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DOCID 3253346
TOP SECRETl~l20291t23 Report OS-INTBL-03
December 15 2004 Audit Report
OFFICE OF THE INSPECTOR GENERAL OF THE
DEPARTMENT OF DEFENSE
DEPUTY INSPECTOR GENERAL FOR INTELLIGENCE
Requirements for the TRAILBLAZER And THINTHREAD Systems (UIFOU9jshy
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Additional Copies (U)
i iibullbullThomas F Gimble at(703) 604_(DSN
Suggestions for Audits (U)
(0) To suggest ideas for or to request future audits or evaluations ofDefense intelligence issues contact the Office ofthe Deputy Inspector General for Intelligence at (703) 604-8800 (DSN 664-8800) or fax (703) 604-0045 Ideas and requests can also be mailed to
(U) Office ofthe Deputy Inspector General for Intelligence
Attn ExecutiveOfficer Inspector General ofthe Department ofDefense
400 Anny Navy Drive (Room 703) Arlington VA 22202-4704
(U)
Defense Hotline (lJ)
(U) To repbrt fraud waste or abuse contact the Defense Hotline by calling (800) 424-9098 by sending an electronic message to Hotlinedodigosdmil or writing the Defense Hotline The Pentagon Washington DC 20301-1900 The identity ofeach writer and caller is fully protected
Acronym(U)
(U)NSAfCSS National Sefurlty AgencyCentral Security Service
b(S)TOP SECRETIlC6MDilY26291123 Per DaD IG
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INSPECTOR GENERAL
rt DEPARTMENT OF DEFENSE 400 ARMY NAVY DRIVE
ARLINGTON VIRGINIA 22202-2B84
1 1 December 15 2004
1 MEMORANDUM FOR DIRECTOR NATIONAL SECURITY AGENCY CHIEF
CENTRAL SECURlTY SERVICE (U)
SUBJECT Audit of the Requirements for the TRAILBLAZER and THINTIIREAD Systems (Report No 05-INTEL-03) (PrQjocrNo D2003AL-OJOO) (UfFOUOJ
1 (U) We are providing this report for review and comment This audit was
initiated from a Hotline complaint We considered management corrunents on a draft of1 this report in preparing the fina1 report Management conducted a security classification review ofthe draft report
1 (U) DoD Directive 76503 requires that aU recommendations be resolved
1 promptly Management nonconcurred with Recommendations AI and A2 Management partiaUy concurred with Recommendations A3 Bl bull B2 and B3 As a result ofmanagement comments we revised Recommendations A2and Bl We request that the Director National Security AgencyCentral Security Service provide additional comments on all recommendations by January 15~ 2005
1 the courtesies extended to~estaff estions should be (703) 604-11110r t
Anoendix K for the report distri ution e team members are
1 1
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1 Thomas F Gimble
1 Deputy Inspector General for
Intelligence ogm n JlQ~k 1004 DpoundCUtSSifY ell ~1U
Special Warning
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L Office of the Inspector General of the Department of Defense l
Report No 0S-INTEL-03 Decemb~r 152005 (Project No D2003AL-OIOO)
f - I ~ Requirements for the TRAILBLAZER and THINTIIR1poundADJ Systems (U)
J Executive Summary (U) j
(Ullli~ lIJl Who shoUld Read This Report and Why AClJuisition decisionfuakers at theJ
National Security Agency (NSA) the designated NSA Milestone Decjsion Authority for ~
J the Under Secretary ofDefense for Acquisition Technology and Logistics and personnel in the Office ofllie Assi Inte tinn should read this rt
J f eNSA- I I
I (UJ~Baekground We perfonned this audit in response 1o a Defense Hotline complaint which alleged tPat NSA actions in the development QfTHINTHREAD and TRAILBLAZERresulte(Hn fraud waste and abuse The spec~fic allegations were (I)J f TRAILBLAZER deve19pment wasted Hollars (2) NSA
f disregarded solutions to ur ent S national securi needs 3 NSA modified or
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~(UJJlI6OO) TRAILBLAZER TRAILBLAZER is an Acquisition categoryJ pro~J I IF to acquire through a series ofspiral developments an integmftoVide tbe ~ middotmuchmiddotneeded missioncapabilily against the Global Net~prkmiddot ~ 1 I bull i sect 1 [1RAIL IS g J t developed See Appendix B for further details f II lff ------- [
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esults NSA enhanced existin di tal network ex loitation systems
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(U) Mnag~niGonunents and Alldit Response The management comments form middotmiddotJhe DirectorNSNChie~ Ceptral Security Service contained significant disagreements
With the report fiiidings TheDir~or stated that the worlds most advanced cryptologlC 1 expmjs have assessed lhcsituation and~ coJtfident in the aOO NSA has taken The bull ncurred wltlithe recommendatiQ
--I
an me u S aseSSment as part 0 e IL L ER estone ecISlOn e J ProgciUp Executive Offi~ andTRAILBLAZER managexnent wiU estimate the costlsc~yenu1e impacts afteJthey receive estimates frol therevi~~ team and will decide at that ttnle whether to concUr Three ofllie fourparnal concwrences d end n the J Pro am Eiecutive Officer andTRAILBLAZER mana ement decislb _
JI~ f11We revised tli~J~port fin~ings and ~mm~dations based on the Directors
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Q M ~We~~tthat the Director
J NSAIChief Central Security Service provide additional comments to this report by Janwuy 15 2005 See the Findings section oftha report for a discussion ofmanagement comments and audit responses Appendix J for a detailed audit response to the management comments and the management comments section ofthe report for the complete text of the comments
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Il Table of Contents (U)l (Ul1roU01shy lIb) (3)-PL 86-36
~~ Executive Summary i
Background 1l ~ ~
l Objectives l 3 f
Findings
1 A 11-------~--- 4 +I
B The NSA Transformation I 27
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Appendixes i
jA Scope and Methodology 38l j
Prior Coverage i
39 B TRAILBLAZER 40
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42 D
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58
~t ni~1 SbWes yi 62
73l I ossary 88--I
82
J Audit Response to Management Comments 95 K Report Distribution 113
-1 National Seeurity Agency Central Security AgencY Contments 114
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o (U) Background e l (3J -PL 86-36Q
Q ~otlineAllegations A letter to the Defense Hotline requ ~ centat the
Inspector General ofthe Department ofDeferise audit and investi f the acquisition of the TRAILBLAZER and THlNTHREAD programsThemiddotmiddotcpmplaint charged the NSA with fraud waste abuse and a disr ent
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(U) National Security Agency Mission and Planning Guidance The mission of the National Security AgencyCentral Security Service (NSAlCSS) is to
J ] provide actionable Signals Intelligence to US decisionmakers from the national
to the tactical level while protectin~ the nations vital infonnation from attacks The urgency ofthe NSA CSS miSSIon is greater than ever since the September middot11til attacks and the Global Wax on Terrorism
(U~ addition defense planning guidance and the Director ofCentral
J Intelligence guidance stipulate the need for St globally vigilant intelligence system that can provide early strategic warning ofcrisis and det~ threats that is supported by capabmti~ such as an information superiority backbone
J _____ ___ _____ ~BLAZERis-~ Fm)or acq~sition p~~which fblTi j--- started in FY 2000 and 18 schedUled for tnltial operating capablhty m FY 2009 to (b) (3) -5 0 USC 403 acquire an integrated system that is composed largely ofcommercial technology (b I (3)- L 86-36 to provide the much-needed mission capability against the global networlc through
1 a series ofspiral developments The TRAILBLAZER system will deliver hardware and software system integration and program integration services toJ include
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cqubitfon Guidance for l - rz~~~SI---r~UlS~lti~O~nls~pro=V1=-r111~middot D Directive 50001
on bull an the Clinger Cohen Act of 1996 Specifically these regulations provide the framework for the acquisition ofmajor automated l information systems
(U) DoD Dlreettve 50001 The Defense Acquisition System May 12 2003 lDoD Directive 50001 establishes the management process by which the DoD provides effective affordable and timely systems to the users DoD Directive 50001 states that all acquisition professionals shall continuously develol and implement initiatives to streamline and improve the Defense l AcquisItion System Specifically this directive states that military decision authorities and program managers shall examine and as appropriate adopt innovative practices that reduce cycle time and cost and encourage teamwork l
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(U) DoD Instruction 50002 Operation oftbe Defense Acqulsit10n System May 12 2003 DoD Instruction 50002 establishes a management framework for translating mission requirements into stable affordable and well managed acquisition programs that include weapon systems and automated infonnation systems and bighly sensitive classified cryptologict and intelligence projects and programs Instruction 50002 states thatt during the initial concept design DoD Components should examine mUltiple concepts and material approaches to optimize the way that DoD provides these capabilities That approach sha1I include robust analyses that consider affordability technology maturity and responsiveness
(U) CIingermiddotCohen (Information Technology Management Reform) Act of 1996 This act requires that heads of executive agencies develop and use best pmctices in the acquisition ofinfonnation technology The process ofan flxecutive agency shaH include minimum criteria to be applied in considering whether to undertake a particular investment in infonnation systems including criteria related to the quantitatively expressed projected net risk-adjusted return on investment and specific quantitative and qualitative criteria for comparing and prioritizing alternative information systems inveshnent projects
(U) NSA1CSS Circular 5000R Acquisition Management January 9 2001 The circular implements the principles ofDoD Directive 50001 and DoD Regulation SOOO2-R within the NSAfCSS It establishes basic objectives policies procedures and responsihilities for acquisition management The circular states that for acquisition management within the Defense Cryptologic Frogram NSA should address interoperability between existing and future Service tactical Signals Intelligence systems oonneotivity between tactipal and national systems oonsider applicable technology that may satisfy the requirement and possible duplication ofongoing effort
(U) Objectives
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(UIF6lJQ)T~bnical Review Studies A number ofintemal and external teclinica1] review studies were conducted to determinel
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l (SlfSf) NSA Modernization Studies Thefirst NSA Modernization Stu4Y July 200It was conducted by The National Technology Alliance National penterfor Applied Technology after a thorough review ofon1roin~ activities withfu the TRAILBLAZER Program Management Officq 1
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(U7FOYQ) The National Center for Applied Technology issued a second report a quick-Iooklt follow-on to the first report in December 2001 The Chie-4 Signals Intelligence Programs invited the original study team to conduct a foI1ow- OD study to evaluate progress within the TRAlLBLAZER Program Management Office Despite noting some changes made in NSA management and the TRAILBLAZER Programs acqUisition strategy that promised to address the conflicts and issues DOted in the first report the study team found that
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(TSltsI)Studies Prior to THINTHREAD deployment the Technology Test and-I Evaluation Assessment Mar~ 25 2002 advised that the f~1Qwingj I 1 IactIOns be ~~~t------middotmiddot-middot-middot-~middot-
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(U)Summary
(U) Management Comments on the Finding and Audit Response
(UJIIOtiO) ~ementComments The NSA management stated that the draft report did not mclude significant information or included wrong or misleading information The tomplete list ofmanagement tomments is in the Management Comments section ofthis report
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(U~Audit Response We obtained revieweG and analyzed many documents and we interviewed several NSA and contractor personnel to form the conclusions in this report We included all infonnation relevant to support the report findings and rCCQmmendatlons Many people we interviewed asked not to be identified fur fear ofmanagement reprisal We gathered information from many sources to support the finding Paragraphs frequently contain information from several sources to reinforce conclusions Based on management comments we made various editorial changes to the draft report See Appendix J for a completed audit responSe to each management comment
(U) Recommendations Management Comments and Audit Response
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(U) A We recommend that the Director National Seurity AgencyChief Central Security Service
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(U) Congressional Concerns on Digital Network Exploitation
J (U) The National Defense Authorization Act for FY 2002 stated that
J (b) (l) (b) (3)-50 USC 403 ftfSlISij The NSA has clearly Ill8de great strides in seeking to
J bl (3)-PL 86-36 uansform itself in many areas However the NSA appeaIB to have
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(U) T~LBLAZER
J J (SNSI) en March 24 2000 the Director NSA signed the TRAlLBLAZER 1
charter to~te a new Signals Intelligence enterprise to exploit the global network ~~~with an estimated development cost Dfapproximatel as to respond to the opportunities and challenges provided by logies to design new operational practices for on-time delivery ofproducts and services in the manner that best met customer
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1 S7tsQneeds-unrestrained by past practices or past technologies TRAILBLAZER 1 had the following key responsibilities 1
bull (UtfiOOO) Ensure the execution ofa new NSA program transfonning the us Cryptologic System exploitation ofthe global network Map detailed digital network exploitation mission requirements to a cryptologic architecture and implement them and 1
bull (U~Act as the catalyst for transforming customer interaction and operational practices Begin the retooling ofNSA 1programmatically technologically and culturally to provide mission services and capabilities that are responsive to the emerging technology and customer needs 1
____- ___-----middot(lJ)IL--_____----I~RAILBLAZER (1) 1
(b) (3)-50 USC 403 (b) (3-P L 86-36
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t ~- --
J - middot-middotmiddotmiddotmiddot middotmiddot middot-WhtNSAlfOderntzanOIl Study The House Permanent Select Committee - onlnteligence directed-th~ first NSA Mod~tion Study July 2001 which
was ~nauct~ by The NatiottalT~ologyAlliance 1lati0Jl1l ~enter fo Applied TechiiolQW After a thorough--re-lew rfommmg 8ctifjes Wltbm tbeJ TRAILBLAZER Pro~Management OffiCe_ __
r---lmd interviews withk~yprogram personnLebull1--th7e--NOa-=timiddoto-n--Cen--ter~fi-or---l ~ Techno1ogy team observe4~at fh~TBLAZER was noortvJ executed and bad an overly expenslv~ ______
The NSA Modernization Study recommlen~tM1ar------------I
J ~
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-(SSf) Seeolld NSA Modernization Study A second National Center for Applied Technology report a quick-look follow-on report was completed inJ
December 2001 The Chief Signals Intelligence Programs invited the original
study team to conduct a follow-on study to evaluate progress within the] TRAILBLAZER Program Management Office Despite noting some changes
J made in NSA management and the TRAlLBLAZER Program acquisition strategy that promised to address the conflicts and issues noted in the fust report the study team found that
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~~Durin FY 2901 NSA initial and fo110 internal teclmicalreviews(b) (1) (bl (3)-50 USC 403 l
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(U) TRAILBLAZER Acquisition
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(SHS~ rRAILBLAZER was deyelope~UooUii~gwltlaIILlUI~IIIUoLIIWoIIIoltl-_- enterprise to exploit the global network l
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[J
