Under the National Nuclear Security Administration Act, the Secretary of  Energy is responsible for establishing policy for NNSA. DOE and NNSA Have Not Established Policies Addressing Internal Control Standards or Leading Practices Related to Program Management

DOE has not established a department-wide policy addressing internal  control standards or leading practices related to program management,  and NNSA canceled its program management policy in 2013. As  described earlier, according to federal internal control standards,  management should assign responsibilities, delegate authority, and  establish expectations of competence for key roles, which would include  program managers. For example, in our 2016 report examining NNSA’s plans to build a multi- billion-dollar facility for plutonium analysis at its Los Alamos site in New  Mexico, we found that the agency had not clarified whether the project  would satisfy the mission needs of DOE and NNSA programs other than  those of DP. NNSA might have been  better able to clarify the mission needs associated with these projects if  NNSA and DOE programs had been operating under a department-wide  policy that incorporated (1) leading practices, such as capturing and  understanding stakeholder needs and expectations and other activities  associated with program stakeholder engagement, and (2) internal control  principles related to assigning responsibilities and delegating authority to  key roles such as program managers. DOE and NNSA officials told us that they recognize the importance of  establishing a program management policy. However, DOE has not taken  steps to develop a policy for program management. DOE and NNSA Have Not Established Training Programs for Program Managers

DOE and NNSA have not established training programs for program  managers to ensure that they are capable of meeting core competencies;  as a result, most of the 15 NNSA program managers we interviewed had  not received training related to program management. According to the PMI  standard, a successful program manager exhibits certain core  competences, including the ability to manage details while taking a holistic, benefits-focused view of the  leverage a strong working knowledge of the principles and process of  both program and project management;  interact seamlessly and collaboratively with governance boards and  other executive stakeholders; establish productive and collaborative relationships with team  members and their organizational stakeholders;  leverage their own technical knowledge and experience to provide  perspectives that support the understanding and management of  program uncertainty, ambiguity, and complexity; and  facilitate understanding through the use of exceptionally strong  communication skills. However, according to DOE officials, the department does not have an  office responsible for program management that provides training for  program managers. In contrast, DOE has established a training program  for project managers. NNSA had plans to establish a training program for its program managers  but has not done so. According to its cancelled 2004 policy on program  management, NNSA was to develop (1) standardized training materials  that would demonstrate a program manager’s understanding of and  proficiency with core NNSA processes and management practices and  (2) a database to track the training and certification requirements for each  program manager position. However, NNSA officials said that because  of the loss of senior managers and other staff, they were unsure if these  training materials were ever developed. Establishing a clear, department-wide program management policy that  incorporates key internal control standards and leading practices related  to program management may help ensure that DOE and NNSA program  offices are better able to achieve their missions, goals, and objectives. DOE and NNSA officials told us that they recognize the importance of  establishing a policy on program management but have not taken steps  to develop such a policy. In addition, although federal internal control  standards call for management to train its personnel to enable them to  develop competencies appropriate for key roles, DOE and NNSA have  not established training programs for program managers. Without a  department-wide training program for program managers, NNSA may  have difficulty developing and maintaining a cadre of professional,  effective, and capable program managers. Recommendations for Executive Action

To help ensure that NNSA effectively manages the performance of its  programs, we recommend that the Secretary of Energy establish a  program management policy that (1) assigns responsibilities and  delegates authority to program managers and establishes expectations of  competence for them, in accordance with federal internal control  standards, and (2) addresses leading program management practices,  such as developing program plans. To help ensure that NNSA develops and maintains a cadre of  professional, effective, and capable program managers in accordance  with leading program management practices and federal internal control  standards, we recommend that the Secretary of Energy establish a  training program for program managers. DOE had no comments on the draft report, and NNSA provided  technical comments, which we incorporated as appropriate.
Why GAO Did This Study

Program managers are an important part of the federal government's workforce. They interact with project managers to provide support and guidance on individual projects but also must take a broad view of program objectives and organizational culture. NNSA, a separately organized agency within DOE, is responsible for managing DOE's nuclear security missions. Since 1990, DOE's management of major contracts and projects, including those executed by NNSA, has been on GAO's list of areas at high risk for fraud, waste, abuse, and mismanagement. DOE and NNSA have undertaken steps to address these challenges but have focused primarily on project management issues.
Senate Report 114-49 includes a provision for GAO to review NNSA program management capabilities. This report examines the extent to which DOE and NNSA have established (1) policies addressing internal control standards and leading practices related to program management and (2) training programs for program managers. GAO reviewed DOE and NNSA policies, consulted internal control and PMI standards, and interviewed DOE and NNSA officials.

What GAO Found

The Department of Energy (DOE) and the National Nuclear Security Administration (NNSA) have not established policies addressing internal control standards and leading practices related to program management. There are no federal government-wide standards specifically addressing program management. However, federal internal control standards include principles that are relevant to key roles such as program managers, and the Project Management Institute (PMI) has established a standard on program management that is generally recognized as a leading practice for most programs. Specifically, internal control standards state that management should assign responsibilities, delegate authority, and establish expectations of competence for key roles such as program managers. According to leading practices, organizations develop program plans, capture and understand stakeholder needs, and establish processes for maintaining program management oversight, among other activities. DOE has not established a department-wide program management policy, and NNSA cancelled its program management policy in 2013 without establishing a new one. A policy incorporating key internal control standards and leading program management practices may help ensure that DOE and NNSA program offices are better able to achieve their missions, goals, and objectives. For example, in a 2016 report examining NNSA's plans to build a plutonium analysis facility, GAO found that the agency had not clarified whether the project would satisfy the mission needs of other NNSA and DOE programs. NNSA might have been better able to clarify this project's mission needs if DOE and NNSA had been operating under a DOE-wide program management policy incorporating leading practices. DOE and NNSA officials said that they recognize the importance of establishing a program management policy, but DOE has not taken steps to do so.
DOE and NNSA have not established training programs for program managers. According to federal internal control standards, management should train key staff to enable them to develop competencies appropriate for key roles, which would include program managers. In addition, according to PMI, a successful program manager exhibits certain core competences, such as leveraging a strong working knowledge of the principles and process of both program and project management. NNSA's cancelled program management policy also required the agency to develop standardized training materials for program managers and track the training requirements for each program manager position. However, according to DOE officials, the department has not developed a training program for program managers. In contrast, DOE has developed a training program for project managers and established an office responsible for managing this program and certifying the qualifications of DOE and NNSA project managers. NNSA officials said that they were unsure if NNSA had ever developed training materials for program managers and that the agency does not track the training requirements for its program manager positions. Of the 15 NNSA program managers GAO interviewed, only five individuals stated that they had received training related to program management. In the absence of a training program for program managers, NNSA may have difficulty developing and maintaining a cadre of professional, effective, and capable program managers.

What GAO Recommends

GAO recommends that DOE establish (1) a program management policy addressing internal control standards and leading practices and (2) a training program for program managers. DOE had no comments on a draft of this report.