Summary
In response to security and management weaknesses, in 1999 the Congress created the National Nuclear Security Administration (NNSA), a separately organized agency within the Department of Energy (DOE). NNSA is responsible for the nation's nuclear weapons, nonproliferation, and naval reactors programs. Since its creation, NNSA has continued to experience security problems, such as unauthorized access to a NNSA unclassified computer system, and cost and schedule overruns on its major projects, such as the National Ignition Facility. GAO reviewed the extent to which NNSA has taken steps to (1) improve security at its laboratories and plants and (2) improve its management practices and revise its organizational structure. To carry out its work, GAO reviewed legislation; NNSA policies, plans and budgets; and interviewed current and former NNSA and DOE officials.
Although NNSA has begun to build an effective security organization, it still cannot demonstrate that all of its security program objectives are being met at all of its sites. Specifically, the results of internal and independent security oversight assessments have identified weaknesses in physical security at several NNSA sites, including the Nevada Test Site, Sandia National Laboratories and the Y-12 National Security Complex, and weaknesses in cyber security throughout NNSA. The following factors have contributed to this situation: Weak organization of headquarters security. Until recently, NNSA did not have consistent leadership or direction at the headquarters level for its security program. Security staffing shortages at NNSA site offices. Since NNSA became operational, five of its six site offices have not been staffed at the required levels, according to GAO's analysis. Site offices oversee NNSA contractor security operations. Inadequate security staff training. NNSA has not implemented a training program that provides federal security officials with the skills needed to effectively oversee contractor security programs. Incomplete security data. DOE's database for tracking security deficiencies identified by security oversight assessments is incomplete, and, as a result, NNSA lacks a comprehensive understanding of the overall effectiveness of its security program. NNSA has taken several actions to improve its management practices, including developing a planning, programming, budgeting and evaluation process. However, management problems continue, in part, because NNSA and DOE have not fully agreed on how NNSA should function within the department as a separately organized agency. This lack of agreement has resulted in organizational conflicts that have inhibited effective operations. GAO also identified the following areas where additional management improvements are needed: Project management. NNSA has not developed a project management policy, implemented a plan for improving its project management efforts, and fully shared project management lessons learned between its sites. Program management. NNSA has not identified all of its program managers and trained them to a certified level of competency. Financial management. NNSA has not established an independent analysis unit to review program budget proposals, confirm cost estimates, and analyze budget alternatives.
Recommendations
Our recommendations from this work are listed below with a Contact for more information. Status will change
from "In process" to "Implemented" or "Not implemented" based on our follow up work.
Director:
Team:
Phone:
Eugene E. Aloise
Government Accountability Office: Natural Resources and Environment
(202) 512-6870
Recommendations for Executive Action
Recommendation: To ensure that NNSA functions as a separately organized agency, the Secretary of Energy and the Administrator, NNSA, should clearly define NNSA's status as a separately organized agency within the department.
Agency Affected: Department of Energy
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Agency Affected: Department of Energy: National Nuclear Security Administration
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Recommendation: To ensure that NNSA functions as a separately organized agency, the Secretary of Energy and the Administrator, NNSA, should develop and implement standard operating procedures for conducting business and resolving conflicts between DOE and NNSA sister offices.
Agency Affected: Department of Energy
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Agency Affected: Department of Energy: National Nuclear Security Administration
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Recommendation: To improve security oversight, the Administrator, NNSA, should develop a human capital strategy that includes standards for determining long-term staffing needs.
Agency Affected: Department of Energy: National Nuclear Security Administration
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Recommendation: To improve security oversight, the Administrator, NNSA, should implement a professional development program for security staff to ensure the completion of training needed to effectively perform oversight responsibilities.
Agency Affected: Department of Energy: National Nuclear Security Administration
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Recommendation: To improve security oversight, the Administrator, NNSA, should develop a framework to evaluate results from security reviews and guide security improvements.
Agency Affected: Department of Energy: National Nuclear Security Administration
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Recommendation: To improve security oversight, the Administrator, NNSA, should establish formal mechanisms for sharing and implementing lessons learned across the weapons complex.
Agency Affected: Department of Energy: National Nuclear Security Administration
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Recommendation: To fully implement NNSA's management reforms, the Administrator, NNSA, should institute a series of initiatives to improve project management, program management, and financial management. With respect to project management, NNSA should establish an NNSA-specific project management policy to ensure application of the DOE project management manual.
