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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine, and National Academy of Public Administration. 2020. Governance and Management of the Nuclear Security Enterprise. Washington, DC: The National Academies Press. doi: 10.17226/25933.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine, and National Academy of Public Administration. 2020. Governance and Management of the Nuclear Security Enterprise. Washington, DC: The National Academies Press. doi: 10.17226/25933.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine, and National Academy of Public Administration. 2020. Governance and Management of the Nuclear Security Enterprise. Washington, DC: The National Academies Press. doi: 10.17226/25933.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine, and National Academy of Public Administration. 2020. Governance and Management of the Nuclear Security Enterprise. Washington, DC: The National Academies Press. doi: 10.17226/25933.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine, and National Academy of Public Administration. 2020. Governance and Management of the Nuclear Security Enterprise. Washington, DC: The National Academies Press. doi: 10.17226/25933.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine, and National Academy of Public Administration. 2020. Governance and Management of the Nuclear Security Enterprise. Washington, DC: The National Academies Press. doi: 10.17226/25933.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine, and National Academy of Public Administration. 2020. Governance and Management of the Nuclear Security Enterprise. Washington, DC: The National Academies Press. doi: 10.17226/25933.
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Page viii Cite
Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine, and National Academy of Public Administration. 2020. Governance and Management of the Nuclear Security Enterprise. Washington, DC: The National Academies Press. doi: 10.17226/25933.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine, and National Academy of Public Administration. 2020. Governance and Management of the Nuclear Security Enterprise. Washington, DC: The National Academies Press. doi: 10.17226/25933.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine, and National Academy of Public Administration. 2020. Governance and Management of the Nuclear Security Enterprise. Washington, DC: The National Academies Press. doi: 10.17226/25933.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine, and National Academy of Public Administration. 2020. Governance and Management of the Nuclear Security Enterprise. Washington, DC: The National Academies Press. doi: 10.17226/25933.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine, and National Academy of Public Administration. 2020. Governance and Management of the Nuclear Security Enterprise. Washington, DC: The National Academies Press. doi: 10.17226/25933.
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Page xiii Cite
Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine, and National Academy of Public Administration. 2020. Governance and Management of the Nuclear Security Enterprise. Washington, DC: The National Academies Press. doi: 10.17226/25933.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine, and National Academy of Public Administration. 2020. Governance and Management of the Nuclear Security Enterprise. Washington, DC: The National Academies Press. doi: 10.17226/25933.
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Below is the uncorrected machine-read text of this chapter, intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text of each book. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

Prepublication Copy – Subject to Further Editorial Correction Governance and Management of 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 PREPUBLICATION COPY—SUBJECT TO FURTHER EDITORIAL CORRECTION

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. International Standard Book Number-13: XXX- International Standard Book Number-10: X-XXX-XXXXX-X Digital Object Identifier: https://doi.org/10.17226/25933 Copyright 2020 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 National Academy of Public Administration. 2020. Governance and Management of the Nuclear Security Enterprise. Washington, DC: The National Academies Press. doi: https://doi.org/10.17226/25933. PREPUBLICATION COPY—SUBJECT TO FURTHER EDITORIAL CORRECTION

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. John L. Anderson 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. PREPUBLICATION COPY—SUBJECT TO FURTHER EDITORIAL CORRECTION

Consensus Study Reports published by the National Academies of Sciences, Engineering, and Medicine document the evidence-based consensus on the study’s 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 committee’s 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. PREPUBLICATION COPY—SUBJECT TO FURTHER EDITORIAL CORRECTION

The National Academy of Public Administration is an independent, non-profit, and non- partisan 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 900 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. PREPUBLICATION COPY—SUBJECT TO FURTHER EDITORIAL CORRECTION

PANEL TO TRACK AND ASSESS GOVERNANCE AND MANAGEMENT REFORM IN THE NUCLEAR SECURITY ENTERPRISE JONATHAN D. BREUL, NAPA,1 Independent Consultant, Co-Chair DONALD LEVY, NAS,2 University of Chicago, Co-Chair ALLAN V. BURMAN, NAPA, Jefferson Solutions KEITH COLEMAN, Boeing Phantom Works DONA L. CRAWFORD, Lawrence Livermore National Laboratory (retired) MARTIN C. FAGA, NAPA, MITRE Corporation (retired) PAUL A. FLEURY, NAS/NAE,3 Yale University (retired) T.J. GLAUTHIER, TJG Energy Associates, LLC DAVID GRAHAM, Institute for Defense Analyses WILLIAM C. GREENWALT, NAPA, American Enterprise Institute ROBERT HALE, NAPA, Booz Allen Hamilton BARBARA ROMZEK, NAPA, American University JOAN WOODARD, Sandia National Laboratories (retired) MERRI WOOD-SCHULTZ, Los Alamos National Laboratory (retired) Staff SARAH JAGGAR, NAPA, National Academy of Public Administration, Staff Co-Lead SCOTT WEIDMAN, National Academies of Sciences, Engineering, and Medicine, Staff Co-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 SEAN SMOOKE, National Academy of Public Administration 1 Fellow, National Academy of Public Administration. 2 Member, National Academy of Sciences. 3 Member, National Academy of Engineering. PREPUBLICATION COPY—SUBJECT TO FURTHER EDITORIAL CORRECTION vii

LABORATORY ASSESSMENTS BOARD ROSS B. COROTIS, NAE,4 University of Colorado, Boulder, Chair WESLEY L. HARRIS, NAE, Massachusetts Institute of Technology JENNIE S. HWANG, NAE, H-Technologies Group W. CARL LINEBERGER, NAS,5 University of Colorado, Boulder C. KUMAR N. PATEL, NAS/NAE, Pranalytica, Inc. ELSA REICHMANIS, NAE, Georgia Institute of Technology LYLE H. SCHWARTZ, NAE, University of South Florida 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 4 Member, National Academy of Engineering. 5 Member, National Academy of Sciences. PREPUBLICATION COPY—SUBJECT TO FURTHER EDITORIAL CORRECTION viii

