Managing Construction AND Infrastructure in the 21st Century Bureau of Reclamation

Committee on Organizing to Manage Construction and Infrastructure in the 21st Century Bureau of Reclamation

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.
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Managing Construction and Infrastructure in the 21st Century Bureau of Reclamation Managing Construction AND Infrastructure in the 21st Century Bureau of Reclamation Committee on Organizing to Manage Construction and Infrastructure in the 21st Century Bureau of Reclamation 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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Managing Construction and Infrastructure in the 21st Century Bureau of Reclamation 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 04CS811007 between the U.S. Department of the Interior and the National Academy of Sciences. Any opinions, findings, conclusions, or recommendations expressed in this publication are those of the author(s) and do not necessarily reflect the views of the organizations or agencies that provided support for the project. International Standard Book Number 0-309-10035-6 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. Cover photographs from top to bottom: Parker Dam (from U.S. Bureau of Reclamation); deflector at Tracy fish screen (from San Luis and Delta Mendota Canal Authority); Flat Iron Power Plant and Pumping Station (from U.S. Bureau of Reclamation); Provo River restoration (from Utah Reclamation Mitigation and Conservation Commission); and Boise River Diversion Dam (from U.S. Bureau of Reclamation). Copyright 2006 by the National Academy of Sciences. All rights reserved. Printed in the United States of America

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Managing Construction and Infrastructure in the 21st Century Bureau of Reclamation 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. Ralph J. Cicerone 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. Ralph J. Cicerone and Dr. Wm. A. Wulf are chair and vice chair, respectively, of the National Research Council. www.national-academies.org

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Managing Construction and Infrastructure in the 21st Century Bureau of Reclamation COMMITTEE ON ORGANIZING TO MANAGE CONSTRUCTION AND INFRASTRUCTURE IN THE 21ST CENTURY BUREAU OF RECLAMATION JAMES K. MITCHELL, Chair, Virginia Polytechnic Institute and University, Blacksburg, Virginia PATRICK R. ATKINS, Alcoa, New York, New York ALLAN V. BURMAN, Jefferson Solutions, Washington, D.C. TIMOTHY J. CONNOLLY, HDR Engineering, Inc., Omaha, Nebraska LLOYD A. DUSCHA, U.S. Army Corps of Engineers (retired), Reston, Virginia G. BRIAN ESTES, Consulting Engineer, Williamsburg, Virginia MARTHA S. FELDMAN, University of California, Irvine DARRELL G. FONTANE, Colorado State University, Fort Collins SAMMIE D. GUY, Consulting Engineer, Falls Church, Virginia L. MICHAEL KAAS, Consulting Engineer, Arlington, Virginia CHARLES I. McGINNIS, U.S. Army Corps of Engineers (retired), Charlottesville, Virginia ROGER K. PATTERSON, Nebraska Department of Natural Resources (retired), Lincoln Staff LYNDA L. STANLEY, 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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Managing Construction and Infrastructure in the 21st Century Bureau of Reclamation BOARD ON INFRASTRUCTURE AND THE CONSTRUCTED ENVIRONMENT HENRY HATCH, Chair, U.S. Army Corps of Engineers (retired), Oakton, Virginia MASSOUD AMIN, University of Minnesota, Minneapolis REGINALD DesROCHES, Georgia Institute of Technology, Atlanta DENNIS DUNNE, Consultant, Scottsdale, Arizona PAUL FISETTE, University of Massachusetts, Amherst LUCIA GARSYS, Hillsborough County, Florida WILLIAM HANSMIRE, Parsons Brinckerhoff Quade & Douglas, Detroit, Michigan THEODORE C. KENNEDY, BE&K, Inc., Birmingham, Alabama SUE McNEIL, University of Delaware, Wilmington DEREK PARKER, Anshen+Allen, San Francisco, California HENRY SCHWARTZ, JR., Washington University, St. Louis, Missouri WILLIAM WALLACE, Rensselaer Polytechnic Institute, Troy, New York CRAIG ZIMRING, Georgia Institute of Technology, Atlanta Staff LYNDA STANLEY, Director MICHAEL D. COHN, Program Officer KEVIN M. LEWIS, Program Officer DANA CAINES, Financial Associate PAT WILLIAMS, Senior Project Assistant