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J J ] (U) Summary ofManagement Comments on the Audit Finding
and Audit Response
J (UIFOlJet Management Comments NSA management referred to several statements in the report that did not include all referenced documents and that some paragraphs contained wrong or misleading information The complete listJ ofmanagement comments is located in the Management Comments section of this report
J (UJIiOff6) Audit Response We obtained reviewed and analyzed many documents to form the basis for the conclusions in this report We also interviewed several NSA and contractor personnel many ofwhom asked not to be identified for fear ofmanagement reprisal We ga~ered infonnation from
J J many sources to support the finding Paragraphs frequently contain infonnation
from several sources to reinforce conclusions See Appendix] for a complete audit response to each IDlUlagement comment
J (U) Recommendations Management Comments and Audit
Response lIb) (l (b) (3)-PL 86-36
j (b) (5)
(~RevisedRetommendatlon As a result ofmanagement cdmmei~ we
J IreV1sed Recommendations Bt and B3 to ctarlfythe intend1Use of
1 (UI1FOUQlYe recommeDd that the Director National Security J AgencyChlef Central Security Service ----------------------~~I (QDesJmatea team to 1 IJ
J (UIFOUO) Manlgement Comments The Director National Security AgencyChief Central Security Service partially concurred with the intent ofthe recommendation but was waiting for the results ofa cost and schedule impact J study before fully concurring The Program Executive Office is establishing an
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(U~) independent review team to complete the study before Milestone B scheduled for December 2004 because the study win have an effect en both the cost and schedule fer Milestone B
-(eT~~IitJlesponse Based on management comments we revised this l IrecommendatiQn The Director National Security AgencyChief Central
Security Servicecomments were responsive and the proposed actions meet the intent ofthe recomTneIJdation The immediate actions taken to designate an independent review teamt~ perfonn the assessment are commendable JMilestone B has slipped to Feb ~~maumu~wmiddotstJmiddotruamamJllSl~illJilmllL- time to com 1ete the assessmeii
]
] 2 (UIFtYffOtprovide the results of the external assessment to the
TRAILBLAZER Teclmology Demonstration Platform Milestone Decision Authority (or use in making the ~estoneB decision J (Uf~Management Comments The Director National Security AgencyChief Central Security Service concurred The completion ofthe independent assessment is currently scheduled fer December 2004 J (U~AuditResponse Although the Director National Security AgencyChief Central Security Service concurred the concurrence is based on ]completing the assessment requested in Recommendation B1 We request that the National Security Agency management provide additional comments in response to the final report identifying NSA plans to eliminate the cost and ]schedule risks for completing the assessment
J (U~ _gemeat 6mments Tho Director National Security ]
- Ag~cy~ef-Gentrals~tyB~1~t~_~115urredt andjWtil that the assessment middotmiddot~middot -___teQuired m Recommendation B1 WIll De mcludedm-thL_______--
PmMilestone B scheduled for December 2004 ]- __shy
(BIfSI) Audit RDii~-Altho~gh the Director National Security AgencyChief Central Security Service concurredthe-COllcurrence is blSed on completing the assessment requested in Recommendation alBased on 1981WemClltcmmIlCllts J to Recommendation B2 this recommendation was reVis
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1 ~ twe request additional comments in response to the firuit report identitYiIig NSA pans to eliminate the1 cost and schedule risks for completing the assessment l
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Appendix A Scope and Methodology (U) ~ ~ 1 1 -
(UitFooo-We reviewed documentation dating from November 200Qlu~~gh October 2003 including background infonnation mission and operatiQUat ri~ statements concepts and operational requirements and contracting ana budget 1 documents Also we conducted interview
I 1
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(U) We performed this audit from Apri12003 through May 2004 in accoid~ce with generally accepted government auditing standards
(UffFOUQ-Umitation to Scope Because our objective was limited to
1
evaluating a Defense Hotline allegation relatingto the acquisition ofthe TRAILBLAZER and THINTIlREAD nrolttatns we did not review the roanalement control nroenunl i 1
1 ~
l (U) Use of Computer-Processed Data We did not use computer-processed data to perform this audit
1 1 (UfPOUO) Use ofTechnical Assistance Audit Follow-up and Teehnical Support Personnel assisted us during the audit The Technical Assessment Division assisted in the analysis ofNSA acquisition I l (V) General Accounting Office High-Rlsk Area The General Accounting Office has identified several high-risk areas in DoD Thisreport provides l coverage ofthe Infrastructure Inefficiencies and Infonnation Technology Investments high-risk areas l
(U) Prior Coverage
(UIFOE1OlDuring the last 5 years the Inspector General ofthe NSA issued one l report on TRAILBLAZER that discussed improperly based contract ~st increases non-eonfonnance in the management ofthe Statement ofWark and excessive labor rates for contractor personnel No prior coverage has been l conducted on the NSA THINTHRJAD Program during the last Syears
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o (U) Inspector General NSA
Q (U~eportNo ST~03middot0014 TRAILBLAZER lISIGINTPrograms Systems Engineering and Te()1mica1 Assistance Contract September 30 2004 o
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Appendix B TRAILBLAZER (U) ~
(U) Objectives of TRAILBLAZER and the Technical Demonstration Platform
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lS1fSI1be NSA Modernization Study July 13 2001 AfWnn-JLlithAN~~LClAt-___- Modernization Follow Up StudytJ Dece1nbet 2oo1 t stat~1
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i~______________________________~______________~ i
06 Finding 3 Discussion
iii (U) There was minimal user system technical or programmatic documentation
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bull (U) There was no user documentation on how to use the tool That was inefficient and could lead to a significant increase in user error
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(U1F9OO) Recommendations Develop necessary docwnentation ni4t would
o Q necessitate an increase in the personnel devoted to documenting the systerh but is
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~ IJ J bull (UIfIOUO) O~ ent and operation
were not identified The relationsbips between work roles throu out e system s life cycle were not defined The authorities for each work role bad not been identifiedJ The organizational structure set forth by the THINIHREAD Program Team focused on system development and did not address system
]
J 77 TOP SBCRRTApoundOAHNTlllN911a3J
noelD 325334
W~) dw1oymentl I A ]ThemmTHRBAD Program Team was defiriirig the
_l~-~~~~~~~~~l a~iionalwork roles necessary for deployuienl activities I
(bj (3) - P L 86-3 6 bull (U) THlNTHREAD did not identifY all the organizations requiring coordination through the various stages ofdeployment
(UiifofJoLRecommendations The findings presented a serious risk to successful deployment ofTHINTHREAD To mitigate those risks the following recommendations were suggested
-bull
(b) (3)-P bull L 66-36 bull (b) (5)
---_ bull shybull
(U) Finding 5 Discnssion l (UIFOY~ Xhe customer service and user support processes for THlNTHREAD weremanualIy in~ensive and directly involved the technical staff l
bull UJ1i10U~ The quality Ofservi~_aqg~IbeCeiv----Psing ________ -==-TIUNJlIREADwmnoonsistnt SomC1I1teiVieWedby
(b(3j-=P ~ i---6636 --- TeSiTechnology and Evaluati~Jl ~eam VIewed tlie T4ITHRBAr l --==--_--0___ ~oram Tea~ to b~ unresponsIve mg~eral customa support while-----=+--- __ )xEI1enced good responsIveness to then- requests for
ttions or mOOifi~tions1 I l bull (UIIPOUQ) There was no formal trouble ticket mechanism in place Ifa
user or operator had a problem with TIiIN1HRBADs he contacted someone on the THINTHRBAD Program Team This contact depends on l personal acquaintance because no list ofTHINTHREAD personnel was readily available and there was no mechanism to locate the proper TIflNTHRBAD contact Similarly the status ofthe response to a request l could only be leamed by personal contact
bull (UllFOf167 There was no formal mechanism for managing externally lgenemted requirements to include submitting a new requirement to THINTHREAD or for following the progress ofthe work
l78 FOP SHCREfNCOMINTIl29991123
l
rrC1D 3253346
fOP SECREfeuroiOlfHrff1129291123
o bull (U~ team was in charge of
maintainin itb just a few userso _ middotmiddot--ihafpemon was a e to_~jer_orc ang ccording to user - - ______ requests-middotreceived (il1Ule telephone or by e-nw owever as more users
3) _PmiddotmiddotmiddotL---8middot~~ are added one person may have difficulty meeting the increased demand o - ------n-ThelackofperBQll~~~y become a problem as =INJHREAD was scaled to handle an lOcreas-eduserlo~ _ I
o o o bull (UFeYQ) A list ofWeb interface functionalities p~~pose4
was not incorporated into TIIINTHREAD 1-----1
o o
(UtfPOBe) There was nomiddot ptOQeSs for controllin~ and measuring operational programmatic and technical performance effectiveness ofTHINTIIREADJ once deployed
bull (UJlI6ttQ) TIIINTHREAD did not have a clearly stated set ofsystem specifications or a method to validate the THINTHREAD concept or perfonnance results Thus there was no way to determine ifthe system
79
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DOCIDe 6253346
TOP SECRSTltCO~HfflllQl9111~ 1 1
(euroUIFOOS] was successful or ifit failed which may lead to confusion in stakeholders understanding ofthe success ofTHINTHREAD 1bull (Uf~INTHREAD bad mechanisms for assessing progress and status within the system development phase However there were no systematic consistent mecbanisms for overall program measurement which included identifying test criteria establishing program schedules 1 and documenting a system baseline to address progress No feedback mechanisms had been identified such as risk management or contingency planning 1
bull (UIfffit6) Aside from schedule control there were no tools to measure progress towards program objectives because there were no formalized program objectives 1
bull (UFeuroffJe) THINTHREAD did not have Standards ofPerfonnance established for personnel developing THINTHREAD Iffuture 1TIlINTHREADdevelopment crosses organizational groups a common set ofStandards ofPerfonnance for personnel may become necessary
bull (UIfeOO) There was no configuration management process which could 1 pose a~sk when reporting system ~ro~lems and correcting tt~ I In addition the lack ofa configuration management prtl~ cOwa cause difficulty w~en upgrading or deploying versio~_and-aIso make rollback 1extremely nsky
bull (U17P6t1Q) Th~ fault or w~Jlgdet~on wt a~omated h necessary reactions and ~nseswere l-ot- _ _ __ l software provided ~sirtipIe wayo-ooeck sta1=-o=v=an=o=us==s==----- parameters through a W~jntefface However when an operatorrecowizcSmiddota prolemne must actively initiate conective measures l $omeumes-thafaction is a simple matter such as restarting a process At
- Qilierfifues physical hardware must be changed No corrective action bull- -- -- middotmiddotmiddotCould be executed ifan operator was not present to initiate a corrective l lt~-~~~~~gt bull a_cti_middoto_n_____________________--
i~~~p~ B~36--~--~I~_~__~_~_~~_____~~__~_~ l -
middotmiddot-middotmiddot----Q1IFOUO 1HINTHREAD had no established process for managing 1 reqUiremen~
(UfFOtJO) Reonu~dtioiis~--Thefindings that led to the recommendations l would not have revented the successfuIaepJoYment ofTIIINTHRBAD to
~ e recommendations weremadetQmP2ve=tb=e__--- e ency ofTHINTHREAD after it was deploYedll____--
The follOwing is a list ofrecommendations l L-_~--
bull (P(FQafjJ Develop processes and acquire automated tools based on cIearIx stated specifications for controlling and measuring the l ~=hfc ntipn8tand technical performance ofTHINTHREAD
80
TOP SECRBINC01ltIlHpoundl289113
rlCID 3253346bull TOP SIiCRETIJCOltHNTll29191123
Omiddot (b) 3J-PL 86-36
bull (UIfOUO) Acquire ~ ~mmercia1ly available conij~tioK~ntro system to enable verstorung rollback and configuration management0 The system should interface with the trouble ficketing systeM aitd the requirements management system to Provi9CfulJ traceabilitY
1 o bull (UiAFeUOjDevelop Stand~ ofP~6imance(iffutWeTIinfrHREADdevelopment crosses orgaruzationlUmiddotgroups) i
1 bull (UnO~A~tomate reactiqns and responses to the existin~ fulfIt ando warmng detection systemL ~ J - 1o
bull (U~ 1stBblish a requirements management process for
o uWAD that is linked tol---__~______---I
(U) Finding 7 Discussiono e number and skill mix ofTHINTHREAD nnel was
o ~1iI~~~~=~nnel required for
13 H L Seuro-36---planning-and executing-installatio so there was a lack of --cfocumentatioDtPIQviding the necessary mam anoo and help desk supporto oonfigurapon managemen~-and planningYlg~~~u1ing CpUectively thyse
o ~_ shortoommgs jeated a senous nsk to successful comp1eti0nL _ J 1 ~_ _ 1-_--I
(UlFOtJ~ Recommendations The finding presented serious risk to successful deployment ofTHINTHREAD It was recommended to continue to identify and o I=~lhord~ofsdll~=-= ired fur
ij ~~lt~~-
a i~~~-PL 86-36 (bJ (5)
ru
81
TOP SBCHETlJC9MINTHa~llla
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DOCID 3253346
TOP 8ECRlSTACQlHNTl19l91113
AppendixH (b) [l) (b) (3) -PL 86-36 i
~
~ (U) Introduction
i
(U) Needs Analysis Revisited i
1 82
TOI SBCRETlJCOIUIfIllIaga911a3
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(b) (3)-PL 86-36 (U) System Capabilities Overviews
~ The followin section outlines the strenJ
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Jmiddotmiddottbl (3)-PL 66-36
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1 (U) Optimal System
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(U) Cost Analysis middotmiddot(lJ-3JFbull L 86-36
IThotlblwiJfiiinhetica1 soenariiuiiaiiidliowr--------- ay produce a more effective result in terms ofigtOth complexity and cost
A ew assumptions apply
-
86 ft)p SECItEf88Mffft7t2991123
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(U) Conclusion o
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1 NCLASSIFIEDJlFOR OFFleb~l uscAppendix I Glossary (U) BY COMPILATON WHEN ASSO
WITH REST OF D-OCU=t=~IE=N--T__---J 1 (U) r------------------------7b)-(3~)--ampP 86middot36 1
1 l 1 1 1 1
Consultative Committee for International Telegraph and Telephone (CCIT1) 1Consultative Committee for International Telegraph and Telephone is the International organization responsible for the development ofcommunications standards Now called 1 the International Telecommunication Union Telecommunication Standardization Sector
(b)(3) PL 86middot36
1 1 1 1
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88 1
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lb)(3)-P 86-36 I
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Elettronfc Industries As~odatlon (EIA) A group that specifies eJectrical transmission standards The Electronic Jndustries Association and Telecommunications Induslry I Association have developed numerous well-bown communications standards including l Electronic Industries Association and Telecommunications IndusfIy Association 232 and I Electronic Induslrles Association and Telecommunications Induslly Aosoclaion -449 I
(U)
89 TOP 8JpoundCMT~I~9]911aa
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l International Telecommunication Union Telecommunkation Standardization ~ lSedor (lTV-T) International body that develops worldwide standards for
i
telecommunications teclmologies The International Telecommunication Union Telecommunication Standardization Sector carries out the functions ofthe former Consultative Committee for International Telegraph and Telephone l
i
International Organization for Standardization (ISO) International organization that is responsible for awide range ofstaruiards including those relevant to networking The l International Organization for Standardization developed the Open System Interconnection reference model a popular networking reference model
