficiencies relating to agency programs.

Under the IG Act, the OIG issues Semiannual Reports to Congress to provide Congress, agency leaders, and other stakeholders with comprehensive accounts of our completed audit, investigative, and other oversight work. In these reports, we describe significant findings, referrals, and related agency actions during the period covered by each report.

We also list OIG recommendations that remain outstanding with the agencies we oversee, the results of peer reviews in which our OIG participated, and other important information related to the reporting period.

The Reports Consolidation Act of 2000 (Public Law 106-531) requires the OIG to annually update our assessment of the most serious management and performance challenges facing the DNFSB and the agencys progress in addressing those challenges.

This assessment supports the execution of the OIGs mission and is an important component of the OIGs Annual Plan development.

2 The management and performance challenges facing the DNFSB for FY 2026 are:1

1. Maintaining Organizational Health and Managing Resources to Address Critical Risks; and,
2. Continuing to Prioritize the DNFSBs Focus on Technical Oversight and Reviews.

PLANNING STRATEGY The OIG links the FY 2026 Annual Plan with the OIGs Strategic Plan for FYs 2024-2028. The Strategic Plan highlights the significant challenges and critical risk areas facing the DNFSB, enabling the IG to direct optimum resources to these areas. The Strategic Plan also presents strategies for reviewing and evaluating DNFSB programs under the three strategic goals that the OIG established:

  • SafetyStrengthen the DNFSBs efforts to oversee the safe operation of DOE defense nuclear facilities;
  • SecurityStrengthen the DNFSBs efforts to address evolving security threats;
and,
  • Corporate SupportIncrease the economy, efficiency, and effectiveness with which the DNFSB manages and exercises stewardship over its resources.

To ensure that each audit, evaluation, and investigation conducted by the OIG aligns with the Strategic Plan, Appendix A links the program areas from the Annual Plan to the Strategic Plan.

AUDIT AND INVESTIGATION OVERVIEW AUDIT STRATEGY Effective audit planning requires current knowledge of the DNFSBs mission and the programs and activities used to carry out that mission. Accordingly, the OIG continually monitors specific issue areas to strengthen its internal coordination and overall planning process. Under the Issue Area Monitoring program, the OIG assigns responsibilities to staff to keep abreast of major DNFSB programs and activities. The broad monitoring areas address information management, nuclear safety, and corporate support.

The audit planning process yields audit assignments that identify opportunities for increased efficiency, economy, and effectiveness in the DNFSBs programs and 1 The challenges are not ranked in any order of importance.

3 operations; detect and prevent fraud, waste, abuse, and mismanagement; improve program and security activities; and, respond to emerging circumstances and priorities. The OIG prioritizes audits based on:

  • Legislative requirements;
  • Critical agency risk areas;
  • Emphasis by the President, Congress, Board Chair, or other Board members;
  • A programs susceptibility to fraud, manipulation, or other irregularities;
  • Amount of financial or other resources involved in a program area;
  • Emerging areas of heightened risk, changed conditions, or sensitivity of an organization, program, function, or activities;
  • Prior audit experience, including assessments of the adequacy of internal controls; and,
  • Availability of audit resources.

INVESTIGATIVE STRATEGY OIG investigative initiatives add value to the DNFSBs programs and operations by identifying fraud, waste, and abuse that may lead to criminal or civil sanctions. The OIG has designed specific performance targets focusing on effectiveness.

Because the DNFSBs mission includes providing independent analysis, advice, and recommendations concerning adequate protection of public health and safety at defense nuclear facilities, the OIGs main investigative focus involves alleged DNFSB misconduct or inappropriate actions that could adversely impact public health and safety-related matters. These investigations typically relate to allegations of:

  • Misconduct by DNFSB officials, such as managers and inspectors, whose positions directly impact public health and safety;
  • Failure by the DNFSBs management to ensure that public health and safety matters are appropriately addressed;
  • Conflict-of-interest and ethics violations; or,
  • Management or supervisory retaliation or reprisal.

The OIG will also monitor specific high-risk areas within the DNFSBs corporate support program management that are most vulnerable to fraud, waste, abuse, and mismanagement. A significant focus will be on emerging information technology and national security issues that could negatively impact the security and integrity of

4 the DNFSBs data and operations. The OIG is committed to improving the security of the constantly changing electronic business environment by investigating unauthorized intrusions and computer-related fraud and by conducting computer forensic examinations. Other proactive initiatives will focus on identifying instances of procurement fraud, theft of property, insider threats, and misuse or abuse of government travel charge cards and government purchase cards.

