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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2017. Report 1 on Tracking and Assessing Governance and Management Reform in the Nuclear Security Enterprise. Washington, DC: The National Academies Press. doi: 10.17226/24749.
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Report 1 on Tracking and Assessing
Governance and Management Reform in
the Nuclear Security Enterprise

Panel to Track and Assess Governance and Management Reform in the Nuclear Security Enterprise

Laboratory Assessments Board

Division on Engineering and Physical Sciences

A Report of

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THE NATIONAL ACADEMIES PRESS
Washington, DC
www.nap.edu

Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2017. Report 1 on Tracking and Assessing Governance and Management Reform in the Nuclear Security Enterprise. Washington, DC: The National Academies Press. doi: 10.17226/24749.
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THE NATIONAL ACADEMIES PRESS 500 Fifth Street, NW Washington, DC 20001

This activity was supported by Contract No. #DOE DE-NA0003381 with the Department of Energy. Any opinions, findings, conclusions, or recommendations expressed in this publication do not necessarily reflect the views of any organization or agency that provided support for the project.

Digital Object Identifier: https://doi.org/10.17226/24749

Copyright 2017 by the National Academy of Sciences. All rights reserved.

Printed in the United States of America

Suggested citation: National Academies of Sciences, Engineering, and Medicine and the National Academy of Public Administration. 2017. Report 1 on Tracking and Assessing Governance and Management Reform in the Nuclear Security Enterprise. Washington, DC: The National Academies Press. doi: https://doi.org/10.17226/24749.

Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2017. Report 1 on Tracking and Assessing Governance and Management Reform in the Nuclear Security Enterprise. Washington, DC: The National Academies Press. doi: 10.17226/24749.
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The National Academy of Sciences was established in 1863 by an Act of Congress, signed by President Lincoln, as a private, nongovernmental institution to advise the nation on issues related to science and technology. Members are elected by their peers for outstanding contributions to research. Dr. Marcia McNutt is president.

The National Academy of Engineering was established in 1964 under the charter of the National Academy of Sciences to bring the practices of engineering to advising the nation. Members are elected by their peers for extraordinary contributions to engineering. Dr. C. D. Mote, Jr., is president.

The National Academy of Medicine (formerly the Institute of Medicine) was established in 1970 under the charter of the National Academy of Sciences to advise the nation on medical and health issues. Members are elected by their peers for distinguished contributions to medicine and health. Dr. Victor J. Dzau is president.

The three Academies work together as the National Academies of Sciences, Engineering, and Medicine to provide independent, objective analysis and advice to the nation and conduct other activities to solve complex problems and inform public policy decisions. The National Academies also encourage education and research, recognize outstanding contributions to knowledge, and increase public understanding in matters of science, engineering, and medicine.

Learn more about the National Academies of Sciences, Engineering, and Medicine at www.national-academies.org.

Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2017. Report 1 on Tracking and Assessing Governance and Management Reform in the Nuclear Security Enterprise. Washington, DC: The National Academies Press. doi: 10.17226/24749.
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Reports document the evidence-based consensus of an authoring committee of experts. Reports typically include findings, conclusions, and recommendations based on information gathered by the committee and committee deliberations. Reports are peer reviewed and are approved by the National Academies of Sciences, Engineering, and Medicine.

Proceedings chronicle the presentations and discussions at a workshop, symposium, or other convening event. The statements and opinions contained in proceedings are those of the participants and have not been endorsed by other participants, the planning committee, or the National Academies of Sciences, Engineering, and Medicine.

For information about other products and activities of the National Academies, please visit nationalacademies.org/whatwedo.

Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2017. Report 1 on Tracking and Assessing Governance and Management Reform in the Nuclear Security Enterprise. Washington, DC: The National Academies Press. doi: 10.17226/24749.
×

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The National Academy of Public Administration is an independent, non-profit, and nonpartisan organization established in 1967 and chartered by Congress in 1984. It provides expert advice to government leaders in building more effective, efficient, accountable, and transparent organizations. To carry out this mission, the Academy draws on the knowledge and experience of its over 800 Fellows—including former cabinet officers, Members of Congress, governors, mayors, and state legislators, as well as prominent scholars, business executives, and public administrators. The Academy helps public institutions address their most critical governance and management challenges through in-depth studies and analyses, advisory services and technical assistance, congressional testimony, forums and conferences, and online stakeholder engagement. Learn more about the Academy and its work at www.NAPAwash.org.

Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2017. Report 1 on Tracking and Assessing Governance and Management Reform in the Nuclear Security Enterprise. Washington, DC: The National Academies Press. doi: 10.17226/24749.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2017. Report 1 on Tracking and Assessing Governance and Management Reform in the Nuclear Security Enterprise. Washington, DC: The National Academies Press. doi: 10.17226/24749.
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PANEL TO TRACK AND ASSESS GOVERNANCE AND MANAGEMENT REFORM IN THE NUCLEAR SECURITY ENTERPRISE

JILL P. DAHLBURG, Naval Research Laboratory, Washington, D.C., Co-Chair

ROBERT SHEA, Grant Thornton, LLP, Alexandria, Virginia, Co-Chair

ELIZABETH R. CANTWELL, Arizona State University, Tempe

KEITH COLEMAN, Boeing Phantom Works, St. Louis, Missouri

DONA L. CRAWFORD, Lawrence Livermore National Laboratory (retired), California

MARTIN C. FAGA, MITRE Corporation (retired), Falls Church, Virginia

PAUL A. FLEURY, NAS1/NAE,2 Yale University, New Haven, Connecticut

DAVID GRAHAM, Institute for Defense Analyses, Alexandria, Virginia

WILLIAM MADIA, Stanford University, Menlo Park, California

KATHLEEN A. PEROFF, Peroff and Associates, LLC, Washington, D.C.

BARBARA ROMZEK, American University, Washington, D.C.

TAMMY P. TAYLOR, Pacific Northwest National Laboratory, Richland, Washington

MERRI WOOD-SCHULTZ, Los Alamos National Laboratory (retired), New Mexico

Staff

SARAH JAGGAR, National Academy of Public Administration, Staff Lead

SCOTT WEIDMAN, National Academies of Sciences, Engineering, and Medicine, Staff Lead

ADAM DARR, National Academy of Public Administration

EMILY FAY, National Academy of Public Administration

RODNEY HOWARD, National Academies of Sciences, Engineering, and Medicine

LAWRENCE B. NOVEY, National Academy of Public Administration

MICHELLE SCHWALBE, National Academies of Sciences, Engineering, and Medicine

MYRA HOWZE SHIPLETT, National Academy of Public Administration

___________________

1 National Academy of Sciences.

2 National Academy of Engineering.

Page viii Cite
Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2017. Report 1 on Tracking and Assessing Governance and Management Reform in the Nuclear Security Enterprise. Washington, DC: The National Academies Press. doi: 10.17226/24749.
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LABORATORY ASSESSMENTS BOARD

ROSS B. COROTIS, NAE, University of Colorado, Boulder, Chair

C. WILLIAM GEAR, NAE, Princeton University, New Jersey

WESLEY L. HARRIS, NAE, Massachusetts Institute of Technology, Cambridge

JENNIE S. HWANG, NAE, H-Technologies Group, Cleveland, Ohio

W. CARL LINEBERGER, NAS, University of Colorado, Boulder

C. KUMAR N. PATEL, NAS/NAE, Pranalytica, Santa Monica, California

ELSA REICHMANIS, NAE, Georgia Institute of Technology, Atlanta

LYLE H. SCHWARTZ, NAE, Air Force Office of Scientific Research (retired), Arlington, Virginia

Staff

JAMES P. McGEE, Board Director

ARUL MOZHI, Senior Program Officer

LIZA HAMILTON, Associate Program Officer

EVA LABRE, Administrative Coordinator

Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2017. Report 1 on Tracking and Assessing Governance and Management Reform in the Nuclear Security Enterprise. Washington, DC: The National Academies Press. doi: 10.17226/24749.
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Preface