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I (b) (3) -T Institute of Electrical and Electronics Engineers (IEEE) 8023 Institute ofEIectrical and Electronics Engineers LAN protocol that specifies an implementation ofthe physical layer and the MAC sublayer ofthe data link layer Institute afElectrical and Electronics Engineers 8023 uses Carrier Sense Multiple Access Collision Detect access at a variety ofspeeds over a variety of physical media Extensions to the I Institute ofElectrical and Electronics Engineers 8023 standard specify implementations for Fast Ethernet
(b)3)-P L 86-36
Open System Interconnedion (OSI) International standard~tion program created by International Organization for Standardization and International Telecommunication Union Telecommunication Standardization Sector to develop standards for data networking that facilitate multimiddotvendor equipment interoperability
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91
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Telecommunications Industry Associlltfon (IIA) Organization that developsstandards relating to telecommunications technologies Together the TelecommWlications Industry Association and the Electronic Industries Association have fOlDlalized standards such as Electronic Industries Association and Telecommunications Industry Association M232 for the electrical characteristics ofdata transmission
(b)(3)-PL ~6-36
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Appendix J ~esponse to Management Comments (U)
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NSA will a ee to conduct an independent e believe that it will validate all of the assertions niMein our reSpons--egoeImiddotmiddot tOf General recommendations
F=~criedd~~fffl it~ th~~~~nH1p nlan~uA wad dl Iill Iwhich was conaucteaIn an openmiddot ~on1o proVlae ffi~esl oenent lor Agency mISSIOn and customers More Importantly tfiere h~ been no eVldence
documented during this Office ofInspector General investigauQl1 that supports that complaint -~ lib) [3J-lL 86-36 ~
(8181) Audit Response The report doi ~l million e TRAILBLAZE
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98
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(U~anagement Comments NSA recommended that the audit report emphasis NSAs cooperation and responsiveness to Congress
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(UIFOU8) Management Comments NSA recommended that the audit report emphasis that the THINTHRBAD capability is valued by NSA
99
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100 TOP SKCImTfCOlUPftV29291123
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101
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102
TOP SRCREfllCOrHftllQlllllll
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103
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~Management Comments TRAILBLAZER welcomes an open revi~Qf
~
~--------------------------------------------------~~--~(Sf51) Management Comments NSAj~~~~en~t~d~o~es~n~ot~a~~w~ithlAllth~eDfIoD~~___ Office cfIns etor Generars assessmen
(SSij Audit Response We acknowledge the fact that the current scope ofthe TRAILBLAZER is to provide the infonnation technology ftamework for the entire
104
TOP 81SCBETIIC91HHfW29l9111iJ
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DOOID 3253346 (p) (1) bl (3)-PL 86-36
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(euro) Management Comments NSA managements stated that TRAILBLAZER and ~e Technology Demonstration Platfonn have invested considerable effort to build a signal intelligence architecture that is open and scaleable applies DoQ commercial and NSA
s 1
107
TOP SKCUTMG~IltWGa911l3
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Ldelines oDoD Directive 50002~
bull
(Sl8I)Management Comments NSA management comments stated that the Executive ~f
Summarys assertion that NSA disregarded solutions to Uf2ent national security needs ~) (1) is not accurate ~p) (3) -50 USC 40 (1lt) (3)-PL 86-3
j
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(SNSI) Audit Response NSA comments are inaccurate Major issues raised in the manaSement comments are addressed in the reoort sneciftcallvthe issue of
i
108
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-middotDOCID 3253346 ~--~-l (b) (1)
~ lib) (3)-50 USC 403TOP SKCKK171C()AtltIflOloJIllb) (3) -PL 86-36
-tetMngmntco_t8-~anag~t sta~tI1a11Jl~ilJ~~ltJj~-tyen~~ll~fi~lt~~r~-alltcI~aJ~~ r--lt1eDonsclraI1poundlJ+ oJthe~TA Studys rmiddot~mnlmll1lI1middot0IlL_--_4_~-+---~_middotmiddotmiddotmiddotmiddot~
also needs clarification j
I
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(UJ~anagementComments NSAmanag~ent comments stated th~t fue TRAILBLAZER has long-established plans for external assessment ofthe Techlology Demonstration Platfonn for prepamtion for IfliJestone B The Independent Veri1jcAtion and Validation (JVampV) of29 Evaluation Criteria is being conducted by NSAs independent Office ofCorporate Assessmmits Test and Technical Evaluation eleimthlt (TIE) The Early Operational Assessmentiand Operational Assessment will be perfonned by JlTC which had establisheda presence in TRAILBLAZER spaces ~y November 2003 Results ofboth activitieS will be provided to the Milestone Deciaio4 Authority before Milestone B
i (U~ Audit Response TRAILBLAZER postponed Milestone B schedul~ Ifor December 2004 because of technical issues with the Technology Demonstration Platfonn February 200S is the earllest date that TRAILBLAZER will be readr fr MILESTONE B I ~
i
~anagementComments NSA manaampmlmn ~mts staled thatJhe )
I==lYbeprov1a~Mtlone
(8ffSf Management Comments NSA management comments ~tated that the EXecUtile Summarys statement that TRAILBLAZER development wasted I--_____J
109
TOP ~CmTeuroJ9~IINT1Ql911aa
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~ofdollars is not accurate As the middottlJlModemizanon Study obseni~ TRAILBLAZER is pot only about di~ptnietwork 7~ploitation but also encqIi7nasSs cultural transformation Ie pt9cesses and pohCles) --i ~~J
And although TRAILBLAZER is currently 11 tl1e L-re~v~erop=m=enr1-=ptas=-=elr-tr~-_-a~ dy delivered significant capabilities ~
~- ~ (SfJSl) Audit Response The NSA management comments are inacturate ~r Executive Sunmiary does not claim that TRAILBLAZER development wast
I Iofdollars Instead this phrase is only used to accurately describe p specific liotline complaint allegation that initiated this audit
~
l
110 1OP 8PCBlSTlIeuro1lDfTlIl(tl9111~
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~anagement C~mments NSA management comments also qhestions the ~~=====z-=-~~==~=-~=~~~~essed=rstudies and
d stated that the
(s) Audit Response We have documented infonnation to support this statement
however because of fear ofreprlsru we agreed to keep the sources anonymous
111
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I ~Audit Response Our wording reflects information received from our so~ces We reviewed all ofthe comments below and checked our sources and made adjustlpents as required
112
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TI Appendix K Report Distribution (U)f[]
r[] (U)
Office of the Secretary ofDefense
11 Under Secretary ofDefense for Acquisition Technology and Logistics Under Secretary ofDefense (Comptroller) Under Secretary ofDefense for Intelligence
11 Assistant Secretary ofDefense for Netwerks and Infonnation Integration
11 Other Defense Organization
Director National Security Agency Inspector GeneraJ Natienal Security Agency1] Inspector General Defense Intelligence Agency Inspector General National Geospaual-Intelligence Agency Inspector General Natienal Reconnaissance Office
II Congressional Committees and Subcommittees Chairman and
Ranking Minority Member] Senate Subcommittee onDefense Committee en Appropriations Senate Committee on Anned Services] Senate Select Committee on Intelligence House Subcommittee on Defense Committee on Appropriations House Committee on Armed Services House Permanent Select Committee on Intelligence]
(11)]
]
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J 113
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NATIONAL SECURITY AGENCI CENTRAL SECURITV SERVtCI
OiIf ~amp II JUHt tuInlJlHO IOTSshyltIgt l~ AUgust 2004
StmJBCT (ll) Audit ofthe ~ for tbo TRiULlUAZBR ud 1HlNIHRBAD SYma dampbed 111llO 182004 (Projec No D2OO3AL-OlOO)
Deputy ChiefofStaff
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1
SECURITY CLASSIFICATION f(FiJ ( Cl 1 ] 1NSA STAFF PROCESSING FORM
TO
IKCC CONTROL NUMBERCoS DC09-017-05 THRU ACTION eXREQ SUSPENSE
~=-c=---------------------l 0 APPROVALSUBJECT KCC SUSPENSE (U) (COP liJIiCRSlIIGOMUffl Office of the IG of the Department of IX] SIGNATURE
ELEMENT SUSPENSEDefense Report on TRAILBLAZER and THINTHREAD Systems 0 INfORMATION
DISTRIBUTION
SUMMARY (u)
PIJRPOSE (GONFIDENFfAIoS202911pound3) Attached for your review and signature is the NSA consolidated response to the report from the DoD OIG on requirements for TRAILBLAZER and TIDNTHREAD systems
End als
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OFFIce NAME AND DATE OFFICE NAME AND OAlE
ORG PHONE (Secure OATE PREPARED
DC09 963-5021 11 February 2005
SECURITY CLASSIfICATIONDerived from NSAlCSSM 1-52
DATED 23 November 2004 Declassify On 20291123
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NATIONAL SECURITY AGENCY FORT GEORGE G MEADE JiARY~AND 20755-6000
11 February 2005
MEMORANDUM FOR DEPUTY ASSISTANT INSPECTOR GENERAL FOR INTELLIGENCE AUDITS
SUBJECT (UIFOUO) DoD OIG Audit Report Requirements for the TRAILBLAZER and THINTHREAD Systems1 dated December 15 2004 (Report OS-INTELshy03 Project No D2003AL-OlOO) - INFORMATION MEMORANDUM
(UIFtJtJ9+In response to the DoD OIG request for additional information on the TRAILBLAZER and THINTHREAD report NSACSS provides consolidated corporate comments from our Signals Intelligence Directorate Acquisition Organization and Information Technology Infrastructure Services Organization (now the Infalmation Technology Directorate)
NSAlCSS Resllonse
-teTSubsequent to the DoD OIG report the TRAILBLAZER Milestone has been I scheduled for late in the fourth quarter of FYOS from the previously scheduled earlyenr MS B Accordingly this now allows sufficient time for the conduct of the assessmeftt recommended by the DoD OIG
e lIla ze r
b M 2005 Y ay - i
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If_ bave anY QUestiODrr need additional information Pbgt6~~t
(b) (l)
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MARIA N OCONNOR Chief ofStaff
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CONFfDENJfAIffS9291123
NSA STAFF PRO ESSING FORM EXflEG CONTROl NUMBER J(CC CONTROl NUMBER
DA4-04-05 ACTION EXAEG SUSPENSE
-------~_______________I fi] APPROVAL SUBJECT KCC SUSPENse (U~THINTHREAD I TRAILBLAZER 1G [iJ SIGNATURE
ELEMENT SUSPENSEAUDIT REPORT 0 INFORMATION
DISTRI8UTION
SUMMARV
PURPOSE (UtFeYO) To provide the recommended PEO input to the consolidated NSA response regarding actions requested by the final Department of Defense (DoD) Office ofInspector General (OIG) report 05-INTEL-03 Requirements for TRAlLBLAZER and THINTHREAD Systems of 15 December 2004
-tarIn response to ~hidraft7 in August the Agency concurred with comments ~-Tpe following is an excerpt fr9mthose comments laquo The Program Executive Office (PEO) is ta1tingmiddotth~ lead in estab1ishin~an independent review teruv- for Derforming this assessment with the intentiqn that itsJesuIts will be completed in timet I
f IMilestone B documentationraquo
~At the time of this statement (Aug (04) the TRAILBLAZER Milestone B (MSB) was scheduled for December (04 When the final report was published the PEO Assessment had not yet begun Concerned that the assessment could not be completed in time to support a December milestone the DoD OIG requested via the final report that they be provided NSA plans to eliminate the cost and schedule risks for completing the assessment
(GtSince release of the final Audit Report a DIRNSA-Chartered Transformational Advisory Panel (TAP) recommended TRAILBLAZER be rebaselined The MBB is now planned for late Fourth Quarter FY05
COOROINAilONIAPPROVAl
OFFICE NAME AND DATE OFFICE NAME AND DATE sg~degtt~tii
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DATE PREPAREO ~~
l)A4 963-7368 - 8 February 2005 -~---
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~ (U~he development of this resP~98en~~en coordinated Wit~r-----lmd the TRAILBLAZER Program Manag~m~nt Office
~ RECOMMENDATION
1 (UJFeiffe1 A form~lRfsk Mitigation Plan is not recommended The PEO is committed to cogducting the assessment The team is currently being fOlriled a kick-offm~gjsj)Ianned for March and the team is expected to report to MrJ II INLT May 31st The cost and schedule impact ofconducting the assessment pose very low risk to the Transformational Programs
2 (UIF8YGl Recommend the response provided as an attachment be forwarded to the DoD OIa as part of the Agencys consolidated response to the Final Report
DOCIDe 3253346
1 1 Team Members (U)
(U) The Office of the Deputy Inspector General for Intelligence ofthe Department ofDefense Intelligence-Audit prepared this report Personnel ofthe Office ofthe Inspector General ofthe Department ofDefense who contributed to the report are listed below
(U)
(U)
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Additional Copies (U)
i iibullbullThomas F Gimble at(703) 604_(DSN
Suggestions for Audits (U)
(0) To suggest ideas for or to request future audits or evaluations ofDefense intelligence issues contact the Office ofthe Deputy Inspector General for Intelligence at (703) 604-8800 (DSN 664-8800) or fax (703) 604-0045 Ideas and requests can also be mailed to
(U) Office ofthe Deputy Inspector General for Intelligence
Attn ExecutiveOfficer Inspector General ofthe Department ofDefense
400 Anny Navy Drive (Room 703) Arlington VA 22202-4704
(U)
Defense Hotline (lJ)
(U) To repbrt fraud waste or abuse contact the Defense Hotline by calling (800) 424-9098 by sending an electronic message to Hotlinedodigosdmil or writing the Defense Hotline The Pentagon Washington DC 20301-1900 The identity ofeach writer and caller is fully protected
Acronym(U)
(U)NSAfCSS National Sefurlty AgencyCentral Security Service
b(S)TOP SECRETIlC6MDilY26291123 Per DaD IG
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INSPECTOR GENERAL
rt DEPARTMENT OF DEFENSE 400 ARMY NAVY DRIVE
ARLINGTON VIRGINIA 22202-2B84
1 1 December 15 2004
1 MEMORANDUM FOR DIRECTOR NATIONAL SECURITY AGENCY CHIEF
CENTRAL SECURlTY SERVICE (U)
SUBJECT Audit of the Requirements for the TRAILBLAZER and THINTIIREAD Systems (Report No 05-INTEL-03) (PrQjocrNo D2003AL-OJOO) (UfFOUOJ
1 (U) We are providing this report for review and comment This audit was
initiated from a Hotline complaint We considered management corrunents on a draft of1 this report in preparing the fina1 report Management conducted a security classification review ofthe draft report
1 (U) DoD Directive 76503 requires that aU recommendations be resolved
1 promptly Management nonconcurred with Recommendations AI and A2 Management partiaUy concurred with Recommendations A3 Bl bull B2 and B3 As a result ofmanagement comments we revised Recommendations A2and Bl We request that the Director National Security AgencyCentral Security Service provide additional comments on all recommendations by January 15~ 2005
1 the courtesies extended to~estaff estions should be (703) 604-11110r t
Anoendix K for the report distri ution e team members are
1 1
~~imiddot~~
1 Thomas F Gimble
1 Deputy Inspector General for
Intelligence ogm n JlQ~k 1004 DpoundCUtSSifY ell ~1U
Special Warning
1 fiji document contdnl inftn tIticm eftlllpt frem medt6pY dlseIOIYre dlil iIl4II ~Qm
1 of Inf() rmticll Act This report COllWu eeflilB tHiel_MiRed illfedElIl Alltirtg t tIle elglililladst1 bullbullul fqeti6B sf tfte Nltieftd Security Jcgeaey Utltt JeI1 he pFGteeted Ity tlfe Natioltal SeeuJiC) Act of 159 as ameudtd (56 United SCstel Code sect 49i (nctcH ReprodlietieB sr reB8val sf tes is pFGlHSited Safegaacis malt lie t~ to ut publictica or improper dflpoundkmre of the IMeFfBldoB In Uti Aport
1
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- -------~-----------~--
[DOGID 3253346 fbl (1)
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L Office of the Inspector General of the Department of Defense l
Report No 0S-INTEL-03 Decemb~r 152005 (Project No D2003AL-OIOO)
f - I ~ Requirements for the TRAILBLAZER and THINTIIR1poundADJ Systems (U)