The OIG will meet with the DNFSBs internal and external stakeholders to identify systemic issues or vulnerabilities as part of these proactive initiatives. This approach will allow for the identification of potential vulnerabilities and the opportunity to improve agency performance.

OIG personnel will routinely interact with public interest groups, individual citizens, industry workers, and DNFSB staff to identify possible lapses in the DNFSBs oversight that could impact public health and safety. The OIG will also conduct proactive initiatives and reviews into areas of current or future regulatory safety or security interest to identify emerging issues or address ongoing concerns regarding the quality of the DNFSBs oversight.

Appendix B provides investigative priorities, objectives, and initiatives for FY 2026.

Specific investigations are not included in the Annual Plan because investigations are primarily responsive to reported violations of law and misconduct by DNFSB employees and contractors, as well as allegations of irregularities or abuse in the DNFSBs programs and operations.

PERFORMANCE MEASURES For FY 2026, the OIG will use several key performance measures and targets for gauging the relevance and impact of our audit, evaluation, and investigative work.

The OIG calculates these measures relative to each of its strategic goals to determine how well it is accomplishing its objectives. The performance measures are:

  • Percentage of OIG audit products and activities that (1) cause the agency to take corrective action to improve agency safety, security, or corporate support programs; (2) result in the agency strengthening adherence to agency policies, procedures, or requirements; (3) identify actual dollar savings and monetary benefits; or, (4) in appropriate cases, result in the agency taking action to reduce regulatory burdens;
  • Percentage of audit recommendations agreed to by the agency;
  • Percentage of final agency actions taken within two years of audit recommendations;

5

  • Percentage of OIG investigative products and activities that identify opportunities for improvements to agency safety, security, or corporate support programs; strengthen adherence to policies/procedures; or, confirm or disprove allegations of wrongdoing;
  • Percentage of agency actions taken in response to investigative reports; and,
  • Percentage of cases completed in less than 18 months.

OPERATIONAL PROCESSES The following sections detail the approach used to carry out the audit and investigative responsibilities previously discussed.

AUDITS The audit process begins with the development of this Annual Plan. The Annual Plan lists the audits planned for the year and their general objectives. The Annual Plan for Audits is a living document that may be revised as circumstances warrant, with a subsequent redistribution of staff resources.

The OIG performs the following types of audits:

  • Performance audits focus on the DNFSBs administrative and program operations and evaluate the effectiveness and efficiency with which managerial responsibilities are carried out, including whether the programs achieve intended results;
  • Financial audits, including the annual financial statement audit, attest to the reasonableness of the DNFSBs financial statements, and evaluate financial programs; and,
  • Contract audits evaluate the costs of goods and services procured by the DNFSB from commercial enterprises.

The OIGs audit process involves specific steps, ranging from annual audit planning to audit follow-up activities. The underlying goal of the audit process is to maintain an open channel of communication between the auditors and DNFSB officials to ensure that audit findings are accurate and fairly presented in OIG reports. The audit process comprises the steps summarized in Figure 1.

6 Figure 1: Steps in the Audit Process Audit Process Step Action Audit Notification The OIG formally notifies the office responsible for a specific program, activity, or function of its intent to begin an audit.

Entrance Conference The OIG meets with agency officials to advise them of the objective(s) and scope of the audit and the general methodology it will follow.

Survey The OIG conducts exploratory work to gather data for refining audit objectives; documenting internal control systems; becoming familiar with the activities, programs, and processes to be audited; and, identifying areas of concern to management.

Audit Fieldwork Based on the results of the survey work, the audit team recommends to the Assistant Inspector General for Audits and Evaluations (AIGA) whether to proceed with the audit. If the AIGA decides to proceed with the audit, the OIG then performs a comprehensive review of selected areas of a program, activity, or function using an audit program developed specifically to address the audit objectives.

End of Fieldwork Briefing with the Agency At the conclusion of audit fieldwork, the audit team discusses the preliminary report findings and recommendations with the auditee.

Discussion Draft Report The OIG provides a discussion draft copy of the report to agency management to enable them to prepare for the exit conference.

Exit Conference The OIG meets with the appropriate agency officials to review the discussion draft report and provide agency management the opportunity to confirm information, ask questions, and clarify data.

Formal Draft Report If requested by agency management during the exit conference, the OIG provides a final draft copy of the report that includes comments or revisions from the exit conference and invites agency management to provide formal written comments.

