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Report 3 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 Consensus Study Report of and
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. ISBN-13: 978-0-309-49037-5 ISBN-10: 0-309-49037-5 Digital Object Identifier: https://doi.org/10.17226/25392 Copyright 2019 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. 2019. Report 3 on Tracking and Assessing Governance and Management Reform in the Nuclear Security Enterprise. Washington, DC: The National Academies Press. doi: https://doi.org/10.17226/25392.
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.nationalacademies.org.
Consensus Study Reports published by the National Academies of Sciences, Engineering, and Medicine document the evidence-based consensus on the studyâs statement of task by an authoring committee of experts. Reports typically include findings, conclusions, and recommendations based on information gathered by the committee and the committeeâs deliberations. Each report has been subjected to a rigorous and independent peer-review process and it represents the position of the National Academies on the statement of task. Proceedings published by the National Academies of Sciences, Engineering, and Medicine chronicle the presentations and discussions at a workshop, symposium, or other event convened by the National Academies. The statements and opinions contained in proceedings are those of the participants and are not endorsed by other participants, the planning committee, or the National Academies. For information about other products and activities of the National Academies, please visit www.nationalacademies.org/about/whatwedo.
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PANEL TO TRACK AND ASSESS GOVERNANCE AND MANAGEMENT REFORM IN THE NUCLEAR SECURITY ENTERPRISE JONATHAN D. BREUL, NAPA, 1 The United Nations Educational, Scientific and Cultural Organization, Washington, D.C., Co-Chair DONALD LEVY, NAS, 2 The University of Chicago, Illinois, Co-Chair ALLAN BURMAN, NAPA, Jefferson Solutions, Washington, D.C. KEITH COLEMAN, Boeing Phantom Works, St. Louis, Missouri DONA L. CRAWFORD, Lawrence Livermore National Laboratory (retired), California MARTIN C. FAGA, NAPA, MITRE Corporation (retired), Falls Church, Virginia PAUL A. FLEURY, NAS/NAE, 3 Yale University, New Haven, Connecticut DAVID GRAHAM, Institute for Defense Analyses, Alexandria, Virginia WILLIAM C. GREENWALT, NAPA, Brinkley Greenwalt Capital Partners, Washington, D.C. ROBERT HALE, NAPA, Booz Allen Hamilton, McLean, Virginia BARBARA ROMZEK, NAPA, American University, Washington, D.C. MERRI WOOD-SCHULTZ, Los Alamos National Laboratory (retired), New Mexico JOAN WOODARD, Sandia National Laboratories (retired), Albuquerque, New Mexico Staff SARAH JAGGAR, NAPA, National Academy of Public Administration, Staff Lead SCOTT WEIDMAN, National Academies of Sciences, Engineering, and Medicine, Staff Lead SHENAE BRADLEY, National Academies of Sciences, Engineering, and Medicine ADAM DARR, National Academy of Public Administration LAWRENCE B. NOVEY, National Academy of Public Administration MARIA RAPUANO, National Academy of Public Administration MICHELLE SCHWALBE, National Academies of Sciences, Engineering, and Medicine AMANDA ZINK, National Academy of Public Administration 1 Fellow, National Academy of Public Administration. 2 Member, National Academy of Sciences. 3 Member, National Academy of Engineering. vi
LABORATORY ASSESSMENTS BOARD ROSS B. COROTIS, NAE, 1 University of Colorado, Boulder, Chair WESLEY L. HARRIS, NAE, Massachusetts Institute of Technology, Cambridge JENNIE S. HWANG, NAE, H-Technologies Group, Cleveland, Ohio W. CARL LINEBERGER, NAS, 2 University of Colorado, Boulder C. KUMAR N. PATEL, NAS/NAE, Pranalytica, Inc., Santa Monica, California ELSA REICHMANIS, NAE, Georgia Institute of Technology, Atlanta LYLE H. SCHWARTZ, NAE, University of South Florida, Tampa Staff JAMES P. McGEE, Board Director ARUL MOZHI, Senior Program Officer MARTIN OFFUTT, Senior Program Officer EVA LABRE, Administrative Coordinator AZEB GETACHEW, Senior Program Assistant 1 Member, National Academy of Engineering. 2 Member, National Academy of Sciences. vii
Acknowledgment of Reviewers This Consensus Study Report was 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 National Academies of Sciences, Engineering, and Medicine in making each published report as sound as possible and to ensure that it meets the institutional standards for quality, 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: David S.C. Chu, Institute for Defense Analyses, Jared Cohon, NAE, 1 Carnegie Mellon University, T.J. Glauthier, TJG Energy Associates, LLC, Miriam (Mim) John, Independent Consultant, Richard Mies, The Mies Group, Ltd., Julia Phillips, NAE, Sandia National Laboratories (retired), and Elizabeth Robinson, Air Line Pilots Association. Although the reviewers listed above provided many constructive comments and suggestions, they were not asked to endorse the conclusions or recommendations of this report nor did they see the final draft before its release. The review of this report was overseen by Stephen M. Robinson, NAE, University of Wisconsin, Madison. He was responsible for making certain that an independent examination of this report was carried out in accordance with the standards of the National Academies and that all review comments were carefully considered. Responsibility for the final content rests entirely with the authoring committee and the National Academies. 1 Member, National Academy of Engineering. viii
Contents EXECUTIVE SUMMARY 1 1 INTRODUCTION 3 2 OBSERVATIONS FROM THE PANELâS INFORMATION GATHERING 6 Pulse Checks with Leaders Across the Enterprise, 6 Budget and Reporting Classification Codes and Other Budgetary Controls, 8 Examination of the Approval Process for Management and Operating Contractor Annual Compensation Increases, 9 Relations Between the National Nuclear Security Administration and the Department of Defense, 10 Headquarters Discussion Groups, 11 Site Visit to the Kansas City National Security Campus, 13 3 PROGRESS AND CONTINUING CONCERNS 15 Progress in Addressing Long-Standing Concerns of Governance and Management, 15 Other Signs of Progress, 20 Continuing Concerns, 21 APPENDIXES A Summaries from the Studyâs First Two Reports 27 B Individuals Interviewed for This Report 34 C Biographical Sketches of Panel Members 39 D About This Study 43 ix