J Executive Summary (U) j
(Ullli~ lIJl Who shoUld Read This Report and Why AClJuisition decisionfuakers at theJ
National Security Agency (NSA) the designated NSA Milestone Decjsion Authority for ~
J the Under Secretary ofDefense for Acquisition Technology and Logistics and personnel in the Office ofllie Assi Inte tinn should read this rt
J f eNSA- I I
I (UJ~Baekground We perfonned this audit in response 1o a Defense Hotline complaint which alleged tPat NSA actions in the development QfTHINTHREAD and TRAILBLAZERresulte(Hn fraud waste and abuse The spec~fic allegations were (I)J f TRAILBLAZER deve19pment wasted Hollars (2) NSA
f disregarded solutions to ur ent S national securi needs 3 NSA modified or
J t ~~sedsrudi~~________________________________________~
Iand (4~ ~1Ndi~n~d1ITI-----------------------------l
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~(UJJlI6OO) TRAILBLAZER TRAILBLAZER is an Acquisition categoryJ pro~J I IF to acquire through a series ofspiral developments an integmftoVide tbe ~ middotmuchmiddotneeded missioncapabilily against the Global Net~prkmiddot ~ 1 I bull i sect 1 [1RAIL IS g J t developed See Appendix B for further details f II lff ------- [
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(U) Mnag~niGonunents and Alldit Response The management comments form middotmiddotJhe DirectorNSNChie~ Ceptral Security Service contained significant disagreements
With the report fiiidings TheDir~or stated that the worlds most advanced cryptologlC 1 expmjs have assessed lhcsituation and~ coJtfident in the aOO NSA has taken The bull ncurred wltlithe recommendatiQ
--I
an me u S aseSSment as part 0 e IL L ER estone ecISlOn e J ProgciUp Executive Offi~ andTRAILBLAZER managexnent wiU estimate the costlsc~yenu1e impacts afteJthey receive estimates frol therevi~~ team and will decide at that ttnle whether to concUr Three ofllie fourparnal concwrences d end n the J Pro am Eiecutive Officer andTRAILBLAZER mana ement decislb _
JI~ f11We revised tli~J~port fin~ings and ~mm~dations based on the Directors
ti
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Q M ~We~~tthat the Director
J NSAIChief Central Security Service provide additional comments to this report by Janwuy 15 2005 See the Findings section oftha report for a discussion ofmanagement comments and audit responses Appendix J for a detailed audit response to the management comments and the management comments section ofthe report for the complete text of the comments
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~~ Executive Summary i
Background 1l ~ ~
l Objectives l 3 f
Findings
1 A 11-------~--- 4 +I
B The NSA Transformation I 27
1 f
Appendixes i
jA Scope and Methodology 38l j
Prior Coverage i
39 B TRAILBLAZER 40
l C
42 D
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~t ni~1 SbWes yi 62
73l I ossary 88--I
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J Audit Response to Management Comments 95 K Report Distribution 113
-1 National Seeurity Agency Central Security AgencY Contments 114
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o (U) Background e l (3J -PL 86-36Q
Q ~otlineAllegations A letter to the Defense Hotline requ ~ centat the
Inspector General ofthe Department ofDeferise audit and investi f the acquisition of the TRAILBLAZER and THlNTHREAD programsThemiddotmiddotcpmplaint charged the NSA with fraud waste abuse and a disr ent
n sb TRAILB J J
(U) National Security Agency Mission and Planning Guidance The mission of the National Security AgencyCentral Security Service (NSAlCSS) is to
J ] provide actionable Signals Intelligence to US decisionmakers from the national
to the tactical level while protectin~ the nations vital infonnation from attacks The urgency ofthe NSA CSS miSSIon is greater than ever since the September middot11til attacks and the Global Wax on Terrorism
(U~ addition defense planning guidance and the Director ofCentral
J Intelligence guidance stipulate the need for St globally vigilant intelligence system that can provide early strategic warning ofcrisis and det~ threats that is supported by capabmti~ such as an information superiority backbone
J _____ ___ _____ ~BLAZERis-~ Fm)or acq~sition p~~which fblTi j--- started in FY 2000 and 18 schedUled for tnltial operating capablhty m FY 2009 to (b) (3) -5 0 USC 403 acquire an integrated system that is composed largely ofcommercial technology (b I (3)- L 86-36 to provide the much-needed mission capability against the global networlc through
1 a series ofspiral developments The TRAILBLAZER system will deliver hardware and software system integration and program integration services toJ include
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cqubitfon Guidance for l - rz~~~SI---r~UlS~lti~O~nls~pro=V1=-r111~middot D Directive 50001
on bull an the Clinger Cohen Act of 1996 Specifically these regulations provide the framework for the acquisition ofmajor automated l information systems
(U) DoD Dlreettve 50001 The Defense Acquisition System May 12 2003 lDoD Directive 50001 establishes the management process by which the DoD provides effective affordable and timely systems to the users DoD Directive 50001 states that all acquisition professionals shall continuously develol and implement initiatives to streamline and improve the Defense l AcquisItion System Specifically this directive states that military decision authorities and program managers shall examine and as appropriate adopt innovative practices that reduce cycle time and cost and encourage teamwork l
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(U) DoD Instruction 50002 Operation oftbe Defense Acqulsit10n System May 12 2003 DoD Instruction 50002 establishes a management framework for translating mission requirements into stable affordable and well managed acquisition programs that include weapon systems and automated infonnation systems and bighly sensitive classified cryptologict and intelligence projects and programs Instruction 50002 states thatt during the initial concept design DoD Components should examine mUltiple concepts and material approaches to optimize the way that DoD provides these capabilities That approach sha1I include robust analyses that consider affordability technology maturity and responsiveness
(U) CIingermiddotCohen (Information Technology Management Reform) Act of 1996 This act requires that heads of executive agencies develop and use best pmctices in the acquisition ofinfonnation technology The process ofan flxecutive agency shaH include minimum criteria to be applied in considering whether to undertake a particular investment in infonnation systems including criteria related to the quantitatively expressed projected net risk-adjusted return on investment and specific quantitative and qualitative criteria for comparing and prioritizing alternative information systems inveshnent projects
(U) NSA1CSS Circular 5000R Acquisition Management January 9 2001 The circular implements the principles ofDoD Directive 50001 and DoD Regulation SOOO2-R within the NSAfCSS It establishes basic objectives policies procedures and responsihilities for acquisition management The circular states that for acquisition management within the Defense Cryptologic Frogram NSA should address interoperability between existing and future Service tactical Signals Intelligence systems oonneotivity between tactipal and national systems oonsider applicable technology that may satisfy the requirement and possible duplication ofongoing effort
(U) Objectives
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l (SlfSf) NSA Modernization Studies Thefirst NSA Modernization Stu4Y July 200It was conducted by The National Technology Alliance National penterfor Applied Technology after a thorough review ofon1roin~ activities withfu the TRAILBLAZER Program Management Officq 1
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(U)Summary
(U) Management Comments on the Finding and Audit Response
(UJIIOtiO) ~ementComments The NSA management stated that the draft report did not mclude significant information or included wrong or misleading information The tomplete list ofmanagement tomments is in the Management Comments section ofthis report
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(U~Audit Response We obtained revieweG and analyzed many documents and we interviewed several NSA and contractor personnel to form the conclusions in this report We included all infonnation relevant to support the report findings and rCCQmmendatlons Many people we interviewed asked not to be identified fur fear ofmanagement reprisal We gathered information from many sources to support the finding Paragraphs frequently contain information from several sources to reinforce conclusions Based on management comments we made various editorial changes to the draft report See Appendix J for a completed audit responSe to each management comment
(U) Recommendations Management Comments and Audit Response
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(U) A We recommend that the Director National Seurity AgencyChief Central Security Service
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M a ement did not understand what was meant b ] ~------------------------------------------~ iBSI)AudJtResponse Based on management comments we revised the
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(U) Congressional Concerns on Digital Network Exploitation
J (U) The National Defense Authorization Act for FY 2002 stated that
J (b) (l) (b) (3)-50 USC 403 ftfSlISij The NSA has clearly Ill8de great strides in seeking to
J bl (3)-PL 86-36 uansform itself in many areas However the NSA appeaIB to have
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J J (SNSI) en March 24 2000 the Director NSA signed the TRAlLBLAZER 1
charter to~te a new Signals Intelligence enterprise to exploit the global network ~~~with an estimated development cost Dfapproximatel as to respond to the opportunities and challenges provided by logies to design new operational practices for on-time delivery ofproducts and services in the manner that best met customer
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1 S7tsQneeds-unrestrained by past practices or past technologies TRAILBLAZER 1 had the following key responsibilities 1
bull (UtfiOOO) Ensure the execution ofa new NSA program transfonning the us Cryptologic System exploitation ofthe global network Map detailed digital network exploitation mission requirements to a cryptologic architecture and implement them and 1
bull (U~Act as the catalyst for transforming customer interaction and operational practices Begin the retooling ofNSA 1programmatically technologically and culturally to provide mission services and capabilities that are responsive to the emerging technology and customer needs 1
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was ~nauct~ by The NatiottalT~ologyAlliance 1lati0Jl1l ~enter fo Applied TechiiolQW After a thorough--re-lew rfommmg 8ctifjes Wltbm tbeJ TRAILBLAZER Pro~Management OffiCe_ __
r---lmd interviews withk~yprogram personnLebull1--th7e--NOa-=timiddoto-n--Cen--ter~fi-or---l ~ Techno1ogy team observe4~at fh~TBLAZER was noortvJ executed and bad an overly expenslv~ ______
The NSA Modernization Study recommlen~tM1ar------------I
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December 2001 The Chief Signals Intelligence Programs invited the original
study team to conduct a follow-on study to evaluate progress within the] TRAILBLAZER Program Management Office Despite noting some changes
J made in NSA management and the TRAlLBLAZER Program acquisition strategy that promised to address the conflicts and issues noted in the fust report the study team found that
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(SHS~ rRAILBLAZER was deyelope~UooUii~gwltlaIILlUI~IIIUoLIIWoIIIoltl-_- enterprise to exploit the global network l
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J J ] (U) Summary ofManagement Comments on the Audit Finding
and Audit Response
J (UIFOlJet Management Comments NSA management referred to several statements in the report that did not include all referenced documents and that some paragraphs contained wrong or misleading information The complete listJ ofmanagement comments is located in the Management Comments section of this report
J (UJIiOff6) Audit Response We obtained reviewed and analyzed many documents to form the basis for the conclusions in this report We also interviewed several NSA and contractor personnel many ofwhom asked not to be identified for fear ofmanagement reprisal We ga~ered infonnation from
J J many sources to support the finding Paragraphs frequently contain infonnation
from several sources to reinforce conclusions See Appendix] for a complete audit response to each IDlUlagement comment
J (U) Recommendations Management Comments and Audit
Response lIb) (l (b) (3)-PL 86-36
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(~RevisedRetommendatlon As a result ofmanagement cdmmei~ we
J IreV1sed Recommendations Bt and B3 to ctarlfythe intend1Use of
1 (UI1FOUQlYe recommeDd that the Director National Security J AgencyChlef Central Security Service ----------------------~~I (QDesJmatea team to 1 IJ
J (UIFOUO) Manlgement Comments The Director National Security AgencyChief Central Security Service partially concurred with the intent ofthe recommendation but was waiting for the results ofa cost and schedule impact J study before fully concurring The Program Executive Office is establishing an
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(U~) independent review team to complete the study before Milestone B scheduled for December 2004 because the study win have an effect en both the cost and schedule fer Milestone B
-(eT~~IitJlesponse Based on management comments we revised this l IrecommendatiQn The Director National Security AgencyChief Central
Security Servicecomments were responsive and the proposed actions meet the intent ofthe recomTneIJdation The immediate actions taken to designate an independent review teamt~ perfonn the assessment are commendable JMilestone B has slipped to Feb ~~maumu~wmiddotstJmiddotruamamJllSl~illJilmllL- time to com 1ete the assessmeii
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] 2 (UIFtYffOtprovide the results of the external assessment to the
TRAILBLAZER Teclmology Demonstration Platform Milestone Decision Authority (or use in making the ~estoneB decision J (Uf~Management Comments The Director National Security AgencyChief Central Security Service concurred The completion ofthe independent assessment is currently scheduled fer December 2004 J (U~AuditResponse Although the Director National Security AgencyChief Central Security Service concurred the concurrence is based on ]completing the assessment requested in Recommendation B1 We request that the National Security Agency management provide additional comments in response to the final report identifying NSA plans to eliminate the cost and ]schedule risks for completing the assessment
J (U~ _gemeat 6mments Tho Director National Security ]
- Ag~cy~ef-Gentrals~tyB~1~t~_~115urredt andjWtil that the assessment middotmiddot~middot -___teQuired m Recommendation B1 WIll De mcludedm-thL_______--
PmMilestone B scheduled for December 2004 ]- __shy
(BIfSI) Audit RDii~-Altho~gh the Director National Security AgencyChief Central Security Service concurredthe-COllcurrence is blSed on completing the assessment requested in Recommendation alBased on 1981WemClltcmmIlCllts J to Recommendation B2 this recommendation was reVis
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1 ~ twe request additional comments in response to the firuit report identitYiIig NSA pans to eliminate the1 cost and schedule risks for completing the assessment l
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Appendix A Scope and Methodology (U) ~ ~ 1 1 -
(UitFooo-We reviewed documentation dating from November 200Qlu~~gh October 2003 including background infonnation mission and operatiQUat ri~ statements concepts and operational requirements and contracting ana budget 1 documents Also we conducted interview
I 1
1 t 1
(U) We performed this audit from Apri12003 through May 2004 in accoid~ce with generally accepted government auditing standards
(UffFOUQ-Umitation to Scope Because our objective was limited to
1
evaluating a Defense Hotline allegation relatingto the acquisition ofthe TRAILBLAZER and THINTIlREAD nrolttatns we did not review the roanalement control nroenunl i 1