7 Final Audit Report The final report includes, as necessary, any revisions to the facts, conclusions, and recommendations in the draft report discussed in the exit conference or made because of written comments in the draft by agency management. Formal written comments by agency management are included as an appendix to the report, when applicable. Final audit reports will be publicly issued, except for those containing sensitive or classified information.

Response to Report Recommendations Offices responsible for the audited program or process provide a written response, usually within 30 calendar days, on each recommendation contained in the final report. If agency management agrees with the recommendation, the response describes corrective actions taken or planned, with actual or target completion dates. However, if agency management disagrees, the response provides reasons for disagreement and may propose alternative corrective actions.

Impasse Resolution If the responsible office and the OIG reach an impasse over a recommended action, or the offices response to a recommendation is, in the OIGs view, unsatisfactory, the OIG may request the intervention of the agency Chair to achieve resolution.

Audit Follow-up and Closure This process ensures that recommendations made to management are implemented.

Source: OIG Audit Manual In its Semiannual Report to Congress, the OIG reports on the status of unimplemented audit recommendations and the expected timetable for agency implementation of final corrective actions.

INVESTIGATIONS The OIGs investigative process typically begins with the receipt of an allegation of fraud, mismanagement, or misconduct. Because the OIG must decide whether to initiate an investigation within a few days of such receipt, the OIG does not schedule specific investigations in its annual investigative plan.

The OIG opens an investigation following both its investigative priorities as outlined in the OIG Strategic Plan and the prosecutorial guidelines established by the U. S. Department of Justice (DOJ). In addition, the Quality Standards for Investigations issued by the Council of the Inspectors General on Integrity and Efficiency, the OIGs Investigations Division Manual, and various guidance provided periodically by the DOJ govern the OIGs investigations.

8 Only four individuals in the OIG can authorize opening an investigation: the IG, the Deputy IG, the Assistant IG for Investigations (AIGI), and the Special Agent in Charge (SAC). Every allegation received by the OIG is given a unique identification number and entered into the OIG case management system. Some allegations result in investigations, while the OIG retains others as the basis for audits, refers them to DNFSB management, or, if appropriate, directs them to another law enforcement agency.

When the OIG opens an investigation, the SAC or the Assistant SAC assigns it to a special agent or investigator who prepares a plan of investigation. This planning process includes reviewing relevant criminal and civil statutes, program regulations, and applicable agency policies. The OIG special agent or investigator then investigates using a variety of techniques to ensure completion.

Where an OIG special agent determines that a person may have committed a crime, the agent will discuss the investigation with a federal, state, or local prosecutor to determine if prosecution will be pursued. If the prosecuting attorney decides to proceed with a criminal or civil prosecution, the special agent assists the attorney in any preparation for court proceedings that may be required.

For investigations that do not result in a prosecution but are handled administratively by the agency, the special agent or investigator prepares a report summarizing the facts gathered during the investigation. The OIG distributes the report to agency officials who need to know the investigative results. For investigative reports provided to agency officials regarding substantiated administrative misconduct, the OIG requests a response within 120 days regarding any potential action that may be taken due to the investigative findings. For all other investigative products, such as referrals of allegations and findings requiring a review of agency processes and procedures, the OIG requests a 90-day response, unless the agency and the OIG agree to an alternate deadline. For certain non-criminal investigations, OIG special agents involve the senior engineers from the OIGs Technical Services Section to assist in the review of allegations.

The OIG summarizes the criminal and administrative actions taken because of its investigations and includes this data in its Semiannual Report to Congress.

9 HOTLINE The OIG Hotline Program provides DNFSB employees, contract employees, and the public with a confidential means of reporting to the OIG instances of fraud, waste, and abuse relating to agency programs and operations.

Please

Contact:

E-mail:

Online Form Telephone:

1.800.233.3497 TDD:

1.800.201.7165, or 7-1-1 Address:

U.S. Nuclear Regulatory Commission Office of the Inspector General Hotline Program Mail Stop O12-A12 11555 Rockville Pike Rockville, Maryland 20852-2746

APPENDIX A AUDITS PLANNED FOR FY 2026

A-1 PLANNED APPENDIX A Audit of the Defense Nuclear Facilities Safety Boards Fiscal Year 2026 Financial Statements DESCRIPTION AND JUSTIFICATION: Under the Accountability of Tax Dollars Act of 2002, the DNFSB is required to submit audited financial statements annually. To facilitate the DNFSBs compliance with this requirement, the OIG has contracted with an independent public accounting firm to conduct the audit of the DNFSBs financial statements. The financial statements and accompanying audit report are due 45 days after the end of the fiscal year.

