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Intelligent Sustainment and Renewal of Department of Energy Facilities and Infrastructure Intelligent Sustainment and Renewal of Department of Energy Facilities and Infrastructure Committee on the Renewal of Department of Energy Infrastructure Board on Infrastructure and the Constructed Environment Division on Engineering and Physical Sciences NATIONAL RESEARCH COUNCIL OF THE NATIONAL ACADEMIES THE NATIONAL ACADEMIES PRESS WASHINGTON, D.C. www.nap.edu
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Intelligent Sustainment and Renewal of Department of Energy Facilities and Infrastructure THE NATIONAL ACADEMIES PRESS 500 Fifth Street, N.W. Washington, DC 20001 NOTICE: The project that is the subject of this report was approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of the committee responsible for the report were chosen for their special competences and with regard for appropriate balance. This study was supported by Contract Number DEAM01-99PO8006 between the U.S. Department of Energy and the National Academy of Sciences. Any opinions, findings, conclusions, or recommendations expressed in this publication are those of the authors and do not necessarily reflect the views of the organizations or agencies that provided support for the project. International Standard Book Number 0-309-09444-5 (book) International Standard Book Number 0-309-54652-4 (PDF) Additional copies of this report are available from the National Academies Press, 500 Fifth Street, N.W., Lockbox 285, Washington, DC 20055; (800) 624-6242 or (202) 334-3313 (in the Washington metropolitan area); Internet, http://www.nap.edu Copyright 2004 by the National Academy of Sciences. All rights reserved. Printed in the United States of America
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Intelligent Sustainment and Renewal of Department of Energy Facilities and Infrastructure THE NATIONAL ACADEMIES Advisers to the Nation on Science, Engineering, and Medicine The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Bruce M. Alberts is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. Wm. A. Wulf is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy’s purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Bruce M. Alberts and Dr. Wm. A. Wulf are chair and vice chair, respectively, of the National Research Council. www.national-academies.org
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Intelligent Sustainment and Renewal of Department of Energy Facilities and Infrastructure COMMITTEE ON THE RENEWAL OF DEPARTMENT OF ENERGY INFRASTRUCTURE JAMES M. BRAUS, Chair, Shell Oil Company (retired), Kingwood, Texas DAVID A. CAIN, Northern Arizona University, Flagstaff CHARLES DAVIDSON, J.A. Jones, Inc. (retired), Charlotte, North Carolina J. CLAY DEAN, Knowledge Management Consultant, Burke, Virginia DONALD V. FREIERT, JR., Nationwide Insurance, Columbus, Ohio ANGELO GIAMBUSSO, Stone and Webster Engineering Corporation (retired), Wilmington, Massachusetts JAMES H. JOHNSON, JR., Howard University, Washington, D.C. MARGARET P. KINNAMAN, University of Maryland, Baltimore PETER MARSHALL, Burns & Roe Services, Virginia Beach LINDA NOZICK, Cornell University, Ithaca, New York DOUGLAS SARNO, The Perspectives Group, Inc., Alexandria, Virginia JAMES M. TIEN, Rensselaer Polytechnic Institute, Troy, New York ZHANMIN ZHANG, University of Texas, Austin Staff RICHARD G. LITTLE, Director, Board on Infrastructure and the Constructed Environment MICHAEL D. COHN, Program Officer DANA CAINES, Financial Associate PAT WILLIAMS, Senior Project Assistant
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Intelligent Sustainment and Renewal of Department of Energy Facilities and Infrastructure BOARD ON INFRASTRUCTURE AND THE CONSTRUCTED ENVIRONMENT PAUL GILBERT, Chair, Parsons Brinckerhoff Quade & Douglas, Seattle, Washington MASSOUD AMIN, University of Minnesota, Minneapolis RACHEL DAVIDSON, Cornell University, Ithaca, New York REGINALD DesROCHES, Georgia Institute of Technology, Atlanta DENNIS DUNNE, California Department of General Services, Sacramento PAUL FISSETTE, University of Massachusetts, Amherst WILLIAM HANSMIRE, Parsons Brinckerhoff Quade & Douglas, San Francisco, California HENRY HATCH, U.S. Army Corps of Engineers (retired), Oakton, Virginia AMY HELLING, Georgia State University, Atlanta SUE McNEIL, University of Illinois, Chicago DEREK PARKER, Anshen+Allen, San Francisco, California DOUGLAS SARNO, The Perspectives Group, Inc., Alexandria, Virginia HENRY SCHWARTZ, JR., Washington University, St. Louis, Missouri DAVID SKIVEN, General Motors Corporation, Detroit, Michigan MICHAEL STEGMAN, University of North Carolina, Chapel Hill WILLIAM WALLACE, Rensselaer Polytechnic Institute, Troy, New York ZOFIA ZAGER, County of Fairfax, Fairfax, Virginia CRAIG ZIMRING, Georgia Institute of Technology, Atlanta Staff RICHARD G. LITTLE, Director, Board on Infrastructure and the Constructed Environment LYNDA L. STANLEY, Executive Director, Federal Facilities Council MICHAEL D. COHN, Program Officer DANA CAINES, Financial Associate PAT WILLIAMS, Senior Project Assistant
