The Defense Nuclear Facilities Safety Board (DNFSB) Office of the Inspector General (OIG) conducted this audit because (1) the OIG last audited the DNFSB’s Freedom of Information Act (FOIA) program in 2014; and, (2) the FOIA Improvement Act of 2016 changed processes, roles, and responsibilities concerning federal agency FOIA programs.The Defense Nuclear Facilities Safety Board’s FOIA request processing and communications are sometimes untimely, inconsistent with FOIA requirements, or insufficient to apprise requesters of the reasons for the agency’s decision. Due to outdated information, agency FOIA decisions may conflict with statutory requirements or be inconsistent with statutory requirements.Agency processes must be documented and have adequate controls to ensure data reliability. However, FOIA program records and information are often missing or erroneous. This occurs because the DNFSB lacks controls for its FOIA request management tool, and also lacks an electronic records repository system. As a result, the agency’s FOIA program knowledge management and public reporting could be compromised.The time and materials service contract used for FOIA program support identifies FOIA-specific terms, but some terms were not met. This occurred because the Contracting Officer’s Representative (COR) was relatively inexperienced and inadequately supported, and the agency’s FOIA program staff did not adequately communicate with the COR. This is important because time and materials contracts are considered high-risk, and thus require enhanced oversight by experienced program staff.This report makes eight recommendations intended to improve and strengthen the agency’s FOIA program.
Report File
Date Issued
Submitting OIG
Nuclear Regulatory Commission OIG
Other Participating OIGs
Nuclear Regulatory Commission OIG
Agencies Reviewed/Investigated
Defense Nuclear Facilities Safety Board
Report Number
DNFSB-24-A-04
Report Description
Report Type
Audit
Agency Wide
Yes
Number of Recommendations
8
Questioned Costs
$0
Funds for Better Use
$0
Open Recommendations
This report has 7 open recommendations.
| Recommendation Number | Significant Recommendation | Recommended Questioned Costs | Recommended Funds for Better Use | Additional Details | |
|---|---|---|---|---|---|
| 1.1 | Yes | $0 | $0 | ADAMS Accession No: ML24327A156. https://adamsxt.nrc.gov/navigator/AdamsXT/content/downloadContent.faces?objectStoreName=MainLibrary&vsId=%7b57699818-C320-C87A-8473-9354E2F00000%7d&ForceBrowserDownloadMgrPrompt=false Agency Response Dated October 9, 2024: The Office of the General Counsel (OGC) will revise the agency’s FOIA regulations to capture substantive changes from the FOIA Improvement Act of 2016. OIG Analysis: The proposed action meets the intent of this recommendation. The OIG will close this recommendation upon reviewing the finalized revised FOIA regulations encapsulating the substantive changes from the FOIA Improvement Act of 2016. |
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| Revise its FOIA regulations to capture substantive changes from the FOIA Improvement Act of 2016. | |||||
| 1.2 | Yes | $0 | $0 | ADAMS Accession No: ML24327A156 Agency Response Dated October 9, 2024: The FOIA Directive has been updated and shared with agency staff. The agency is also in the process of developing a corresponding operating procedure and a desk guide that is in alignment with the FOIA Regulations and FOIA Directive. OIG Analysis: The proposed actions meet the intent of this recommendation. The OIG will close the recommendation after verifying that the forthcoming FOIA operating procedure and desk guide address specific issues highlighted in the finding and recommendation. |
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| Update its internal FOIA guidance for statutory timelines, extension conditions, fee waivers, perfection policy, referrals, and consultations. | |||||
| 1.3 | Yes | $0 | $0 | ADAMS Accession No: ML24327A156 Agency Response Dated October 9, 2024: Key officials in Office of Administrative Services (OAS), OGC, and Office of the Executive Director of Operations (OEDO) who are involved in the oversight of the FOIA Program will be responsible for taking appropriate training. The Division of Operational Services (DOS) Director will track training completion dates. OIG Analysis: The proposed actions meet the intent of this recommendation. The OIG will close this recommendation upon receiving and verifying FOIA-specific training attendance data for key officials involved in FOIA program oversight. |
