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Copyright © National Academy of Sciences. All rights reserved.
This executive summary plus thousands more available at http://www.nap.edu
Outsourcing Management Functions for the Acquisition of Federal Facilities
http://books.nap.edu/catalog/10012.html
4 OUTSOURCING MANAGEMENT FUNCTIONS
For activities deemed to be management functions, the second step of the
analysis is to consider whether outsourcing the management function might
unduly compromise one or more of the agency’s ownership functions. If out-
sourcing of a management function would unduly compromise the agency’s
ownership role, then it should be considered a “quasi”-inherently governmental
function and should not be outsourced.
Figure ES-1 is a decision framework developed by the committee for federal
agencies considering outsourcing management functions for facility acquisitions.
This framework recognizes the constraints of inherently governmental functions
and incorporates the committee’s two-step threshold for identifying ownership
functions that should be performed by in-house staff and management functions
that can be considered for outsourcing. The decision framework is not intended to
generate definitive recommendations about which management functions may or
may not be outsourced or in what combination. The decision framework is a tool
to assist decision makers in analyzing their organizational strengths and weak-
nesses, assessing risk in specific areas based on a project’s stature and sensitivity,
and, at a fundamental level, questioning whether or not a management function
can best be performed by in-house staff or by an external organization.
The line between inherently governmental functions and commercial activi-
ties or between ownership and management functions, can be very fine. Distin-
guishing between them can be difficult and may require a case-by-case analysis
of many facts and circumstances.
FEDERAL EXPERIENCE WITH THE OUTSOURCING OF
MANAGEMENT FUNCTIONS
The authoring committee received briefings from several federal agencies
and developed and distributed a questionnaire to sponsoring agencies of the Fed-
eral Facilities Council to solicit information on their experiences with outsourcing
in general and outsourcing of management functions in particular. Seven of the
13 agencies that responded to the questionnaire had outsourced some manage-
ment functions for planning, design, and construction-related activities. The
primary factors cited for outsourcing management functions were lack of in-house
expertise and staff shortages (54 percent of responses combined); savings on
project delivery time (15 percent); and, other factors, including statutory require-
ments (15 percent). None of the seven agencies cited cost effectiveness or
deliberate downsizing as a factor in the decision to outsource management func-
tions. Three of the seven had outsourced management functions to other federal
agencies. Their experiences varied and no trends could be determined. Agencies’
experiences with outsourcing management functions to the private sector were
also varied, and, again, no trends could be discerned.
Copyright © National Academy of Sciences. All rights reserved.
This executive summary plus thousands more available at http://www.nap.edu
Outsourcing Management Functions for the Acquisition of Federal Facilities
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EXECUTIVE SUMMARY 5
FIGURE ES-1 Decision framework for outsourcing management functions.
Can the function
legally be
outsourced?
Could
outsourcing
compromise
ownership
role?
Is there a need
for or advantage
to outsourcing?
Should the function
be outsourced?
No
No
No
No
Yes
Yes
Yes
Yes
Outsource
Do not outsource
Ownership
or
Management
Function?
Ownership
Management
Other
federal
agency
Copyright © National Academy of Sciences. All rights reserved.
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Outsourcing Management Functions for the Acquisition of Federal Facilities
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6 OUTSOURCING MANAGEMENT FUNCTIONS
ORGANIZATIONAL CORE COMPETENCIES
At any one time, a federal agency may be responsible for managing several
dozen to several hundred individual projects in various stages of planning, design,
and construction. In some cases, agencies acquire facilities with the intent of
owning and managing them directly. In other cases, agencies only require the use
of facilities and may use a procuring entity to represent the government-as-owner
in the acquisition process. A few agencies provide facilities for other agencies
and organizations as a key component of their missions.
Core competencies constitute an organization’s essential area of expertise
and skill base. Unless a federal agency’s mission is to provide facilities, facility
acquisition and management are not core functions (i.e., facilities are not the
mission but support accomplishment of the mission). However, when acquiring
facilities, federal agencies assume an ownership responsibility as a steward of the
public’s investment. The requirements that a federal agency be accountable for
upholding public policy and for committing public resources are indivisible. This
combination of responsibilities requires that any federal agency that acquires
facilities have the in-house capabilities to translate its mission needs directly into
program definitions and project specifics and otherwise act in a publicly respon-
sive and accountable manner. Other organizational core competencies required to
direct and manage specific projects vary, depending on the agency’s role as owner,
user, or provider of a facility.
IMPLEMENTING A SUCCESSFUL OUTSOURCING PROGRAM
Once a decision has been made to outsource some or all management
functions for facility acquisitions, the agency should clearly define the roles and
responsibilities of all of the entities involved. The committee recommends that
federal agencies establish and apply a responsibilities-and-deliverables matrix
similar to the example shown in Figure ES-2 to help eliminate overlapping
responsibilities, ensure accountability, and ensure that, as problems arise, solu-
tions are managed effectively.