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Intelligent Sustainment and Renewal of Department of Energy Facilities and Infrastructure Preface With this report, the Committee on the Renewal of Department of Energy Infrastructure conveys its evaluation of the department’s progress toward intelligent sustainment and renewal of Department of Energy (DOE) facilities and infrastructure (F&I). While it is clear that many challenges remain, the committee found many good people working with reasonable processes in DOE’s F&I management system. However, significantly, the committee also became aware of a concept, prevalent throughout much of DOE, that spending resources on F&I activities is done at the expense of DOE’s program missions. As a former industry executive, I view the lack of integration of F&I into overall DOE strategy as a major challenge for DOE senior managers. This zero-sum-game approach may have been relevant 50 years ago, but it has been discarded by most, if not all, successful organizations in government and industry. The intimate integration of missions and management processes applies not only to F&I but also to environmental performance, safety, health, community relations, and other supporting functions. Such elements are not competitors for program resources; rather, they are program enablers that make the program bigger and better than the sum of its parts. The committee paid specific attention to this problem and offers recommendations in Chapter 2 for improvements to the DOE’s strategic plan, organizational structure, and implementation of F&I policies, procedures, and guidelines. Chapters 3 and 4 identify challenges in infrastructure management and provide recommendations for improvement. To naysayers who contend that a consistent holistic approach is not workable at DOE, I point with professional respect to the progress made within the National
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Intelligent Sustainment and Renewal of Department of Energy Facilities and Infrastructure Nuclear Security Administration (NNSA). While NNSA has not yet addressed every issue surrounding the integration of program and F&I needs, it has recognized F&I as an enabler. As a result, NNSA’s execution of Real Property Asset Management (O 430.1B) (RPAM) is the most advanced in DOE. In the simplest of terms: NNSA “gets it.” There is no reason that all DOE program offices cannot meet and exceed the progress made by NNSA. I believe it is a matter of leadership. James M. Braus, Chair Committee on the Renewal of Department of Energy Infrastructure
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Intelligent Sustainment and Renewal of Department of Energy Facilities and Infrastructure Acknowledgment of Reviewers This report has been reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise, in accordance with procedures approved by the National Research Council’s Report Review Committee. The purpose of this independent review is to provide candid and critical comments that will assist the institution in making its published report as sound as possible and to ensure that the report meets institutional standards for objectivity, evidence, and responsiveness to the study charge. The review comments and draft manuscript remain confidential to protect the integrity of the deliberative process. We wish to thank the following individuals for their review of this report: Nancy Rutledge Connery, Consultant, Lloyd A. Duscha, U.S. Army Corps of Engineers (retired), G. Brian Estes, U.S. Navy (retired), David Skiven, General Motors Corporation, Richard Stegemeier, Unocal Corporation (retired), Michael L. Telson, University of California Office of Federal Governmental Relations, and James W. Wright, Naval Facilities Engineering Command. Although the reviewers listed have provided many constructive comments and suggestions, they were not asked to endorse the conclusions or recommendations, nor did they see the final draft of the report before its release. The review of this report was overseen by John Ahearne. Appointed by the National Research
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Intelligent Sustainment and Renewal of Department of Energy Facilities and Infrastructure Council, he was responsible for making certain that an independent examination of this report was carried out in accordance with institutional procedures and that all review comments were carefully considered. Responsibility for the final content of this report rests entirely with the authoring committee and the institution.