The Panel to Track and Assess Governance and Management Reform in the Nuclear Security Enterprise was jointly established by the National Academies of Sciences, Engineering, and Medicine (“the National Academies”) and the National Academy of Public Administration (NAPA) to carry out a 4½-year assessment of the National Nuclear Security Administration’s responses to longstanding problems affecting the nuclear security enterprise. Those problems were documented in the 2014 congressional advisory panel report A New Foundation for the Nuclear Enterprise and in the 2015 report Securing America’s Future: Realizing the Potential of the Department of Energy’s National Laboratories of the Commission to Review the Effectiveness of the National Energy Laboratories, and in several earlier studies.

Most of the problems identified in past reports have been in the realm of management and governance, including misalignments and mistrust between the Department of Energy (DOE) and its National Nuclear Security Administration (NNSA) and their management and operations contractors. Because these problems have, to a large part, resisted past attempts at resolution, Congress called for the establishment of this panel and charged it with semiannual assessments over a prolonged period—an approach that will provide the sustained attention needed. And because the nuclear security enterprise comprises both a highly technical mission and a complex government management challenge—and many of the problems to be addressed may have roots in that duality—Congress stipulated that the study was to be joint between NAPA and the National Academies. As a reflection of the need to bridge cultures and areas of expertise, approximately half the panel members were nominated by the National Academies and half by NAPA. Their expertise spans relevant perspectives from science, governance, engineering, and management. (See Appendix A for biographical sketches of panel members.) The study is being conducted in accordance with the National Academies’ policies—for example, all panel members were officially appointed by the President of the National Academy of Sciences and subject to the National Academies’ policies on bias and conflict, the study follows the National Academies’ policies on transparency, and this report has gone through the National Academies’ peer review process. The panel was established under the National Academies’ Laboratory Assessments Board, which has relevant expertise to provide oversight to the study.

The National Defense Authorization Act for Fiscal Year 2016 (FY2016 NDAA), which mandated this study, also called for DOE to release an implementation plan by March 31, 2016, for addressing the concerns alluded to above. The study plan and deliverables stipulated in the FY2016 NDAA, which are also reflected in the study’s statement of task, have been adjusted to align with the actual release date of that plan. The focus for subsequent semi-annual reports will be developed in coordination with Congress and NNSA.

We are grateful to NNSA and DOE for their generous assistance and openness in helping the panel conduct its study. We also thank the NAPA and the National Academies’ staff for all their contributions to this study. The panel would like to thank the individuals listed in Appendix B for providing input to this study.

Jill P. Dahlburg and Robert Shea, Co-Chairs

Panel to Track and Assess Governance and Management Reform in the Nuclear Security Enterprise

Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2017. Report 1 on Tracking and Assessing Governance and Management Reform in the Nuclear Security Enterprise. Washington, DC: The National Academies Press. doi: 10.17226/24749.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2017. Report 1 on Tracking and Assessing Governance and Management Reform in the Nuclear Security Enterprise. Washington, DC: The National Academies Press. doi: 10.17226/24749.
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Acknowledgment of Reviewers

This report has been reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise. 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:

Norman R. Augustine, Lockheed Martin Corporation (retired),

Jonathan D. Breul, Georgetown University,

Robert C. Dynes, University of California, San Diego,

T.J. Glauthier, TJG Energy Associates, LLC,

Robert F. Hale, Booz Allen Hamilton,

Julia M. Phillips, Sandia National Laboratories (retired), and

Mitchel B. Wallerstein, Baruch College of the City University of New York.

Although the reviewers listed above have provided many constructive comments and suggestions, they were not asked to endorse the views presented in the report, nor did they see the final draft of the report before its release. The review of this report was overseen by John F. Ahearne, Sigma Xi, The Scientific Research Society (retired) and Stephen M. Robinson, University of Wisconsin, Madison, who were 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 panel and the institutions.

Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2017. Report 1 on Tracking and Assessing Governance and Management Reform in the Nuclear Security Enterprise. Washington, DC: The National Academies Press. doi: 10.17226/24749.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2017. Report 1 on Tracking and Assessing Governance and Management Reform in the Nuclear Security Enterprise. Washington, DC: The National Academies Press. doi: 10.17226/24749.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2017. Report 1 on Tracking and Assessing Governance and Management Reform in the Nuclear Security Enterprise. Washington, DC: The National Academies Press. doi: 10.17226/24749.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2017. Report 1 on Tracking and Assessing Governance and Management Reform in the Nuclear Security Enterprise. Washington, DC: The National Academies Press. doi: 10.17226/24749.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2017. Report 1 on Tracking and Assessing Governance and Management Reform in the Nuclear Security Enterprise. Washington, DC: The National Academies Press. doi: 10.17226/24749.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2017. Report 1 on Tracking and Assessing Governance and Management Reform in the Nuclear Security Enterprise. Washington, DC: The National Academies Press. doi: 10.17226/24749.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2017. Report 1 on Tracking and Assessing Governance and Management Reform in the Nuclear Security Enterprise. Washington, DC: The National Academies Press. doi: 10.17226/24749.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2017. Report 1 on Tracking and Assessing Governance and Management Reform in the Nuclear Security Enterprise. Washington, DC: The National Academies Press. doi: 10.17226/24749.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2017. Report 1 on Tracking and Assessing Governance and Management Reform in the Nuclear Security Enterprise. Washington, DC: The National Academies Press. doi: 10.17226/24749.
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Page viii Cite
Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2017. Report 1 on Tracking and Assessing Governance and Management Reform in the Nuclear Security Enterprise. Washington, DC: The National Academies Press. doi: 10.17226/24749.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2017. Report 1 on Tracking and Assessing Governance and Management Reform in the Nuclear Security Enterprise. Washington, DC: The National Academies Press. doi: 10.17226/24749.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2017. Report 1 on Tracking and Assessing Governance and Management Reform in the Nuclear Security Enterprise. Washington, DC: The National Academies Press. doi: 10.17226/24749.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2017. Report 1 on Tracking and Assessing Governance and Management Reform in the Nuclear Security Enterprise. Washington, DC: The National Academies Press. doi: 10.17226/24749.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2017. Report 1 on Tracking and Assessing Governance and Management Reform in the Nuclear Security Enterprise. Washington, DC: The National Academies Press. doi: 10.17226/24749.
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Page xiii Cite
Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2017. Report 1 on Tracking and Assessing Governance and Management Reform in the Nuclear Security Enterprise. Washington, DC: The National Academies Press. doi: 10.17226/24749.
×
Page R13
Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2017. Report 1 on Tracking and Assessing Governance and Management Reform in the Nuclear Security Enterprise. Washington, DC: The National Academies Press. doi: 10.17226/24749.
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A congressionally mandated study carried out in 2013-2014 led to the November 2014 report A New Foundation for the Nuclear Enterprise. That report summarizes the panel’s findings on the current health of the enterprise, examines the root causes of its governance challenges, and offers the panel’s recommendations to address the identified problems. It concludes that the existing governance structures and many of the practices of the enterprise are inefficient and ineffective, thereby putting the entire enterprise at risk over the long term. It offers recommendations to put the entire nuclear security enterprise on a stronger footing.

Recognizing the persistence of governance and management concerns, this report serves as an initial assessment of the implementation plan developed by the National Nuclear Security Administration and the Department Of Energy for addressing the recommendations from A New Foundation for the Nuclear Enterprise. There will be seven semi-annual interim reports to evaluate progress in implementing the plan. A final report will be issued at the end of the study to document the overall progress in executing the implementation plan, assess the effectiveness of the reform efforts under that plan, and recommend whether further action is needed.

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