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 and the National Academy of Public Administration to carry out a 4.5-year assessment of the National Nuclear Security Administration’s (NNSA’s) responses to long-standing governance and management problems affecting the nuclear security enterprise. This is the panel’s final report. We are pleased to report that progress has been made and are grateful for all the hard work that staff members across the enterprise have devoted to improving governance and management. We are also very aware of the burden that a lengthy external evaluation imposes on such an enterprise. We wish to thank the many individuals in NNSA and the laboratories, sites, and plants that comprise the nuclear security enterprise for their cooperation and assistance in carrying out the panel’s charge. Administrator Lisa Gordon-Hagerty, Administrator Frank Klotz, and numerous senior officials from all elements of the enterprise generously met multiple times with the whole panel and/or participated in individual interviews. NNSA leadership provided the panel with access to many employees for useful information- gathering and general discussions. And the panel was hosted by most of the laboratories, production plants, and other sites for interesting and fruitful visits that featured discussions with large numbers of staff members. We appreciate that so many individuals spoke candidly to us and view that as a testament to their dedication to the mission of the enterprise and their commitment to its long-term excellence. We wish to extend special thanks to NNSA’s Office of Policy and Strategic Planning, our point of coordination, for working with us on this endeavor. We thank NNSA and the Department of Energy for their generous assistance and openness in helping the panel conduct its study. The value of this study results from the work of our fellow panel members, who devoted an extraordinary amount of personal time and energy to this task, and we are very grateful. We also thank the panel staff for all of their contributions to this study. Jonathan Breul and Donald Levy, Co-Chairs Panel to Track and Assess Governance and Management Reform in the Nuclear Security Enterprise PREPUBLICATION COPY—SUBJECT TO FURTHER EDITORIAL CORRECTION ix

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 thank the following individuals for their review of this report: David S.C. Chu, NAPA, Institute for Defense Analyses (retired) Jared L. Cohon, NAE, Carnegie Mellon University Miriam E. John, Sandia National Laboratories—California (retired) Richard W. Mies, The Mies Group, Ltd. Cherry A. Murray, NAS/NAE, University of Arizona Julia M. Phillips, NAE, Sandia National Laboratories (retired) Elizabeth M. Robinson, NAPA, Airline Pilots Association Charles V. Shank, NAS/NAE, Lawrence Berkeley National Laboratory (retired) 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 Robert F. Sproull, NAE, University of Massachusetts, Amherst. 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 and National Academy of Public Administration. PREPUBLICATION COPY—SUBJECT TO FURTHER EDITORIAL CORRECTION xi

Contents SUMMARY 1 1 INTRODUCTION 9 Organization of the Nuclear Security Enterprise, 11 The Panel’s Charge, 11 Management and Governance Concerns and Their Underlying Factors, 12 NNSA’s Response to the Augustine-Mies Report, 13 The Panel’s Work Leading to This Report, 14 Structure of This Report, 16 2 NATIONAL AND DEPARTMENTAL LEADERSHIP AND COORDINATION 17 Importance of National Leadership, 17 The Department of Energy’s Role with Regard to the Nuclear Security Enterprise, 19 Strengthening DoD-NNSA Relationships and Collaboration, 21 Terms of Office for NNSA Senior Leaders, 23 3 MANAGEMENT PRACTICES WITHIN NNSA 26 Strategic Planning, 28 Integration of Functional Support with Mission Execution, 29 Risk Management, 31 Managing the Federal Workforce, 32 Budget, Cost, and Schedule Control, 34 Budget and Reporting Classification Codes, 36 Major Program Management, as Exemplified in the Pit Production Program, 38 Culture Change, 40 4 MAXIMIZING THE CONTRIBUTIONS OF NNSA’S M&O PARTNERS 43 Working Relationships Between NNSA and Its M&O Partners, 43 Principles Underpinning the Use of M&O Entities, 44 Redefining Oversight, 45 Enabling the FFRDC Laboratories to Be Objective, Honest Brokers, 47 Sustainment of Core S&E Capabilities, 50 5 LOOKING TO THE FUTURE 53 Attributes of the Desired Culture, 54 Changing the Culture in NNSA, 56 Steps for Consideration by Congress, 57 PREPUBLICATION COPY—SUBJECT TO FURTHER EDITORIAL CORRECTION xiii

APPENDIXES A Study Charge Documents 61 B Study Methodology and Data Collection 64 C Pit Production Program Management Structures and Practices 67 D Summaries of the Study’s Four Interim Reports 74 E Biographical Information for Panel Members and Staff 82 F Acronyms 88 G Selected Bibliography 90 PREPUBLICATION COPY—SUBJECT TO FURTHER EDITORIAL CORRECTION xiv

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The National Nuclear Security Administration (NNSA)leads a nuclear security enterprise that includes three national laboratories, several production facilities, and an experimental test site. NNSA's mission is protect the American people by maintaining a safe, secure, and effective nuclear weapons stockpile; by reducing global nuclear threats; and by providing the U.S. Navy with safe, militarily effective naval nuclear propulsion plants.

The FY2016 National Defense Authorization Act called for the National Academies, in partnership with the National Academy of Public Administration, to track and assess progress over 2016-2020 to reform governance and management of the enterprise. Governance and Management of the Nuclear Security Enterprise assesses the effectiveness of reform efforts and makes recommendations for further action.

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