1 ~
l (U) Use of Computer-Processed Data We did not use computer-processed data to perform this audit
1 1 (UfPOUO) Use ofTechnical Assistance Audit Follow-up and Teehnical Support Personnel assisted us during the audit The Technical Assessment Division assisted in the analysis ofNSA acquisition I l (V) General Accounting Office High-Rlsk Area The General Accounting Office has identified several high-risk areas in DoD Thisreport provides l coverage ofthe Infrastructure Inefficiencies and Infonnation Technology Investments high-risk areas l
(U) Prior Coverage
(UIFOE1OlDuring the last 5 years the Inspector General ofthe NSA issued one l report on TRAILBLAZER that discussed improperly based contract ~st increases non-eonfonnance in the management ofthe Statement ofWark and excessive labor rates for contractor personnel No prior coverage has been l conducted on the NSA THINTHRJAD Program during the last Syears
l l
38
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o (U) Inspector General NSA
Q (U~eportNo ST~03middot0014 TRAILBLAZER lISIGINTPrograms Systems Engineering and Te()1mica1 Assistance Contract September 30 2004 o
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Appendix B TRAILBLAZER (U) ~
(U) Objectives of TRAILBLAZER and the Technical Demonstration Platform
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bull (UIFSYO) Common standards and interfaces throughout th~ NSA Reference Model
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(SlI8I) Specifically the TRAILBLAZER framework must leverage the best
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~fflou~~1~____________~~~NTHREAD Technical Review l
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(UffFOUO Summary ofStudy Recommendations The following is complete list ofrecommendations ofth~ rnINTHREAD Technical Review ~ -
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1 ~------------------------------------------------~ (tJ) NSA Modernization Follow-Up Study
lS1fSI1be NSA Modernization Study July 13 2001 AfWnn-JLlithAN~~LClAt-___- Modernization Follow Up StudytJ Dece1nbet 2oo1 t stat~1
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(U) Preliminary r~hoP THINTIIREAD was performed by the Test Technology and Evaluatiordeam in February 2002 but the formal evaluation was
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(U) Summary of TBINT~nI1 J
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1(UFet1t1) Thd IAssessment Study made the followingrecommendati-bdsimr------
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bull (U) Current THINTHREAD system develo~entprocedures were effective and a cooperative development effort was proceeding smoothly 1 with the pilot site
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(U) Finding 2 Discussion Q
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(ulP6OO) Recommendations The issues previously mentioned would not
i~______________________________~______________~ i
06 Finding 3 Discussion
iii (U) There was minimal user system technical or programmatic documentation
The existing documentation was insufficient to support the planned deployments
bull (U) There was no user documentation on how to use the tool That was inefficient and could lead to a significant increase in user error
Difficulties using the tool can also lead to an increase in support calls that
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bull (U) TIUNTHREAD did not have a clearly stated documented set of ~ mission goals or objectives There was no program plan making it
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difficult to communicate infonnation about THINTImEAD at a
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bull (U) A deqilled schedule including all activities related to the system and it deliverables before during and after deployment was not available A
J high-level schedule containing the chronology ofdeployment was if developed but a detailed schedule was essential for proper resource middot1i~1~~~t~ L 86-36 management costing and prediction
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~_o_ -~ c-~gt (U) No installation and maintenance documentation was completed for -~~ -- lt=Jit~rtpersonnel although the team was working with the pilot site
~~- to ~evelOpinstald~atiQ1 dOC~rtation ad ofinstallatioD and --lt- mampntenanceOj-entatio
~ltj- ---t~----------- I _ ---- -- -- _-
bull (U) There~unQoperational support documtanonl - Lack ofsupport documIDtation could adversely affect timely correction or - Inrohtems and CQUll1eadtcf I
(U) The effects ofminimal documentation could be overcome ifan integrated team accomplished the development and deployment ofTHINTHREAD
76 TOP SRCHTIeuroOiHNlf1l28291123
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(U1F9OO) Recommendations Develop necessary docwnentation ni4t would
o Q necessitate an increase in the personnel devoted to documenting the systerh but is
essential to the successfuJ deployment and operation ofTIIINTHREAD The lack of this documentation presented a serious risk to the successful deployment Of THINTIIREAD
(U) Finding 4 Discussion ~
o AMiJOlO) Deg10wenl pJinwas slow to ~
J bull (UFf3UOlHi8toricaUy~ the TIIINTHREAD Program Team focused on
J the Drototvoe demonstration at the Dilot site The s scone did not
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were not identified The relationsbips between work roles throu out e system s life cycle were not defined The authorities for each work role bad not been identifiedJ The organizational structure set forth by the THINIHREAD Program Team focused on system development and did not address system
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(bj (3) - P L 86-3 6 bull (U) THlNTHREAD did not identifY all the organizations requiring coordination through the various stages ofdeployment
(UiifofJoLRecommendations The findings presented a serious risk to successful deployment ofTHINTHREAD To mitigate those risks the following recommendations were suggested
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(U) Finding 5 Discnssion l (UIFOY~ Xhe customer service and user support processes for THlNTHREAD weremanualIy in~ensive and directly involved the technical staff l
bull UJ1i10U~ The quality Ofservi~_aqg~IbeCeiv----Psing ________ -==-TIUNJlIREADwmnoonsistnt SomC1I1teiVieWedby
(b(3j-=P ~ i---6636 --- TeSiTechnology and Evaluati~Jl ~eam VIewed tlie T4ITHRBAr l --==--_--0___ ~oram Tea~ to b~ unresponsIve mg~eral customa support while-----=+--- __ )xEI1enced good responsIveness to then- requests for
ttions or mOOifi~tions1 I l bull (UIIPOUQ) There was no formal trouble ticket mechanism in place Ifa
user or operator had a problem with TIiIN1HRBADs he contacted someone on the THINTHRBAD Program Team This contact depends on l personal acquaintance because no list ofTHINTHREAD personnel was readily available and there was no mechanism to locate the proper TIflNTHRBAD contact Similarly the status ofthe response to a request l could only be leamed by personal contact
bull (UllFOf167 There was no formal mechanism for managing externally lgenemted requirements to include submitting a new requirement to THINTHREAD or for following the progress ofthe work
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maintainin itb just a few userso _ middotmiddot--ihafpemon was a e to_~jer_orc ang ccording to user - - ______ requests-middotreceived (il1Ule telephone or by e-nw owever as more users
3) _PmiddotmiddotmiddotL---8middot~~ are added one person may have difficulty meeting the increased demand o - ------n-ThelackofperBQll~~~y become a problem as =INJHREAD was scaled to handle an lOcreas-eduserlo~ _ I
o o o bull (UFeYQ) A list ofWeb interface functionalities p~~pose4
was not incorporated into TIIINTHREAD 1-----1
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(UtfPOBe) There was nomiddot ptOQeSs for controllin~ and measuring operational programmatic and technical performance effectiveness ofTHINTIIREADJ once deployed
bull (UJlI6ttQ) TIIINTHREAD did not have a clearly stated set ofsystem specifications or a method to validate the THINTHREAD concept or perfonnance results Thus there was no way to determine ifthe system
79
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(euroUIFOOS] was successful or ifit failed which may lead to confusion in stakeholders understanding ofthe success ofTHINTHREAD 1bull (Uf~INTHREAD bad mechanisms for assessing progress and status within the system development phase However there were no systematic consistent mecbanisms for overall program measurement which included identifying test criteria establishing program schedules 1 and documenting a system baseline to address progress No feedback mechanisms had been identified such as risk management or contingency planning 1
bull (UIfffit6) Aside from schedule control there were no tools to measure progress towards program objectives because there were no formalized program objectives 1
bull (UFeuroffJe) THINTHREAD did not have Standards ofPerfonnance established for personnel developing THINTHREAD Iffuture 1TIlINTHREADdevelopment crosses organizational groups a common set ofStandards ofPerfonnance for personnel may become necessary
bull (UIfeOO) There was no configuration management process which could 1 pose a~sk when reporting system ~ro~lems and correcting tt~ I In addition the lack ofa configuration management prtl~ cOwa cause difficulty w~en upgrading or deploying versio~_and-aIso make rollback 1extremely nsky
bull (U17P6t1Q) Th~ fault or w~Jlgdet~on wt a~omated h necessary reactions and ~nseswere l-ot- _ _ __ l software provided ~sirtipIe wayo-ooeck sta1=-o=v=an=o=us==s==----- parameters through a W~jntefface However when an operatorrecowizcSmiddota prolemne must actively initiate conective measures l $omeumes-thafaction is a simple matter such as restarting a process At
- Qilierfifues physical hardware must be changed No corrective action bull- -- -- middotmiddotmiddotCould be executed ifan operator was not present to initiate a corrective l lt~-~~~~~gt bull a_cti_middoto_n_____________________--
i~~~p~ B~36--~--~I~_~__~_~_~~_____~~__~_~ l -
middotmiddot-middotmiddot----Q1IFOUO 1HINTHREAD had no established process for managing 1 reqUiremen~
(UfFOtJO) Reonu~dtioiis~--Thefindings that led to the recommendations l would not have revented the successfuIaepJoYment ofTIIINTHRBAD to
~ e recommendations weremadetQmP2ve=tb=e__--- e ency ofTHINTHREAD after it was deploYedll____--
The follOwing is a list ofrecommendations l L-_~--
bull (P(FQafjJ Develop processes and acquire automated tools based on cIearIx stated specifications for controlling and measuring the l ~=hfc ntipn8tand technical performance ofTHINTHREAD
80
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bull (UIfOUO) Acquire ~ ~mmercia1ly available conij~tioK~ntro system to enable verstorung rollback and configuration management0 The system should interface with the trouble ficketing systeM aitd the requirements management system to Provi9CfulJ traceabilitY
1 o bull (UiAFeUOjDevelop Stand~ ofP~6imance(iffutWeTIinfrHREADdevelopment crosses orgaruzationlUmiddotgroups) i
1 bull (UnO~A~tomate reactiqns and responses to the existin~ fulfIt ando warmng detection systemL ~ J - 1o
bull (U~ 1stBblish a requirements management process for
o uWAD that is linked tol---__~______---I
(U) Finding 7 Discussiono e number and skill mix ofTHINTHREAD nnel was
o ~1iI~~~~=~nnel required for
13 H L Seuro-36---planning-and executing-installatio so there was a lack of --cfocumentatioDtPIQviding the necessary mam anoo and help desk supporto oonfigurapon managemen~-and planningYlg~~~u1ing CpUectively thyse
o ~_ shortoommgs jeated a senous nsk to successful comp1eti0nL _ J 1 ~_ _ 1-_--I
(UlFOtJ~ Recommendations The finding presented serious risk to successful deployment ofTHINTHREAD It was recommended to continue to identify and o I=~lhord~ofsdll~=-= ired fur
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~ (U) Introduction
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(U) Needs Analysis Revisited i
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Consultative Committee for International Telegraph and Telephone (CCIT1) 1Consultative Committee for International Telegraph and Telephone is the International organization responsible for the development ofcommunications standards Now called 1 the International Telecommunication Union Telecommunication Standardization Sector
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Elettronfc Industries As~odatlon (EIA) A group that specifies eJectrical transmission standards The Electronic Jndustries Association and Telecommunications Induslry I Association have developed numerous well-bown communications standards including l Electronic Industries Association and Telecommunications IndusfIy Association 232 and I Electronic Induslrles Association and Telecommunications Induslly Aosoclaion -449 I
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l International Telecommunication Union Telecommunkation Standardization ~ lSedor (lTV-T) International body that develops worldwide standards for
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Office of the Secretary ofDefense
11 Under Secretary ofDefense for Acquisition Technology and Logistics Under Secretary ofDefense (Comptroller) Under Secretary ofDefense for Intelligence
11 Assistant Secretary ofDefense for Netwerks and Infonnation Integration
11 Other Defense Organization
Director National Security Agency Inspector GeneraJ Natienal Security Agency1] Inspector General Defense Intelligence Agency Inspector General National Geospaual-Intelligence Agency Inspector General Natienal Reconnaissance Office
II Congressional Committees and Subcommittees Chairman and
Ranking Minority Member] Senate Subcommittee onDefense Committee en Appropriations Senate Committee on Anned Services] Senate Select Committee on Intelligence House Subcommittee on Defense Committee on Appropriations House Committee on Armed Services House Permanent Select Committee on Intelligence]
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1
SECURITY CLASSIFICATION f(FiJ ( Cl 1 ] 1NSA STAFF PROCESSING FORM
TO
IKCC CONTROL NUMBERCoS DC09-017-05 THRU ACTION eXREQ SUSPENSE
~=-c=---------------------l 0 APPROVALSUBJECT KCC SUSPENSE (U) (COP liJIiCRSlIIGOMUffl Office of the IG of the Department of IX] SIGNATURE
ELEMENT SUSPENSEDefense Report on TRAILBLAZER and THINTHREAD Systems 0 INfORMATION
DISTRIBUTION
SUMMARY (u)
PIJRPOSE (GONFIDENFfAIoS202911pound3) Attached for your review and signature is the NSA consolidated response to the report from the DoD OIG on requirements for TRAILBLAZER and TIDNTHREAD systems
End als
Alb) 13l-PL lj
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OFFIce NAME AND DATE OFFICE NAME AND OAlE
ORG PHONE (Secure OATE PREPARED
DC09 963-5021 11 February 2005
SECURITY CLASSIfICATIONDerived from NSAlCSSM 1-52
DATED 23 November 2004 Declassify On 20291123
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NATIONAL SECURITY AGENCY FORT GEORGE G MEADE JiARY~AND 20755-6000
11 February 2005
MEMORANDUM FOR DEPUTY ASSISTANT INSPECTOR GENERAL FOR INTELLIGENCE AUDITS
SUBJECT (UIFOUO) DoD OIG Audit Report Requirements for the TRAILBLAZER and THINTHREAD Systems1 dated December 15 2004 (Report OS-INTELshy03 Project No D2003AL-OlOO) - INFORMATION MEMORANDUM
(UIFtJtJ9+In response to the DoD OIG request for additional information on the TRAILBLAZER and THINTHREAD report NSACSS provides consolidated corporate comments from our Signals Intelligence Directorate Acquisition Organization and Information Technology Infrastructure Services Organization (now the Infalmation Technology Directorate)
NSAlCSS Resllonse
-teTSubsequent to the DoD OIG report the TRAILBLAZER Milestone has been I scheduled for late in the fourth quarter of FYOS from the previously scheduled earlyenr MS B Accordingly this now allows sufficient time for the conduct of the assessmeftt recommended by the DoD OIG
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MARIA N OCONNOR Chief ofStaff
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CONFfDENJfAIffS9291123
NSA STAFF PRO ESSING FORM EXflEG CONTROl NUMBER J(CC CONTROl NUMBER
DA4-04-05 ACTION EXAEG SUSPENSE
-------~_______________I fi] APPROVAL SUBJECT KCC SUSPENse (U~THINTHREAD I TRAILBLAZER 1G [iJ SIGNATURE
ELEMENT SUSPENSEAUDIT REPORT 0 INFORMATION
DISTRI8UTION
SUMMARV