OBJECTIVES: The audit objectives are to:

  • Express an opinion on whether the DNFSBs financial statements are presented fairly, in all material respects, in accordance with U.S. generally accepted accounting principles;
  • Express an opinion on whether DNFSB maintained, in all material respects, effective internal control over financial reporting; and,
  • Report on compliance with certain provisions of laws, regulations, contracts, and grant agreements.

SCHEDULE: Initiate in the third quarter of FY 2026.

STRATEGIC GOAL 3: Corporate SupportIncrease the economy, efficiency, and effectiveness with which the DNFSB manages and exercises stewardship over its resources.

STRATEGY 3.1: Identify areas of corporate support risk within the DNFSB and conduct audits and/or investigations that lead to improvements in DNFSB programs and operations.

MANAGEMENT CHALLENGE 1: Maintaining Organizational Health and Managing Resources to Address Critical Risks

PLANNED APPENDIX A A-2 Audit of the Defense Nuclear Facilities Safety Boards Fiscal Year 2025 Compliance with the Payment Integrity Information Act of 2019 DESCRIPTION AND JUSTIFICATION: The Payment Integrity Information Act of 2019 (PIIA) requires federal agencies to annually assess and report on improper payments in their programs. Agencies must conduct risk assessments to identify programs vulnerable to improper payments and establish controls to prevent and detect such payments. The PIIA requires the OIG to review and report on the agencys compliance with the Act, including the implementation of corrective actions to reduce improper payments. To comply with this requirement, the OIG has contracted with an independent public accounting firm to conduct the review.

OBJECTIVES: The audit objectives are to:

  • Assess the DNFSBs compliance with the PIIA; and,
  • Report any material weaknesses in internal control.

SCHEDULE: Initiate in the second quarter of FY 2026.

STRATEGIC GOAL 3: Corporate SupportIncrease the economy, efficiency, and effectiveness with which the DNFSB manages and exercises stewardship over its resources.

STRATEGY 3.1: Identify areas of corporate support risk within the DNFSB and conduct audits and/or investigations that lead to improvements in DNFSB programs and operations.

MANAGEMENT CHALLENGE 1: Maintaining Organizational Health and Managing Resources to Address Critical Risks

PLANNED APPENDIX A A-3 Audit of the Defense Nuclear Facilities Safety Boards Implementation of the Federal Information Security Modernization Act of 2014 for Fiscal Year 2026 DESCRIPTION AND JUSTIFICATION: The Federal Information Security Modernization Act (FISMA) outlines the information security management requirements for agencies, including the requirement for an annual independent assessment by the agencys Inspector General. In addition, FISMA includes provisions, such as those pertaining to the development of minimum standards for agency systems, aimed at further strengthening the security of federal government information and information systems. The annual assessments provide agencies with the information needed to determine the effectiveness of overall security programs and develop strategies and best practices for improving information security.

FISMA provides the framework for securing the federal governments information technology, including both unclassified and national security systems. All agencies must implement FISMA requirements and report annually to the Office of Management and Budget and Congress on the effectiveness of their security programs. To comply with this requirement, the OIG has contracted with an Independent Public Accounting firm to conduct the review.

OBJECTIVE: The audit objective will be to conduct an independent assessment of the DNFSBs FISMA implementation for Fiscal Year 2026.

SCHEDULE: Initiate in the second quarter of FY 2026.

STRATEGIC GOAL 2: SecurityStrengthen the DNFSBs efforts to address evolving security threats.

STRATEGY 2.1: Identify risks in maintaining secure facility, personnel, and cyber security infrastructure, and conduct audits and/or investigations that lead to improvements in DNFSB programs and operations.

MANAGEMENT CHALLENGE 1: Maintaining Organizational Health and Managing Resources to Address Critical Risks.

PLANNED APPENDIX A A-4 Audit of the Defense Nuclear Facilities Safety Boards Protection of Sensitive Data Throughout the Data Lifecycle DESCRIPTION AND JUSTIFICATION: The DNFSB is an independent organization within the Executive Branch that advises the President and the Secretary of Energy on public health and safety issues at Department of Energy (DOE) defense nuclear facilities. The DNFSB reviews and evaluates the content and implementation of health and safety standards, as well as other requirements relating to the design, construction, operation, and decommissioning of DOE defense nuclear facilities.