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Managing Construction and Infrastructure in the 21st Century Bureau of Reclamation Preface The Bureau of Reclamation (Reclamation) has a long history of accomplishments, and through this study and other efforts is preparing to continue its successful record of providing water and hydroelectric power in the western United States. Successful accomplishment of Reclamation’s current mission in the twenty-first century—to manage, develop, and protect water and related resources in an environmentally and economically sound manner in the interest of the American public—is impacted, and in some cases dominated, by several new realities that are discussed in this report, including environmental factors, American Indian water rights, rural water needs, urbanization, increasing budget constraints, a broader set of stakeholders, an aging workforce, and an aging infrastructure. The committee was not asked to assess the robustness of Reclamation in the face of extraordinary events, but the recent disasters caused by the hurricanes in the Gulf Coast region have brought that question to the attention of the committee. In the short term, the dispersed geography, decentralized line organization, and centralized service center of Reclamation should allow it to respond to localized events effectively. Over the long term, the bureau has exhibited its ability to deal with disasters, as shown in its response to the failure of Teton Dam in 1976. That event led to the creation of a robust safety of dams program, risk analysis and design review procedures, and an active effort to learn from past experience. The committee also observed active efforts to plan responses to developing problems caused by persistent drought conditions in the West. If faced with unexpected catastrophic events, Reclamation can be expected, in the committee’s opinion, to rise to the challenge.

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Managing Construction and Infrastructure in the 21st Century Bureau of Reclamation All the committee members, whose abbreviated biographies are given in Appendix A, contributed enormously to the successful completion of the study. They provided diverse expertise and a wealth of knowledge and experience in relevant disciplines and topics: organizational, construction, and operational history of the bureau, water resources engineering and planning, government policies and procedures, large organization management, human resources issues, and political considerations, among others. Each member brought a creative and fresh perspective to the study and participated in the drafting of the report and in the crafting of the several findings and recommendations. It has been a pleasure and excellent learning experience working with all of them. An important element in the committee’s ability to complete its assigned tasks was the support and participation of the bureau. The committee appreciates the cooperation and support of John Keys III, commis-sioner, the assistance provided throughout the study by Fred Ore, deputy director of operations, and N. John Harb, manager, and the scores of managers and personnel in the Denver, regional, and area offices who took time from their busy schedules to brief the committee and candidly discuss Reclamation’s challenges and opportunities. The committee also appreciates the contributions of Reclamation’s water and power customers and their representative organizations, which provided a perspective on the bureau that was critical to the committee’s understanding of the factors that influence its facility and infrastructure tasks. The committee was supported and guided in its work by study director Michael Cohn, program officer, Board on Infrastructure and the Constructed Environment (BICE). Mike’s dedication to the tasks and support for the committee is a key factor in the success of this study. We are also greatly indebted to Lynda Stanley, director, BICE, for her insights and suggestions. The committee appreciates the opportunity to address an issue of importance to the future success of the Bureau of Reclamation’s mission in meeting water and hydroelectric power needs in the western United States in an environmentally sensitive and economical manner. James K. Mitchell Chair, Committee on Organizing to Manage Construction and Infrastructure in the 21st Century Bureau of Reclamation

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Managing Construction and Infrastructure in the 21st Century Bureau of Reclamation 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 NRC’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: John T. Christian, Consulting Engineer, David W. Fowler, University of Texas at Austin, Gerald E. Galloway, University of Maryland, Lawrence J. MacDonnell, Porzak, Browning & Bushong, Peter Marshall, Burns & Roe Services, Robert S. O’Neil, Parsons Transportation Group (retired), and Karlene H. Roberts, University of California, Berkeley. 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 Richard N. Wright, Building and Fire Research Laboratory, National Institute of Standards

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Managing Construction and Infrastructure in the 21st Century Bureau of Reclamation and Technology (retired). Appointed by the National Research 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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Managing Construction and Infrastructure in the 21st Century Bureau of Reclamation Contents     EXECUTIVE SUMMARY   1 1   INTRODUCTION   15      Background,   15      Summary of Authorizing Legislation,   15      Mission,   17      Statement of Task,   18      Organization of the Report,   19      References,   21 2   REQUIREMENTS FOR THE TWENTY-FIRST CENTURY   22      Introduction,   22      Facility and Infrastructure Assets,   23      Workload,   26      Management Policies and Procedures,   33      Decision-Making Procedures,   35      Organizational Configuration,   36      References,   46 3   GOOD PRACTICE TOOLS AND TECHNIQUES   48      Introduction,   48      Roundtable of Organizations with Similar Missions,   48      Policies and Procedures,   54      Acquisition and Contracting Practices,   56