PURPOSE (UtFeYO) To provide the recommended PEO input to the consolidated NSA response regarding actions requested by the final Department of Defense (DoD) Office ofInspector General (OIG) report 05-INTEL-03 Requirements for TRAlLBLAZER and THINTHREAD Systems of 15 December 2004
-tarIn response to ~hidraft7 in August the Agency concurred with comments ~-Tpe following is an excerpt fr9mthose comments laquo The Program Executive Office (PEO) is ta1tingmiddotth~ lead in estab1ishin~an independent review teruv- for Derforming this assessment with the intentiqn that itsJesuIts will be completed in timet I
f IMilestone B documentationraquo
~At the time of this statement (Aug (04) the TRAILBLAZER Milestone B (MSB) was scheduled for December (04 When the final report was published the PEO Assessment had not yet begun Concerned that the assessment could not be completed in time to support a December milestone the DoD OIG requested via the final report that they be provided NSA plans to eliminate the cost and schedule risks for completing the assessment
(GtSince release of the final Audit Report a DIRNSA-Chartered Transformational Advisory Panel (TAP) recommended TRAILBLAZER be rebaselined The MBB is now planned for late Fourth Quarter FY05
COOROINAilONIAPPROVAl
OFFICE NAME AND DATE OFFICE NAME AND DATE sg~degtt~tii
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~ RECOMMENDATION
1 (UJFeiffe1 A form~lRfsk Mitigation Plan is not recommended The PEO is committed to cogducting the assessment The team is currently being fOlriled a kick-offm~gjsj)Ianned for March and the team is expected to report to MrJ II INLT May 31st The cost and schedule impact ofconducting the assessment pose very low risk to the Transformational Programs
2 (UIF8YGl Recommend the response provided as an attachment be forwarded to the DoD OIa as part of the Agencys consolidated response to the Final Report
DOCIDe 3253346
1 1 Team Members (U)
(U) The Office of the Deputy Inspector General for Intelligence ofthe Department ofDefense Intelligence-Audit prepared this report Personnel ofthe Office ofthe Inspector General ofthe Department ofDefense who contributed to the report are listed below
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INSPECTOR GENERAL
rt DEPARTMENT OF DEFENSE 400 ARMY NAVY DRIVE
ARLINGTON VIRGINIA 22202-2B84
1 1 December 15 2004
1 MEMORANDUM FOR DIRECTOR NATIONAL SECURITY AGENCY CHIEF
CENTRAL SECURlTY SERVICE (U)
SUBJECT Audit of the Requirements for the TRAILBLAZER and THINTIIREAD Systems (Report No 05-INTEL-03) (PrQjocrNo D2003AL-OJOO) (UfFOUOJ
1 (U) We are providing this report for review and comment This audit was
initiated from a Hotline complaint We considered management corrunents on a draft of1 this report in preparing the fina1 report Management conducted a security classification review ofthe draft report
1 (U) DoD Directive 76503 requires that aU recommendations be resolved
1 promptly Management nonconcurred with Recommendations AI and A2 Management partiaUy concurred with Recommendations A3 Bl bull B2 and B3 As a result ofmanagement comments we revised Recommendations A2and Bl We request that the Director National Security AgencyCentral Security Service provide additional comments on all recommendations by January 15~ 2005
1 the courtesies extended to~estaff estions should be (703) 604-11110r t
Anoendix K for the report distri ution e team members are
1 1
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1 Thomas F Gimble
1 Deputy Inspector General for
Intelligence ogm n JlQ~k 1004 DpoundCUtSSifY ell ~1U
Special Warning
1 fiji document contdnl inftn tIticm eftlllpt frem medt6pY dlseIOIYre dlil iIl4II ~Qm
1 of Inf() rmticll Act This report COllWu eeflilB tHiel_MiRed illfedElIl Alltirtg t tIle elglililladst1 bullbullul fqeti6B sf tfte Nltieftd Security Jcgeaey Utltt JeI1 he pFGteeted Ity tlfe Natioltal SeeuJiC) Act of 159 as ameudtd (56 United SCstel Code sect 49i (nctcH ReprodlietieB sr reB8val sf tes is pFGlHSited Safegaacis malt lie t~ to ut publictica or improper dflpoundkmre of the IMeFfBldoB In Uti Aport
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L Office of the Inspector General of the Department of Defense l
Report No 0S-INTEL-03 Decemb~r 152005 (Project No D2003AL-OIOO)
f - I ~ Requirements for the TRAILBLAZER and THINTIIR1poundADJ Systems (U)
J Executive Summary (U) j
(Ullli~ lIJl Who shoUld Read This Report and Why AClJuisition decisionfuakers at theJ
National Security Agency (NSA) the designated NSA Milestone Decjsion Authority for ~
J the Under Secretary ofDefense for Acquisition Technology and Logistics and personnel in the Office ofllie Assi Inte tinn should read this rt
J f eNSA- I I
I (UJ~Baekground We perfonned this audit in response 1o a Defense Hotline complaint which alleged tPat NSA actions in the development QfTHINTHREAD and TRAILBLAZERresulte(Hn fraud waste and abuse The spec~fic allegations were (I)J f TRAILBLAZER deve19pment wasted Hollars (2) NSA
f disregarded solutions to ur ent S national securi needs 3 NSA modified or
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~(UJJlI6OO) TRAILBLAZER TRAILBLAZER is an Acquisition categoryJ pro~J I IF to acquire through a series ofspiral developments an integmftoVide tbe ~ middotmuchmiddotneeded missioncapabilily against the Global Net~prkmiddot ~ 1 I bull i sect 1 [1RAIL IS g J t developed See Appendix B for further details f II lff ------- [
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(U) Mnag~niGonunents and Alldit Response The management comments form middotmiddotJhe DirectorNSNChie~ Ceptral Security Service contained significant disagreements
With the report fiiidings TheDir~or stated that the worlds most advanced cryptologlC 1 expmjs have assessed lhcsituation and~ coJtfident in the aOO NSA has taken The bull ncurred wltlithe recommendatiQ
--I
an me u S aseSSment as part 0 e IL L ER estone ecISlOn e J ProgciUp Executive Offi~ andTRAILBLAZER managexnent wiU estimate the costlsc~yenu1e impacts afteJthey receive estimates frol therevi~~ team and will decide at that ttnle whether to concUr Three ofllie fourparnal concwrences d end n the J Pro am Eiecutive Officer andTRAILBLAZER mana ement decislb _
JI~ f11We revised tli~J~port fin~ings and ~mm~dations based on the Directors
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Q M ~We~~tthat the Director
J NSAIChief Central Security Service provide additional comments to this report by Janwuy 15 2005 See the Findings section oftha report for a discussion ofmanagement comments and audit responses Appendix J for a detailed audit response to the management comments and the management comments section ofthe report for the complete text of the comments
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Il Table of Contents (U)l (Ul1roU01shy lIb) (3)-PL 86-36
~~ Executive Summary i
Background 1l ~ ~
l Objectives l 3 f
Findings
1 A 11-------~--- 4 +I
B The NSA Transformation I 27
1 f
Appendixes i
jA Scope and Methodology 38l j
Prior Coverage i
39 B TRAILBLAZER 40
l C
42 D
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58
~t ni~1 SbWes yi 62
73l I ossary 88--I
82
J Audit Response to Management Comments 95 K Report Distribution 113
-1 National Seeurity Agency Central Security AgencY Contments 114
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o (U) Background e l (3J -PL 86-36Q
Q ~otlineAllegations A letter to the Defense Hotline requ ~ centat the
Inspector General ofthe Department ofDeferise audit and investi f the acquisition of the TRAILBLAZER and THlNTHREAD programsThemiddotmiddotcpmplaint charged the NSA with fraud waste abuse and a disr ent
n sb TRAILB J J
(U) National Security Agency Mission and Planning Guidance The mission of the National Security AgencyCentral Security Service (NSAlCSS) is to
J ] provide actionable Signals Intelligence to US decisionmakers from the national
to the tactical level while protectin~ the nations vital infonnation from attacks The urgency ofthe NSA CSS miSSIon is greater than ever since the September middot11til attacks and the Global Wax on Terrorism
(U~ addition defense planning guidance and the Director ofCentral
J Intelligence guidance stipulate the need for St globally vigilant intelligence system that can provide early strategic warning ofcrisis and det~ threats that is supported by capabmti~ such as an information superiority backbone
J _____ ___ _____ ~BLAZERis-~ Fm)or acq~sition p~~which fblTi j--- started in FY 2000 and 18 schedUled for tnltial operating capablhty m FY 2009 to (b) (3) -5 0 USC 403 acquire an integrated system that is composed largely ofcommercial technology (b I (3)- L 86-36 to provide the much-needed mission capability against the global networlc through
1 a series ofspiral developments The TRAILBLAZER system will deliver hardware and software system integration and program integration services toJ include
~--------------------------------------------------~
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cqubitfon Guidance for l - rz~~~SI---r~UlS~lti~O~nls~pro=V1=-r111~middot D Directive 50001
on bull an the Clinger Cohen Act of 1996 Specifically these regulations provide the framework for the acquisition ofmajor automated l information systems
(U) DoD Dlreettve 50001 The Defense Acquisition System May 12 2003 lDoD Directive 50001 establishes the management process by which the DoD provides effective affordable and timely systems to the users DoD Directive 50001 states that all acquisition professionals shall continuously develol and implement initiatives to streamline and improve the Defense l AcquisItion System Specifically this directive states that military decision authorities and program managers shall examine and as appropriate adopt innovative practices that reduce cycle time and cost and encourage teamwork l
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(U) DoD Instruction 50002 Operation oftbe Defense Acqulsit10n System May 12 2003 DoD Instruction 50002 establishes a management framework for translating mission requirements into stable affordable and well managed acquisition programs that include weapon systems and automated infonnation systems and bighly sensitive classified cryptologict and intelligence projects and programs Instruction 50002 states thatt during the initial concept design DoD Components should examine mUltiple concepts and material approaches to optimize the way that DoD provides these capabilities That approach sha1I include robust analyses that consider affordability technology maturity and responsiveness
(U) CIingermiddotCohen (Information Technology Management Reform) Act of 1996 This act requires that heads of executive agencies develop and use best pmctices in the acquisition ofinfonnation technology The process ofan flxecutive agency shaH include minimum criteria to be applied in considering whether to undertake a particular investment in infonnation systems including criteria related to the quantitatively expressed projected net risk-adjusted return on investment and specific quantitative and qualitative criteria for comparing and prioritizing alternative information systems inveshnent projects
(U) NSA1CSS Circular 5000R Acquisition Management January 9 2001 The circular implements the principles ofDoD Directive 50001 and DoD Regulation SOOO2-R within the NSAfCSS It establishes basic objectives policies procedures and responsihilities for acquisition management The circular states that for acquisition management within the Defense Cryptologic Frogram NSA should address interoperability between existing and future Service tactical Signals Intelligence systems oonneotivity between tactipal and national systems oonsider applicable technology that may satisfy the requirement and possible duplication ofongoing effort
(U) Objectives
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(U)Summary
(U) Management Comments on the Finding and Audit Response
(UJIIOtiO) ~ementComments The NSA management stated that the draft report did not mclude significant information or included wrong or misleading information The tomplete list ofmanagement tomments is in the Management Comments section ofthis report
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(U~Audit Response We obtained revieweG and analyzed many documents and we interviewed several NSA and contractor personnel to form the conclusions in this report We included all infonnation relevant to support the report findings and rCCQmmendatlons Many people we interviewed asked not to be identified fur fear ofmanagement reprisal We gathered information from many sources to support the finding Paragraphs frequently contain information from several sources to reinforce conclusions Based on management comments we made various editorial changes to the draft report See Appendix J for a completed audit responSe to each management comment
(U) Recommendations Management Comments and Audit Response
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J (UIFOlJet Management Comments NSA management referred to several statements in the report that did not include all referenced documents and that some paragraphs contained wrong or misleading information The complete listJ ofmanagement comments is located in the Management Comments section of this report
J (UJIiOff6) Audit Response We obtained reviewed and analyzed many documents to form the basis for the conclusions in this report We also interviewed several NSA and contractor personnel many ofwhom asked not to be identified for fear ofmanagement reprisal We ga~ered infonnation from
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J (UIFOUO) Manlgement Comments The Director National Security AgencyChief Central Security Service partially concurred with the intent ofthe recommendation but was waiting for the results ofa cost and schedule impact J study before fully concurring The Program Executive Office is establishing an
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(U~) independent review team to complete the study before Milestone B scheduled for December 2004 because the study win have an effect en both the cost and schedule fer Milestone B
-(eT~~IitJlesponse Based on management comments we revised this l IrecommendatiQn The Director National Security AgencyChief Central
Security Servicecomments were responsive and the proposed actions meet the intent ofthe recomTneIJdation The immediate actions taken to designate an independent review teamt~ perfonn the assessment are commendable JMilestone B has slipped to Feb ~~maumu~wmiddotstJmiddotruamamJllSl~illJilmllL- time to com 1ete the assessmeii
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TRAILBLAZER Teclmology Demonstration Platform Milestone Decision Authority (or use in making the ~estoneB decision J (Uf~Management Comments The Director National Security AgencyChief Central Security Service concurred The completion ofthe independent assessment is currently scheduled fer December 2004 J (U~AuditResponse Although the Director National Security AgencyChief Central Security Service concurred the concurrence is based on ]completing the assessment requested in Recommendation B1 We request that the National Security Agency management provide additional comments in response to the final report identifying NSA plans to eliminate the cost and ]schedule risks for completing the assessment
J (U~ _gemeat 6mments Tho Director National Security ]
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Appendix A Scope and Methodology (U) ~ ~ 1 1 -
(UitFooo-We reviewed documentation dating from November 200Qlu~~gh October 2003 including background infonnation mission and operatiQUat ri~ statements concepts and operational requirements and contracting ana budget 1 documents Also we conducted interview
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(UffFOUQ-Umitation to Scope Because our objective was limited to
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l (U) Use of Computer-Processed Data We did not use computer-processed data to perform this audit
1 1 (UfPOUO) Use ofTechnical Assistance Audit Follow-up and Teehnical Support Personnel assisted us during the audit The Technical Assessment Division assisted in the analysis ofNSA acquisition I l (V) General Accounting Office High-Rlsk Area The General Accounting Office has identified several high-risk areas in DoD Thisreport provides l coverage ofthe Infrastructure Inefficiencies and Infonnation Technology Investments high-risk areas l
(U) Prior Coverage