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| Require annual FOIA-specific training for key officials involved in its FOIA program oversight. | |||||
| 1.4 | Yes | $0 | $0 | ADAMS Accession No: ML24327A156 Agency Response Dated October 9, 2024: The agency is currently updating the FOIA response review process, which will include a multiple review process by which the DOS Director will provide the initial review of all responses for completeness, before the FOIA Specialist sends the response to General Counsel (GC) for legal sufficiency review. After GC review, the response will be sent to the Chief FOIA Officer for final signature review. According to the DOS Director’s position description, the DOS Director is responsible for managing and overseeing the agency’s FOIA program. This enables accurate and timely responses to FOIA requests are as required by, law, regulation, and policy. OIG Analysis: The proposed action meets the intent of this recommendation. The OIG will close this recommendation upon reviewing documentary support showing the updated FOIA response review process. |
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| Develop a quality assurance process to review FOIA responses for completeness. | |||||
| 2.1 | Yes | $0 | $0 | ADAMS Accession No: ML24327A156 Dated October 9, 2024: The agency is currently integrating FOIA requests into the ServiceNow platform. This will allow for the tracking and management of all FOIA requests within an electronic system. Additionally, the system will function as an electronic repository for all requests and responses. In the interim, the agency updated the excel spreadsheet log. That will be reviewed on a weekly basis by the DOS Director ensure the information is accurate. OIG Analysis: The proposed actions meet the intent of this recommendation. The OIG will close this recommendation upon reviewing documentary support showing that the DNFSB has implemented the ServiceNow platform for FOIA request tracking and management, and as a repository for FOIA requests and responses. |
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| Develop and implement systematic quality assurance procedures for FOIA request tracking and management. | |||||
| 2.2 | Yes | $0 | $0 | ADAMS Accession No: ML24327A156 Agency Response Dated October 9, 2024: The agency is currently integrating FOIA requests into the ServiceNow platform. Once the SeviceNow system is implemented, it will serve as a workflow, tracking and records repository for all FOIA requests. OIG Analysis: The proposed action meets the intent of this recommendation. The OIG will close this recommendation upon reviewing documentary support showing implementation of the ServiceNow system as the FOIA request records repository. |
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| Complete compliance with and implement the NARA’s electronic records management requirements as they pertain to FOIA records. | |||||
| 3.2 | Yes | $0 | $0 | ADAMS Accession No: ML24327A156 Agency Response Dated October 9, 2024: Transparent Communication - The current procedures facilitate open communication between the contractor, Activity Manager, COR, Contract Officer, and relevant stakeholders to ensure all aspects of the tasks outlined in the contract are monitored and remain compliant with its terms. Weekly meetings – Regular weekly meetings will be scheduled between the FOIA Specialist and the activity manager to review the status of requests and overall program activity, set direction and/or prioritize outdated requests. These meetings ensure that quarterly, semi-annual, and annual deliverables are consistently met. Bi-weekly meetings - In addition to the weekly meetings, biweekly meetings will be held between the Chief FOIA Officer and the DOS Director, who acts as the activity manager to review and manage the whole program. The agency is currently drafting acquisition procedures to better define the roles and responsibilities of the COR, Activity Manager, and CO. The agency in the process of finalizing a COR handbook to help agency CORs better execute their roles and responsibilities. POC: Chief Administrative Officer. OIG Analysis: The proposed actions meet the intent of this recommendation. The OIG will close this recommendation upon reviewing evidence showing the weekly and bi-weekly meetings occurred, as well as reviewing the finalized acquisition procedures and COR handbook. |
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| Establish procedures to ensure transparent communication with the COR on developments in the FOIA program and facilitate adequate monitoring of the FOIA-specific sections of the contract in accordance with its terms. | |||||