DETERMINING PERFORMANCE OUTCOMES
A key element of an organization’s decision making is measuring the effec-
tiveness of those decisions, both qualitatively and quantitatively. When manage-
ment functions for facility acquisitions are outsourced, the principal measures of
effectiveness of the entire effort and of individual projects should relate to cost,
schedule, and safety of the projects, as well as the functionality and overall quality
of the acquired facilities.
If baseline levels of service already exist or can be developed empirically,
comparing the metrics and determining how well the outsourcing effort meets the
Copyright © National Academy of Sciences. All rights reserved.
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Outsourcing Management Functions for the Acquisition of Federal Facilities
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EXECUTIVE SUMMARY 7
User Management
Owner Management
Owner Project Manager
Outsourced Project Management
(A – E)
Construction Contractor
RESPONSIBILITIES-AND-DELIVERABLES MATRIX
Programming Phase
Project request
Deliverables/responsibilities package
A
P
Conceptual Planning Phase
Architect-engineer contracts
Detailed requirements
Design Phase
Conceptual and schematic designs
Permits
Design development
Construction documents
A
P
S
R
R
A
A
A
A
C
Procurement Phase
List of bidders and requests for proposals
Proposals (submitted)
Contract for construction
Construction Phase
Construction permits
Construction management
Construction work
Final payment (construction complete)
Start-up Phase
Equipment installation
Move administration
Final acceptance
Closeout Phase
C
C
P
A
A
A
P
A
A
S
S
S
S
S
A
P
P
P
A
P
A
A
C
C
C
C
C
C
A
P
A
A
Specialty Contractors
A
A
A
P
P
P
P
P
P
S
S
S
P
P
S
P
P
S
S
P
P
P
P
S
S
S
S
S
S
S
S
S
C
C
C
C
FIGURE ES-2 Example of a responsibilities-and-deliverables matrix.
Note: P = primary responsibility
A = approve (signing of approval)
C = concurrence
R = reviews (no response required)
S = support (uses own resources)
Copyright © National Academy of Sciences. All rights reserved.
This executive summary plus thousands more available at http://www.nap.edu
Outsourcing Management Functions for the Acquisition of Federal Facilities
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8 OUTSOURCING MANAGEMENT FUNCTIONS
basic level of expectation should be straightforward. If no baseline exists, one
should be developed to ensure effective performance measurement.
Individual performance measures should be developed by the agencies that
will use them and should not be prescribed by higher levels of government.
Although it is entirely appropriate that operational guidance requiring the use of
performance measures to be addressed be promulgated government-wide (e.g.,
Government Performance and Results Act) and to specify what these measures
should address, the parties actually responsible for the provision of a service are
in the best position to determine what constitutes good performance. Any agency
that decides to outsource management functions for planning, design, and
construction services should be prepared to develop and apply meaningful,
measurable performance measures to determine if it is meeting its stewardship
responsibilities.
FINDINGS AND RECOMMENDATIONS
The primary objective of this study is to develop a guide that federal agencies
can use in the initial stages of decision making concerning the outsourcing of
management functions for planning, design, and construction-related services.
Agencies will have to expand and extend the guidance in this report and tailor it
to their individual circumstances. By using the decision framework, by noting the
findings, and by following the recommendations presented below, the committee
believes federal agencies will be in a stronger position to formulate rational,
business-like judgments in the public interest concerning the outsourcing of
management functions for planning, design, and construction-related services.
Findings
Finding. Each federal agency involved in acquiring facilities is accountable to
the U.S. government and its citizens. Each agency is responsible for managing its
facilities projects and programs effectively. Responsibility for stewardship can-
not be outsourced.
Finding. The outsourcing of management functions for planning, design, and
construction-related services by federal agencies is a strategic decision that should
be considered in the context of an agency’s long-term mission.
Finding. The outsourcing of management functions for planning, design, and
construction services has been practiced by some federal agencies for years.
Management functions have been outsourced either to other federal agencies or
the private sector. The outcomes of these efforts have varied widely, from failure
to success.
Copyright © National Academy of Sciences. All rights reserved.
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Outsourcing Management Functions for the Acquisition of Federal Facilities
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EXECUTIVE SUMMARY 9
Finding. At different times, an agency may fill one or more of the role(s) of
owner, user, or provider of facilities.
Finding. Key factors in determining successful outcomes of outsourcing deci-
sions include clear definitions of the scope and objectives of the services required
at the beginning of the acquisition process and equally clear definitions of the
roles and responsibilities of the agency. Owners and users need to provide leader-
ship; define scope, goals, and objectives; establish performance criteria for
evaluating success; allocate resources; and provide commitment and stability for
achieving the goals and objectives.