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(U) Objectives of TRAILBLAZER and the Technical Demonstration Platform
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Appendix F Technical Studies (U) 1
~fflou~~1~____________~~~NTHREAD Technical Review l
1 (b) (l) 1 (b (3-IL 8~-36
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(UffFOUO Summary ofStudy Recommendations The following is complete list ofrecommendations ofth~ rnINTHREAD Technical Review ~ -
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1 ~------------------------------------------------~ (tJ) NSA Modernization Follow-Up Study
lS1fSI1be NSA Modernization Study July 13 2001 AfWnn-JLlithAN~~LClAt-___- Modernization Follow Up StudytJ Dece1nbet 2oo1 t stat~1
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(U) Preliminary r~hoP THINTIIREAD was performed by the Test Technology and Evaluatiordeam in February 2002 but the formal evaluation was
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(U) Summary of TBINT~nI1 J
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1 (U) General Recommendations
1(UFet1t1) Thd IAssessment Study made the followingrecommendati-bdsimr------
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rsc~=t~~1~UmiOV91 ksectxfind~nted 1 U) Finding 1 Discussion 1
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bull (U) Current THINTHREAD system develo~entprocedures were effective and a cooperative development effort was proceeding smoothly 1 with the pilot site
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Q (U) Recommendations There were no reconunendations
(U) Finding 2 Discussion Q
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(U) Recommendations See the recommendations for rnlNTHRBAD Findings I 3 through 7 to address these risks
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(ulP6OO) Recommendations The issues previously mentioned would not
i~______________________________~______________~ i
06 Finding 3 Discussion
iii (U) There was minimal user system technical or programmatic documentation
The existing documentation was insufficient to support the planned deployments
bull (U) There was no user documentation on how to use the tool That was inefficient and could lead to a significant increase in user error
Difficulties using the tool can also lead to an increase in support calls that
l drained project resources
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bull (U) TIUNTHREAD did not have a clearly stated documented set of ~ mission goals or objectives There was no program plan making it
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difficult to communicate infonnation about THINTImEAD at a
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bull (U) A deqilled schedule including all activities related to the system and it deliverables before during and after deployment was not available A
J high-level schedule containing the chronology ofdeployment was if developed but a detailed schedule was essential for proper resource middot1i~1~~~t~ L 86-36 management costing and prediction
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~_o_ -~ c-~gt (U) No installation and maintenance documentation was completed for -~~ -- lt=Jit~rtpersonnel although the team was working with the pilot site
~~- to ~evelOpinstald~atiQ1 dOC~rtation ad ofinstallatioD and --lt- mampntenanceOj-entatio
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bull (U) There~unQoperational support documtanonl - Lack ofsupport documIDtation could adversely affect timely correction or - Inrohtems and CQUll1eadtcf I
(U) The effects ofminimal documentation could be overcome ifan integrated team accomplished the development and deployment ofTHINTHREAD
76 TOP SRCHTIeuroOiHNlf1l28291123
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(U1F9OO) Recommendations Develop necessary docwnentation ni4t would
o Q necessitate an increase in the personnel devoted to documenting the systerh but is
essential to the successfuJ deployment and operation ofTIIINTHREAD The lack of this documentation presented a serious risk to the successful deployment Of THINTIIREAD
(U) Finding 4 Discussion ~
o AMiJOlO) Deg10wenl pJinwas slow to ~
J bull (UFf3UOlHi8toricaUy~ the TIIINTHREAD Program Team focused on
J the Drototvoe demonstration at the Dilot site The s scone did not
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were not identified The relationsbips between work roles throu out e system s life cycle were not defined The authorities for each work role bad not been identifiedJ The organizational structure set forth by the THINIHREAD Program Team focused on system development and did not address system
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J 77 TOP SBCRRTApoundOAHNTlllN911a3J
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W~) dw1oymentl I A ]ThemmTHRBAD Program Team was defiriirig the
_l~-~~~~~~~~~l a~iionalwork roles necessary for deployuienl activities I
(bj (3) - P L 86-3 6 bull (U) THlNTHREAD did not identifY all the organizations requiring coordination through the various stages ofdeployment
(UiifofJoLRecommendations The findings presented a serious risk to successful deployment ofTHINTHREAD To mitigate those risks the following recommendations were suggested
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(U) Finding 5 Discnssion l (UIFOY~ Xhe customer service and user support processes for THlNTHREAD weremanualIy in~ensive and directly involved the technical staff l
bull UJ1i10U~ The quality Ofservi~_aqg~IbeCeiv----Psing ________ -==-TIUNJlIREADwmnoonsistnt SomC1I1teiVieWedby
(b(3j-=P ~ i---6636 --- TeSiTechnology and Evaluati~Jl ~eam VIewed tlie T4ITHRBAr l --==--_--0___ ~oram Tea~ to b~ unresponsIve mg~eral customa support while-----=+--- __ )xEI1enced good responsIveness to then- requests for
ttions or mOOifi~tions1 I l bull (UIIPOUQ) There was no formal trouble ticket mechanism in place Ifa
user or operator had a problem with TIiIN1HRBADs he contacted someone on the THINTHRBAD Program Team This contact depends on l personal acquaintance because no list ofTHINTHREAD personnel was readily available and there was no mechanism to locate the proper TIflNTHRBAD contact Similarly the status ofthe response to a request l could only be leamed by personal contact
bull (UllFOf167 There was no formal mechanism for managing externally lgenemted requirements to include submitting a new requirement to THINTHREAD or for following the progress ofthe work
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maintainin itb just a few userso _ middotmiddot--ihafpemon was a e to_~jer_orc ang ccording to user - - ______ requests-middotreceived (il1Ule telephone or by e-nw owever as more users
3) _PmiddotmiddotmiddotL---8middot~~ are added one person may have difficulty meeting the increased demand o - ------n-ThelackofperBQll~~~y become a problem as =INJHREAD was scaled to handle an lOcreas-eduserlo~ _ I
o o o bull (UFeYQ) A list ofWeb interface functionalities p~~pose4
was not incorporated into TIIINTHREAD 1-----1
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(UtfPOBe) There was nomiddot ptOQeSs for controllin~ and measuring operational programmatic and technical performance effectiveness ofTHINTIIREADJ once deployed
bull (UJlI6ttQ) TIIINTHREAD did not have a clearly stated set ofsystem specifications or a method to validate the THINTHREAD concept or perfonnance results Thus there was no way to determine ifthe system
79
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(euroUIFOOS] was successful or ifit failed which may lead to confusion in stakeholders understanding ofthe success ofTHINTHREAD 1bull (Uf~INTHREAD bad mechanisms for assessing progress and status within the system development phase However there were no systematic consistent mecbanisms for overall program measurement which included identifying test criteria establishing program schedules 1 and documenting a system baseline to address progress No feedback mechanisms had been identified such as risk management or contingency planning 1
bull (UIfffit6) Aside from schedule control there were no tools to measure progress towards program objectives because there were no formalized program objectives 1
bull (UFeuroffJe) THINTHREAD did not have Standards ofPerfonnance established for personnel developing THINTHREAD Iffuture 1TIlINTHREADdevelopment crosses organizational groups a common set ofStandards ofPerfonnance for personnel may become necessary
bull (UIfeOO) There was no configuration management process which could 1 pose a~sk when reporting system ~ro~lems and correcting tt~ I In addition the lack ofa configuration management prtl~ cOwa cause difficulty w~en upgrading or deploying versio~_and-aIso make rollback 1extremely nsky
bull (U17P6t1Q) Th~ fault or w~Jlgdet~on wt a~omated h necessary reactions and ~nseswere l-ot- _ _ __ l software provided ~sirtipIe wayo-ooeck sta1=-o=v=an=o=us==s==----- parameters through a W~jntefface However when an operatorrecowizcSmiddota prolemne must actively initiate conective measures l $omeumes-thafaction is a simple matter such as restarting a process At
- Qilierfifues physical hardware must be changed No corrective action bull- -- -- middotmiddotmiddotCould be executed ifan operator was not present to initiate a corrective l lt~-~~~~~gt bull a_cti_middoto_n_____________________--
i~~~p~ B~36--~--~I~_~__~_~_~~_____~~__~_~ l -
middotmiddot-middotmiddot----Q1IFOUO 1HINTHREAD had no established process for managing 1 reqUiremen~
(UfFOtJO) Reonu~dtioiis~--Thefindings that led to the recommendations l would not have revented the successfuIaepJoYment ofTIIINTHRBAD to
~ e recommendations weremadetQmP2ve=tb=e__--- e ency ofTHINTHREAD after it was deploYedll____--
The follOwing is a list ofrecommendations l L-_~--
bull (P(FQafjJ Develop processes and acquire automated tools based on cIearIx stated specifications for controlling and measuring the l ~=hfc ntipn8tand technical performance ofTHINTHREAD
80
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bull (UIfOUO) Acquire ~ ~mmercia1ly available conij~tioK~ntro system to enable verstorung rollback and configuration management0 The system should interface with the trouble ficketing systeM aitd the requirements management system to Provi9CfulJ traceabilitY
1 o bull (UiAFeUOjDevelop Stand~ ofP~6imance(iffutWeTIinfrHREADdevelopment crosses orgaruzationlUmiddotgroups) i
1 bull (UnO~A~tomate reactiqns and responses to the existin~ fulfIt ando warmng detection systemL ~ J - 1o
bull (U~ 1stBblish a requirements management process for
o uWAD that is linked tol---__~______---I
(U) Finding 7 Discussiono e number and skill mix ofTHINTHREAD nnel was
o ~1iI~~~~=~nnel required for
13 H L Seuro-36---planning-and executing-installatio so there was a lack of --cfocumentatioDtPIQviding the necessary mam anoo and help desk supporto oonfigurapon managemen~-and planningYlg~~~u1ing CpUectively thyse
o ~_ shortoommgs jeated a senous nsk to successful comp1eti0nL _ J 1 ~_ _ 1-_--I
(UlFOtJ~ Recommendations The finding presented serious risk to successful deployment ofTHINTHREAD It was recommended to continue to identify and o I=~lhord~ofsdll~=-= ired fur
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81
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~ (U) Introduction
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(U) Needs Analysis Revisited i
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~ The followin section outlines the strenJ
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IThotlblwiJfiiinhetica1 soenariiuiiaiiidliowr--------- ay produce a more effective result in terms ofigtOth complexity and cost
A ew assumptions apply
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1 NCLASSIFIEDJlFOR OFFleb~l uscAppendix I Glossary (U) BY COMPILATON WHEN ASSO
WITH REST OF D-OCU=t=~IE=N--T__---J 1 (U) r------------------------7b)-(3~)--ampP 86middot36 1
1 l 1 1 1 1
Consultative Committee for International Telegraph and Telephone (CCIT1) 1Consultative Committee for International Telegraph and Telephone is the International organization responsible for the development ofcommunications standards Now called 1 the International Telecommunication Union Telecommunication Standardization Sector
(b)(3) PL 86middot36
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Elettronfc Industries As~odatlon (EIA) A group that specifies eJectrical transmission standards The Electronic Jndustries Association and Telecommunications Induslry I Association have developed numerous well-bown communications standards including l Electronic Industries Association and Telecommunications IndusfIy Association 232 and I Electronic Induslrles Association and Telecommunications Induslly Aosoclaion -449 I
(U)
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l International Telecommunication Union Telecommunkation Standardization ~ lSedor (lTV-T) International body that develops worldwide standards for
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telecommunications teclmologies The International Telecommunication Union Telecommunication Standardization Sector carries out the functions ofthe former Consultative Committee for International Telegraph and Telephone l
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International Organization for Standardization (ISO) International organization that is responsible for awide range ofstaruiards including those relevant to networking The l International Organization for Standardization developed the Open System Interconnection reference model a popular networking reference model
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I (b) (3) -T Institute of Electrical and Electronics Engineers (IEEE) 8023 Institute ofEIectrical and Electronics Engineers LAN protocol that specifies an implementation ofthe physical layer and the MAC sublayer ofthe data link layer Institute afElectrical and Electronics Engineers 8023 uses Carrier Sense Multiple Access Collision Detect access at a variety ofspeeds over a variety of physical media Extensions to the I Institute ofElectrical and Electronics Engineers 8023 standard specify implementations for Fast Ethernet
(b)3)-P L 86-36
Open System Interconnedion (OSI) International standard~tion program created by International Organization for Standardization and International Telecommunication Union Telecommunication Standardization Sector to develop standards for data networking that facilitate multimiddotvendor equipment interoperability
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Telecommunications Industry Associlltfon (IIA) Organization that developsstandards relating to telecommunications technologies Together the TelecommWlications Industry Association and the Electronic Industries Association have fOlDlalized standards such as Electronic Industries Association and Telecommunications Industry Association M232 for the electrical characteristics ofdata transmission
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Appendix J ~esponse to Management Comments (U)
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NSA will a ee to conduct an independent e believe that it will validate all of the assertions niMein our reSpons--egoeImiddotmiddot tOf General recommendations
F=~criedd~~fffl it~ th~~~~nH1p nlan~uA wad dl Iill Iwhich was conaucteaIn an openmiddot ~on1o proVlae ffi~esl oenent lor Agency mISSIOn and customers More Importantly tfiere h~ been no eVldence
documented during this Office ofInspector General investigauQl1 that supports that complaint -~ lib) [3J-lL 86-36 ~
(8181) Audit Response The report doi ~l million e TRAILBLAZE
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(U~anagement Comments NSA recommended that the audit report emphasis NSAs cooperation and responsiveness to Congress
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(UIFOU8) Management Comments NSA recommended that the audit report emphasis that the THINTHRBAD capability is valued by NSA
99
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(SSij Audit Response We acknowledge the fact that the current scope ofthe TRAILBLAZER is to provide the infonnation technology ftamework for the entire
104
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(euro) Management Comments NSA managements stated that TRAILBLAZER and ~e Technology Demonstration Platfonn have invested considerable effort to build a signal intelligence architecture that is open and scaleable applies DoQ commercial and NSA