The DNFSB uses classified and sensitive unclassified information to conduct agency business in support of its mission. Certain classified information may, if released, cause exceptionally grave damage to national security. Sensitive unclassified information may include items such as personally identifiable information. Personally identifiable information pertains to information such as names, social security numbers, dates and places of birth, and other data that can be used to identify an individual. Safeguarding both classified and sensitive unclassified information is necessary for protecting national security interests, as well as the safety, security, and privacy of DNFSB employees.

OBJECTIVE: To assess whether the DNFSB effectively implements security controls to protect sensitive data throughout the data lifecycle.

SCHEDULE: Initiate in the second quarter of FY 2026.

STRATEGIC GOAL 2: SecurityStrengthen the DNFSBs efforts to address evolving security threats.

STRATEGY 2.1: Identify risks in maintaining a secure facility, personnel, and cyber security infrastructure and conduct audits and/or investigations that lead to improvements in DNFSB programs and operations.

MANAGEMENT CHALLENGE 1: Maintaining Organizational Health and Managing Resources to Address Critical Risks.

PLANNED APPENDIX A A-5 Audit of the Defense Nuclear Facilities Safety Boards Contract Management and Oversight DESCRIPTION AND JUSTIFICATION: The Federal Acquisition Regulation is the primary authority that all executive branch agencies must follow when acquiring products and services with appropriated funds. According to Federal Acquisition Regulation Section 2.101, acquisition begins when agency needs are established and includes the description of requirements to satisfy agency needs, solicitation and selection of sources, award of contracts, contract financing, contract performance, contract administration, and technical and management functions directly related to the process of fulfilling agency needs by contract. From October 1, 2020, to May 31, 2024, the DNFSB obligated approximately $27 million to contracts.

OBJECTIVE: To determine if the DNFSB is efficiently and effectively managing and overseeing its contracts.

SCHEDULE: Initiate in the third quarter of FY 2026.

STRATEGIC GOAL 3: Corporate Support - Increase the economy, efficiency and effectiveness with which the DNFSB manages and exercises stewardship over its resources.

STRATEGY 3.1: Identify areas of corporate support risk within the DNFSB and conduct audits and/or investigations that lead to DNFSB program and operational improvements.

MANAGEMENT CHALLENGE 1: Maintaining Organizational Health and Managing Resources to Address Critical Risks.

PLANNED APPENDIX A A-6 Audit of the Defense Nuclear Facilities Safety Boards Resident Inspector Program DESCRIPTION AND JUSTIFICATION: The Resident Inspector Program is a critical component for meeting the DNFSBs statutory mission to provide independent oversight of DOE defense nuclear facilities. Resident Inspectors serve as the DNFSBs on-site representatives, providing real-time assessments of safety conditions and acting as liaisons with DOE and contractor personnel. Weekly reports are the primary mechanism through which Resident Inspectors communicate safety concerns, operational developments, and oversight findings to DNFSB and the public. These reports are also permanent agency records that must meet strict standards for accuracy, classification, and transparency.

OBJECTIVE: To assess whether the Resident Inspector Program is effectively fulfilling its oversight responsibilities in accordance with applicable policies and procedures.

SCHEDULE: Initiate in the third quarter of FY 2026.

STRATEGIC GOAL 1: SafetyStrengthen the DNFSBs efforts to oversee the safe operation of the DOEs defense nuclear facilities.

STRATEGY 1.1: Identify areas associated with the DNFSBs oversight of DOE defense nuclear facilities and conduct audits, evaluations, and/or investigations that lead to improved DNFSB performance and communications.

MANAGEMENT CHALLENGE 2: Continuing to prioritize the DNFSBs focus on technical oversight and reviews.

APPENDIX B INVESTIGATIONS - PRIORITIES, OBJECTIVES, AND INITIATIVES FOR FY 2026

B-1 APPENDIX B INVESTIGATIONS INTRODUCTION The AIGI is responsible for developing and implementing an investigative program that furthers the OIGs objectives. The AIGIs primary responsibilities include investigating possible violations of criminal statutes relating to the DNFSBs programs and activities, investigating allegations of misconduct by DNFSB employees, interfacing with the DOJ on OIG-related criminal matters, and coordinating investigations and OIG initiatives with other federal, state, and local investigative agencies and other AIGIs.

Investigations cover various allegations concerning criminal wrongdoing or administrative misconduct affecting various DNFSB programs and operations.