Finding. Program scope, definition, and budget decisions are inherently the
responsibilities of owners/users and should not be outsourced. However, assis-
tance in discharging these responsibilities may have to be obtained by contracting
for services from other federal agencies or the private sector.
Finding. The successful outsourcing of management functions by federal agen-
cies requires competent in-house staff with a broad range of technical, financial,
procurement, and management skills and a clear understanding of the agency’s
mission and strategic objectives.
Finding. Performance measures are necessary to assess the success of any
outsourcing effort.
Finding. Because federal facilities vary widely, and because a wide range of new
and evolving project delivery systems have inherently different levels of risk and
management requirements, no single approach or set of organizational core
competencies for the acquisition of federal facilities applies to all agencies or
situations.
Finding. The organizational core competencies necessary to oversee the out-
sourcing of management functions for projects and/or programs need to be
actively nurtured over the long term by providing opportunities for staff to obtain
direct experience and training in the area of competence. The necessary skills
will, in part, be determined by the role(s) the agency fills as owner, user, and / or
provider of facilities.
Recommendations
Recommendation. A federal agency should analyze the relationship of out-
sourcing decisions to the accomplishment of its mission before outsourcing man-
agement functions for planning, design, or construction services. Outsourcing for
Copyright © National Academy of Sciences. All rights reserved.
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Outsourcing Management Functions for the Acquisition of Federal Facilities
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10 OUTSOURCING MANAGEMENT FUNCTIONS
services and functions should be integrated into an overall strategy for achieving
the agency’s mission, managing resources, and obtaining best value or best
performance for the resources expended. Outsourcing of management functions
should not be used solely as a short-term expedient to limit spending or reduce
the number of in-house personnel.
Recommendation. Federal agencies should first determine their role(s) as owners,
users, and / or providers of facilities and then determine the core competencies
required to effectively fulfill these role(s) in overseeing the outsourcing of
management functions for planning, design, and construction services.
Recommendation. Once a decision has been made to outsource some or all
management functions, a responsibilities-and-deliverables matrix should be
established to help eliminate overlapping responsibilities, provide accountability,
and ensure that, as problems arise, solutions are managed effectively.
Recommendation. Agencies that outsource management functions for planning,
design, and construction services should regularly evaluate the effectiveness of
the outsourcing effort in relation to accomplishment of the agency’s mission.
Recommendation. Agencies should establish performance measures to assess
accomplishments relative to the objectives established for the outsourcing effort
and, at a minimum, address cost, schedule, and quality parameters.
Recommendation. Owner / user agencies should retain a sufficient level of tech-
nical and managerial competency in-house to act as informed owners and / or
users when management functions for planning, design, and construction services
are outsourced.
Recommendation. Provider agencies should retain a sufficient level of planning,
design, and construction management activity in-house to ensure that they can act
as competent providers of planning, design, and construction management
services.
Recommendation. Agencies should provide training for leaders and staff
responsible for technical, procurement, financial, business, and managerial func-
tions so that they can oversee the outsourcing of management functions for plan-
ning, design, and construction effectively.
Recommendation. Interagency coordination, cooperation, collaboration, net-
working, and training should be increased to encourage the use of best practices
and improve life-cycle cost effectiveness in the delivery of federal facilities.
Copyright © National Academy of Sciences. All rights reserved.
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Outsourcing Management Functions for the Acquisition of Federal Facilities
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OUTSOURCING MANAGEMENT
FUNCTIONS FOR THE ACQUISITION
OF FEDERAL FACILITIES
Committee on Outsourcing Design and Construction-Related
Management Services for Federal Facilities
Board on Infrastructure and the Constructed Environment
Commission on Engineering and Technical Systems
National Research Council
NATIONAL ACADEMY PRESS
WASHINGTON, D.C.
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Outsourcing Management Functions for the Acquisition of Federal Facilities
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NATIONAL ACADEMY PRESS 2101 Constitution Avenue, N.W. Washington, D.C. 20418
NOTICE: The project that is the subject of this report was approved by the Governing Board of the
National Research Council, whose members are drawn from the councils of the National Academy of
Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of the
committee responsible for the report were chosen for their special competencies and with regard for
appropriate balance.
This study was supported by Contract/Grant No. S-FBOAD-94-C-0023 between the National
Academy of Sciences and the Federal Facilities Council via the U.S. Department of State. Any
opinions, findings, conclusions, or recommendations expressed in this publication are those of the
author(s) and do not necessarily reflect the views of the organizations or agencies that provided sup-
port for the project.
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Library of Congress Catalog Card Number 00-110532
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Copyright © National Academy of Sciences. All rights reserved.
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