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Managing Construction and Infrastructure in the 21st Century Bureau of Reclamation      Project Conception, Development, and Execution Practices,   60      Customer and Stakeholder Relations,   66      Application of Metrics, Audits, and Reviews,   68      Planning and Budgeting,   68      References,   69 4   WORKFORCE AND HUMAN RESOURCES   71      Introduction,   71      Workforce Planning,   72      Strategic Direction,   73      Supply Analysis,   77      Demand Analysis,   79      Gap Analysis,   80      Solutions and Implementation,   82      Evaluation,   86      References,   86 5   ALTERNATIVE SCENARIOS FOR FUTURE INFRASTRUCTURE MANAGEMENT   88      Introduction,   88     Scenario 1:  Centrally Located Project Management Organization,   89     Scenario 2:  Outsourced Operations and Maintenance,   91     Scenario 3:  Federal Funding and Local Execution,   91      Conclusion,   92      Reference,   93 6   CONCLUSIONS, FINDINGS, AND RECOMMENDATIONS   94      Introduction,   94      Factors Impacting the Management of Construction and Infrastructure,   95      Capabilities for the Management of Construction and Infrastructure,   104      Alternative Scenarios for Future Infrastructure Management,   107     APPENDIXES         A  BIOGRAPHIES OF COMMITTEE MEMBERS   111     B  BRIEFINGS TO THE COMMITTEE AND DISCUSSIONS   119     C  GOOD PRACTICE TOOLS AND TECHNIQUES ROUNDTABLE   128     BOARD ON INFRASTRUCTURE AND THE CONSTRUCTED ENVIRONMENT   138

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Managing Construction and Infrastructure in the 21st Century Bureau of Reclamation Acronyms and Abbreviations ALP Animas–La Plata Project BRC Budget Review Committee CALFED CALFED Bay–Delta Program CBT Colorado–Big Thompson project CCE construction cost estimate CFR comprehensive facility review CII Construction Industry Institute COTR contracting officer’s technical representative CPORT Commissioner’s Program and Organization Review Team CVP Central Valley Project DEC Design, Estimating, and Construction Office DOE Department of Energy DOI Department of the Interior DSIS Dam Safety Information System DSO Dam Safety Office DWR California Department of Water Resources EIA environmental impact assessment ESA Endangered Species Act

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Managing Construction and Infrastructure in the 21st Century Bureau of Reclamation FAR federal acquisition regulations FFC Federal Facilities Council GSA General Services Administration IDIQ indefinite delivery/indefinite quantity IDP individual development plan KSAs knowledge, skills, and abilities M&I municipal and industrial MSCP Multi-Species Conservation Program NCWCD Northern Colorado Water Conservancy District NOAA National Oceanic and Atmospheric Administration NWRA National Water Resources Association O&M operations and maintenance OMB Office of Management and Budget OPP Office of Procurement Policy OPPS Office of Program and Policy Services PBSA performance-based services acquisition PCE project cost estimate PFR periodic facility review PMP project management plan PMT project management team PMTS Policy Management and Technical Services QA/QC quality assurance and quality control R&D research and development RAX replacement, addition, and exceptional maintenance RDCCT Reclamation Design and Construction Coordination Team Reclamation U.S. Bureau of Reclamation SABER simplified acquisition of basic engineering requirements SEED safety evaluation of existing dams SES Senior Executive Service SOD Safety of Dams (program) SSLE Security, Safety, and Law Enforcement SWP state water project

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Managing Construction and Infrastructure in the 21st Century Bureau of Reclamation TSC Technical Service Center TVA Tennessee Valley Authority USACE U.S. Army Corps of Engineers USBR U.S. Bureau of Reclamation USGS U.S. Geological Survey WAPA Western Area Power Administration (DOE) WARSMP Watershed and River System Management Program WQIC Water Quality Improvement Center

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