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Intelligent Sustainment and Renewal of Department of Energy Facilities and Infrastructure Contents EXECUTIVE SUMMARY 1 1 INTRODUCTION 6 Background, 6 Committee Composition, 7 Statement of Task, 7 Committee Evaluation Procedures, 8 Organization of This Report, 8 References, 9 2 INFRASTRUCTURE MANAGEMENT PRACTICES AND ORGANIZATION 11 Introduction, 11 Stewardship Culture, 12 Organizational Structure, 19 Process Improvement, 23 Findings and Recommendations, 26 References, 27 3 INFRASTRUCTURE MANAGEMENT CHALLENGES AND OPPORTUNITIES 29 Introduction, 29 Management Challenges, 30
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Intelligent Sustainment and Renewal of Department of Energy Facilities and Infrastructure Sustainment and Recapitalization Budget Controls, 34 Consistent Implementation, 39 Findings and Recommendations, 44 References, 46 4 INFRASTRUCTURE MANAGEMENT PERFORMANCE MEASURES 48 Introduction, 48 Best Practices, 49 DOE Metrics, 56 Integrated Management Approach, 62 Determining Whether to Repair, Renovate, or Replace, 75 Findings and Recommendations, 77 References, 78 5 CONCLUSION 79 References, 82 APPENDIXES A February 27, 2004, Letter Report 87 B Biographies of Committee Members 96 C Committee Fact-Finding Activities 102
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Intelligent Sustainment and Renewal of Department of Energy Facilities and Infrastructure Acronyms and Abbreviations ACI asset condition index APPA Association of Higher Education Facility Officers AUI asset utilization index BMAR backlog of maintenance and repair BSC balanced scorecard CAIS Condition Assessment Information System CAS Condition Assessment Survey CNI Commander of Naval Installations Command CRE corporate real estate CRV current replacement value CSO cognizant secretarial office DM deferred maintenance DoD U.S. Department of Defense DOE U.S. Department of Energy DOE IG U.S. Department of Energy Inspector General DRIP data rich and information poor EM Office of Environmental Management F&I facilities and infrastructure
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Intelligent Sustainment and Renewal of Department of Energy Facilities and Infrastructure FAR Federal Acquisition Regulations FCI facility condition index FDC facility deterioration curve FIMS Facilities Information Management System FIRP Facilities and Infrastructure Recapitalization Program FISC Facilities and Infrastructure Executive Steering Committee FMS facilities management system FRM Facilities Recapitalization Metric FRR Facilities Revitalization Rate FSM Facilities Sustainment Model GAO U.S. Government Accountability Office (formerly U.S. General Accounting Office) GPRA Government Performance and Results Act IRR installation readiness report LCAM Life-Cycle Asset Management LLNL Lawrence Livermore National Laboratory LPSO lead program secretarial office M&O management and operation MCI mission condition index MDI mission dependency index ME mission effectiveness NASA National Aeronautics and Space Administration NI needs index NNSA National Nuclear Security Administration NRC National Research Council OECM Office of Engineering and Construction Management OMBE Office of Management, Budget, and Evaluation PMCDP Project Management Career Development Program PSO program secretarial office RPAM Real Property Asset Management RPV replacement plant value S alternative renewal strategies SAM Strategic Assessment Model SC Office of Science
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Intelligent Sustainment and Renewal of Department of Energy Facilities and Infrastructure SIM shore installation management S/RM sustainment, restoration, and modernization TYCSP 10-year comprehensive site plan TYSP 10-year site plan
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