Agency Affected: Department of Energy: National Nuclear Security Administration
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Recommendation: To fully implement NNSA's management reforms, the Administrator, NNSA, should institute a series of initiatives to improve project management, program management, and financial management. With respect to project management, NNSA should prepare a project management improvement plan.
Agency Affected: Department of Energy: National Nuclear Security Administration
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Recommendation: To fully implement NNSA's management reforms, the Administrator, NNSA, should institute a series of initiatives to improve project management, program management, and financial management. With respect to project management, NNSA should reinstitute annual reporting to the Congress on project management accomplishments.
Agency Affected: Department of Energy: National Nuclear Security Administration
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Recommendation: To fully implement NNSA's management reforms, the Administrator, NNSA, should institute a series of initiatives to improve project management, program management, and financial management. With respect to project management, NNSA should include major projects, such as the Stockpile Life Extension refurbishments, in DOE's Project Assessment and Reporting System.
Agency Affected: Department of Energy: National Nuclear Security Administration
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Recommendation: To fully implement NNSA's management reforms, the Administrator, NNSA, should institute a series of initiatives to improve project management, program management, and financial management. With respect to project management, NNSA should complete a comprehensive database of all projects' reports on management lessons learned to improve project management throughout NNSA.
Agency Affected: Department of Energy: National Nuclear Security Administration
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Recommendation: To fully implement NNSA's management reforms, the Administrator, NNSA, should institute a series of initiatives to improve project management, program management, and financial management. With respect to project management, NNSA should develop benchmark data on individual contractors' project management performance to assist managers in improving contractor performance.
Agency Affected: Department of Energy: National Nuclear Security Administration
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Recommendation: To fully implement NNSA's management reforms, the Administrator, NNSA, should institute a series of initiatives to improve project management, program management, and financial management. With respect to project management, NNSA should require that contractors' project managers receive project manager training and attain project manager certification.
Agency Affected: Department of Energy: National Nuclear Security Administration
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Recommendation: To fully implement NNSA's management reforms, the Administrator, NNSA, should institute a series of initiatives to improve project management, program management, and financial management. With respect to program management, NNSA should prepare periodic reports that show the status of its program management improvement efforts to determine how much progress is being made.
Agency Affected: Department of Energy: National Nuclear Security Administration
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Recommendation: To fully implement NNSA's management reforms, the Administrator, NNSA, should institute a series of initiatives to improve project management, program management, and financial management. With respect to program management, NNSA should complete a best practices guide for program management.
Agency Affected: Department of Energy: National Nuclear Security Administration
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Recommendation: To fully implement NNSA's management reforms, the Administrator, NNSA, should institute a series of initiatives to improve project management, program management, and financial management. With respect to program management, NNSA should identify, train, and certify all program managers in accordance with NNSA's program management policy.
Agency Affected: Department of Energy: National Nuclear Security Administration
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Recommendation: To fully implement NNSA's management reforms, the Administrator, NNSA, should institute a series of initiatives to improve project management, program management, and financial management. With respect to financial management, NNSA should complete all NNSA planning, programming, budgeting, and evaluation process policy guidance.
Agency Affected: Department of Energy: National Nuclear Security Administration
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Recommendation: To fully implement NNSA's management reforms, the Administrator, NNSA, should institute a series of initiatives to improve project management, program management, and financial management. With respect to financial management, NNSA should establish an independent budget analysis unit.
Agency Affected: Department of Energy: National Nuclear Security Administration
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Recommendation: To fully implement NNSA's management reforms, the Administrator, NNSA, should institute a series of initiatives to improve project management, program management, and financial management. With respect to financial management, NNSA should develop criteria for compiling a NNSA-wide priorities list to assist NNSA in supporting its budget request.
Agency Affected: Department of Energy: National Nuclear Security Administration
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Recommendation: To fully implement NNSA's management reforms, the Administrator, NNSA, should institute a series of initiatives to improve project management, program management, and financial management. With respect to financial management, NNSA should update the schedule of those NNSA programs requiring budget validation to insure that recent program initiatives like the Reliable Replacement Warhead are included.
Agency Affected: Department of Energy: National Nuclear Security Administration
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Recommendation: To fully implement NNSA's management reforms, the Administrator, NNSA, should institute a series of initiatives to improve project management, program management, and financial management. With respect to financial management, NNSA should establish a DOE-compliant budget validation process.
Agency Affected: Department of Energy: National Nuclear Security Administration
Status: In process
Comments: When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