Investigations may be initiated because of allegations or referrals from private citizens; DNFSB employees; Congress; other federal, state, and local law enforcement agencies; the OIG Audits & Evaluations Division; the OIG Hotline; and, proactive efforts directed at areas bearing a high potential for fraud, waste, abuse, and mismanagement.

The OIG developed this investigative plan to focus investigative priorities and to use available resources most effectively. It provides strategies and plans for investigative work for FY 2026, in conjunction with the OIG Strategic Plan. As identified by the OIG, the most serious management and performance challenges facing the DNFSB were also considered in the development of this plan.

PRIORITIES The OIG estimates it will initiate approximately five investigations in FY 2026.

Reactive investigations into allegations of criminal and other wrongdoing and allegations of safety significance will take priority with respect to the OIGs use of available resources. Because of the DNFSBs public health and safety mission, the AIGIs main concentration of effort and resources will involve investigations of alleged DNFSB employee misconduct that could adversely impact matters related to public health and safety.

OBJECTIVE To facilitate the most effective and efficient use of limited resources, the Investigations Division has established specific initiatives aimed at preventing and detecting fraud, waste, abuse, and mismanagement, as well as optimizing the DNFSBs effectiveness and efficiency. The Investigations Division will focus its efforts on areas that involve possible violations of criminal statutes relating to the DNFSBs programs and operations, and allegations of misconduct by DNFSB employees and managers.

B-2 APPENDIX B INVESTIGATIONS INITIATIVES

  • Investigate allegations of misconduct by DNFSB employees and contractors in accordance with federal statutes, regulations, and DNFSB directives;
  • Investigate alleged violations of government-wide ethics regulations and possible conflicts of interest;
  • Conduct fraud awareness briefings and information presentations to provide a practical and implementable knowledge base for DNFSB employees and external stakeholders that support anti-fraud activities;
  • Conduct activities to protect the DNFSBs Information Technology infrastructure against both internal and external computer intrusions by working in close coordination with agency staff;
  • Attempt to detect possible wrongdoing perpetrated against the DNFSBs procurement and contracting program. This will include periodic meetings with DNFSB management officials, contract specialists, project managers, project officers, and other relevant identified employees;
  • Proactively review government travel charge card and government purchase card programs to prevent, detect, and investigate alleged misuse and abuse;
and,
  • Proactively review and maintain awareness in areas of DNFSB emphasis to identify emerging issues that may require future OIG involvement.

The OIG Hotline

  • Promptly process allegation received via the OIG Hotline; and,
  • Initiate investigations when warranted and properly dispose of allegations that do not warrant OIG investigation.

The Freedom of Information Act (FOIA) and the Privacy Act

  • The OIG is an independent component in relation to the DNFSB and responds to requests for records that are exclusively OIG-related, such as FOIA requests for reports of OIG inspections, audits, or investigations relating to the programs and operations of the DNFSB; and,

B-3 APPENDIX B INVESTIGATIONS

  • The General Counsel to the IG is the principal contact point within the OIG for advice and policy guidance on matters pertaining to the administration of FOIA and the Privacy Act. All FOIA/Privacy Act requests are handled professionally and expeditiously.

Liaison Program

  • Maintain close working relationships with the Intelligence Community and other law enforcement agencies, public interest groups, and Congress through periodic meetings with pertinent Congressional staff, public interest groups, and appropriate Intelligence Community and law enforcement organizations; and,
  • Conduct liaison visits with DNFSB staff and stakeholders at sites within the DNFSBs jurisdiction to discuss and identify potential safety-related issues and future avenues of investigative interest.

ALLOCATION OF RESOURCES The OIGs Investigations Division undertakes both proactive initiatives and reactive investigations. Approximately 85 percent of available investigative resources will be used for reactive investigations. The balance will be allocated to proactive investigative efforts such as reviews of DNFSB contract files, examinations of agency IT systems to identify weaknesses or misuse by agency employees, reviews of delinquent government travel and purchase card accounts, and other initiatives.

APPENDIX C ABBREVIATIONS AND ACRONYMS

C-1 ABBREVIATIONS AND ACRONYMS APPENDIX C 0BABBREVIATIONS AND ACRONYMS AIGA Assistant Inspector General for Audits and Evaluations AIGI Assistant Inspector General for Investigations DNFSB Defense Nuclear Facilities Safety Board DOE U.S. Department of Energy DOJ U. S. Department of Justice FISMA Federal Information Security Modernization Act FOIA Freedom of Information Act IG Inspector General OIG Office of the Inspector General PIIA Payment Integrity Information Act SAC Special Agent in Charge

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