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Ldelines oDoD Directive 50002~
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(Sl8I)Management Comments NSA management comments stated that the Executive ~f
Summarys assertion that NSA disregarded solutions to Uf2ent national security needs ~) (1) is not accurate ~p) (3) -50 USC 40 (1lt) (3)-PL 86-3
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(UJ~anagementComments NSAmanag~ent comments stated th~t fue TRAILBLAZER has long-established plans for external assessment ofthe Techlology Demonstration Platfonn for prepamtion for IfliJestone B The Independent Veri1jcAtion and Validation (JVampV) of29 Evaluation Criteria is being conducted by NSAs independent Office ofCorporate Assessmmits Test and Technical Evaluation eleimthlt (TIE) The Early Operational Assessmentiand Operational Assessment will be perfonned by JlTC which had establisheda presence in TRAILBLAZER spaces ~y November 2003 Results ofboth activitieS will be provided to the Milestone Deciaio4 Authority before Milestone B
i (U~ Audit Response TRAILBLAZER postponed Milestone B schedul~ Ifor December 2004 because of technical issues with the Technology Demonstration Platfonn February 200S is the earllest date that TRAILBLAZER will be readr fr MILESTONE B I ~
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112
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Office of the Secretary ofDefense
11 Under Secretary ofDefense for Acquisition Technology and Logistics Under Secretary ofDefense (Comptroller) Under Secretary ofDefense for Intelligence
11 Assistant Secretary ofDefense for Netwerks and Infonnation Integration
11 Other Defense Organization
Director National Security Agency Inspector GeneraJ Natienal Security Agency1] Inspector General Defense Intelligence Agency Inspector General National Geospaual-Intelligence Agency Inspector General Natienal Reconnaissance Office
II Congressional Committees and Subcommittees Chairman and
Ranking Minority Member] Senate Subcommittee onDefense Committee en Appropriations Senate Committee on Anned Services] Senate Select Committee on Intelligence House Subcommittee on Defense Committee on Appropriations House Committee on Armed Services House Permanent Select Committee on Intelligence]
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1
SECURITY CLASSIFICATION f(FiJ ( Cl 1 ] 1NSA STAFF PROCESSING FORM
TO
IKCC CONTROL NUMBERCoS DC09-017-05 THRU ACTION eXREQ SUSPENSE
~=-c=---------------------l 0 APPROVALSUBJECT KCC SUSPENSE (U) (COP liJIiCRSlIIGOMUffl Office of the IG of the Department of IX] SIGNATURE
ELEMENT SUSPENSEDefense Report on TRAILBLAZER and THINTHREAD Systems 0 INfORMATION
DISTRIBUTION
SUMMARY (u)
PIJRPOSE (GONFIDENFfAIoS202911pound3) Attached for your review and signature is the NSA consolidated response to the report from the DoD OIG on requirements for TRAILBLAZER and TIDNTHREAD systems
End als
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86-36
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OFFIce NAME AND DATE OFFICE NAME AND OAlE
ORG PHONE (Secure OATE PREPARED
DC09 963-5021 11 February 2005
SECURITY CLASSIfICATIONDerived from NSAlCSSM 1-52
DATED 23 November 2004 Declassify On 20291123
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NATIONAL SECURITY AGENCY FORT GEORGE G MEADE JiARY~AND 20755-6000
11 February 2005
MEMORANDUM FOR DEPUTY ASSISTANT INSPECTOR GENERAL FOR INTELLIGENCE AUDITS
SUBJECT (UIFOUO) DoD OIG Audit Report Requirements for the TRAILBLAZER and THINTHREAD Systems1 dated December 15 2004 (Report OS-INTELshy03 Project No D2003AL-OlOO) - INFORMATION MEMORANDUM
(UIFtJtJ9+In response to the DoD OIG request for additional information on the TRAILBLAZER and THINTHREAD report NSACSS provides consolidated corporate comments from our Signals Intelligence Directorate Acquisition Organization and Information Technology Infrastructure Services Organization (now the Infalmation Technology Directorate)
NSAlCSS Resllonse
-teTSubsequent to the DoD OIG report the TRAILBLAZER Milestone has been I scheduled for late in the fourth quarter of FYOS from the previously scheduled earlyenr MS B Accordingly this now allows sufficient time for the conduct of the assessmeftt recommended by the DoD OIG
e lIla ze r
b M 2005 Y ay - i
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If_ bave anY QUestiODrr need additional information Pbgt6~~t
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MARIA N OCONNOR Chief ofStaff
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NSA STAFF PRO ESSING FORM EXflEG CONTROl NUMBER J(CC CONTROl NUMBER
DA4-04-05 ACTION EXAEG SUSPENSE
-------~_______________I fi] APPROVAL SUBJECT KCC SUSPENse (U~THINTHREAD I TRAILBLAZER 1G [iJ SIGNATURE
ELEMENT SUSPENSEAUDIT REPORT 0 INFORMATION
DISTRI8UTION
SUMMARV
PURPOSE (UtFeYO) To provide the recommended PEO input to the consolidated NSA response regarding actions requested by the final Department of Defense (DoD) Office ofInspector General (OIG) report 05-INTEL-03 Requirements for TRAlLBLAZER and THINTHREAD Systems of 15 December 2004
-tarIn response to ~hidraft7 in August the Agency concurred with comments ~-Tpe following is an excerpt fr9mthose comments laquo The Program Executive Office (PEO) is ta1tingmiddotth~ lead in estab1ishin~an independent review teruv- for Derforming this assessment with the intentiqn that itsJesuIts will be completed in timet I
f IMilestone B documentationraquo
~At the time of this statement (Aug (04) the TRAILBLAZER Milestone B (MSB) was scheduled for December (04 When the final report was published the PEO Assessment had not yet begun Concerned that the assessment could not be completed in time to support a December milestone the DoD OIG requested via the final report that they be provided NSA plans to eliminate the cost and schedule risks for completing the assessment
(GtSince release of the final Audit Report a DIRNSA-Chartered Transformational Advisory Panel (TAP) recommended TRAILBLAZER be rebaselined The MBB is now planned for late Fourth Quarter FY05
COOROINAilONIAPPROVAl
OFFICE NAME AND DATE OFFICE NAME AND DATE sg~degtt~tii
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~ RECOMMENDATION
1 (UJFeiffe1 A form~lRfsk Mitigation Plan is not recommended The PEO is committed to cogducting the assessment The team is currently being fOlriled a kick-offm~gjsj)Ianned for March and the team is expected to report to MrJ II INLT May 31st The cost and schedule impact ofconducting the assessment pose very low risk to the Transformational Programs
2 (UIF8YGl Recommend the response provided as an attachment be forwarded to the DoD OIa as part of the Agencys consolidated response to the Final Report
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1 1 Team Members (U)
(U) The Office of the Deputy Inspector General for Intelligence ofthe Department ofDefense Intelligence-Audit prepared this report Personnel ofthe Office ofthe Inspector General ofthe Department ofDefense who contributed to the report are listed below
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L Office of the Inspector General of the Department of Defense l
Report No 0S-INTEL-03 Decemb~r 152005 (Project No D2003AL-OIOO)
f - I ~ Requirements for the TRAILBLAZER and THINTIIR1poundADJ Systems (U)
J Executive Summary (U) j
(Ullli~ lIJl Who shoUld Read This Report and Why AClJuisition decisionfuakers at theJ
National Security Agency (NSA) the designated NSA Milestone Decjsion Authority for ~
J the Under Secretary ofDefense for Acquisition Technology and Logistics and personnel in the Office ofllie Assi Inte tinn should read this rt
J f eNSA- I I
I (UJ~Baekground We perfonned this audit in response 1o a Defense Hotline complaint which alleged tPat NSA actions in the development QfTHINTHREAD and TRAILBLAZERresulte(Hn fraud waste and abuse The spec~fic allegations were (I)J f TRAILBLAZER deve19pment wasted Hollars (2) NSA
f disregarded solutions to ur ent S national securi needs 3 NSA modified or
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~(UJJlI6OO) TRAILBLAZER TRAILBLAZER is an Acquisition categoryJ pro~J I IF to acquire through a series ofspiral developments an integmftoVide tbe ~ middotmuchmiddotneeded missioncapabilily against the Global Net~prkmiddot ~ 1 I bull i sect 1 [1RAIL IS g J t developed See Appendix B for further details f II lff ------- [
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(U) Mnag~niGonunents and Alldit Response The management comments form middotmiddotJhe DirectorNSNChie~ Ceptral Security Service contained significant disagreements
With the report fiiidings TheDir~or stated that the worlds most advanced cryptologlC 1 expmjs have assessed lhcsituation and~ coJtfident in the aOO NSA has taken The bull ncurred wltlithe recommendatiQ
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an me u S aseSSment as part 0 e IL L ER estone ecISlOn e J ProgciUp Executive Offi~ andTRAILBLAZER managexnent wiU estimate the costlsc~yenu1e impacts afteJthey receive estimates frol therevi~~ team and will decide at that ttnle whether to concUr Three ofllie fourparnal concwrences d end n the J Pro am Eiecutive Officer andTRAILBLAZER mana ement decislb _
JI~ f11We revised tli~J~port fin~ings and ~mm~dations based on the Directors
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J NSAIChief Central Security Service provide additional comments to this report by Janwuy 15 2005 See the Findings section oftha report for a discussion ofmanagement comments and audit responses Appendix J for a detailed audit response to the management comments and the management comments section ofthe report for the complete text of the comments
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Il Table of Contents (U)l (Ul1roU01shy lIb) (3)-PL 86-36
~~ Executive Summary i
Background 1l ~ ~
l Objectives l 3 f
Findings
1 A 11-------~--- 4 +I
B The NSA Transformation I 27
1 f
Appendixes i
jA Scope and Methodology 38l j
Prior Coverage i
39 B TRAILBLAZER 40
l C
42 D
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58
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73l I ossary 88--I
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J Audit Response to Management Comments 95 K Report Distribution 113
-1 National Seeurity Agency Central Security AgencY Contments 114
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Q ~otlineAllegations A letter to the Defense Hotline requ ~ centat the
Inspector General ofthe Department ofDeferise audit and investi f the acquisition of the TRAILBLAZER and THlNTHREAD programsThemiddotmiddotcpmplaint charged the NSA with fraud waste abuse and a disr ent
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(U) National Security Agency Mission and Planning Guidance The mission of the National Security AgencyCentral Security Service (NSAlCSS) is to
J ] provide actionable Signals Intelligence to US decisionmakers from the national
to the tactical level while protectin~ the nations vital infonnation from attacks The urgency ofthe NSA CSS miSSIon is greater than ever since the September middot11til attacks and the Global Wax on Terrorism
(U~ addition defense planning guidance and the Director ofCentral
J Intelligence guidance stipulate the need for St globally vigilant intelligence system that can provide early strategic warning ofcrisis and det~ threats that is supported by capabmti~ such as an information superiority backbone
J _____ ___ _____ ~BLAZERis-~ Fm)or acq~sition p~~which fblTi j--- started in FY 2000 and 18 schedUled for tnltial operating capablhty m FY 2009 to (b) (3) -5 0 USC 403 acquire an integrated system that is composed largely ofcommercial technology (b I (3)- L 86-36 to provide the much-needed mission capability against the global networlc through
1 a series ofspiral developments The TRAILBLAZER system will deliver hardware and software system integration and program integration services toJ include
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on bull an the Clinger Cohen Act of 1996 Specifically these regulations provide the framework for the acquisition ofmajor automated l information systems
(U) DoD Dlreettve 50001 The Defense Acquisition System May 12 2003 lDoD Directive 50001 establishes the management process by which the DoD provides effective affordable and timely systems to the users DoD Directive 50001 states that all acquisition professionals shall continuously develol and implement initiatives to streamline and improve the Defense l AcquisItion System Specifically this directive states that military decision authorities and program managers shall examine and as appropriate adopt innovative practices that reduce cycle time and cost and encourage teamwork l
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(U) DoD Instruction 50002 Operation oftbe Defense Acqulsit10n System May 12 2003 DoD Instruction 50002 establishes a management framework for translating mission requirements into stable affordable and well managed acquisition programs that include weapon systems and automated infonnation systems and bighly sensitive classified cryptologict and intelligence projects and programs Instruction 50002 states thatt during the initial concept design DoD Components should examine mUltiple concepts and material approaches to optimize the way that DoD provides these capabilities That approach sha1I include robust analyses that consider affordability technology maturity and responsiveness
(U) CIingermiddotCohen (Information Technology Management Reform) Act of 1996 This act requires that heads of executive agencies develop and use best pmctices in the acquisition ofinfonnation technology The process ofan flxecutive agency shaH include minimum criteria to be applied in considering whether to undertake a particular investment in infonnation systems including criteria related to the quantitatively expressed projected net risk-adjusted return on investment and specific quantitative and qualitative criteria for comparing and prioritizing alternative information systems inveshnent projects
(U) NSA1CSS Circular 5000R Acquisition Management January 9 2001 The circular implements the principles ofDoD Directive 50001 and DoD Regulation SOOO2-R within the NSAfCSS It establishes basic objectives policies procedures and responsihilities for acquisition management The circular states that for acquisition management within the Defense Cryptologic Frogram NSA should address interoperability between existing and future Service tactical Signals Intelligence systems oonneotivity between tactipal and national systems oonsider applicable technology that may satisfy the requirement and possible duplication ofongoing effort
(U) Objectives
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l (SlfSf) NSA Modernization Studies Thefirst NSA Modernization Stu4Y July 200It was conducted by The National Technology Alliance National penterfor Applied Technology after a thorough review ofon1roin~ activities withfu the TRAILBLAZER Program Management Officq 1
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(U)Summary
(U) Management Comments on the Finding and Audit Response
(UJIIOtiO) ~ementComments The NSA management stated that the draft report did not mclude significant information or included wrong or misleading information The tomplete list ofmanagement tomments is in the Management Comments section ofthis report
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(U~Audit Response We obtained revieweG and analyzed many documents and we interviewed several NSA and contractor personnel to form the conclusions in this report We included all infonnation relevant to support the report findings and rCCQmmendatlons Many people we interviewed asked not to be identified fur fear ofmanagement reprisal We gathered information from many sources to support the finding Paragraphs frequently contain information from several sources to reinforce conclusions Based on management comments we made various editorial changes to the draft report See Appendix J for a completed audit responSe to each management comment
(U) Recommendations Management Comments and Audit Response
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~~Durin FY 2901 NSA initial and fo110 internal teclmicalreviews(b) (1) (bl (3)-50 USC 403 l
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(U) TRAILBLAZER Acquisition
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(SHS~ rRAILBLAZER was deyelope~UooUii~gwltlaIILlUI~IIIUoLIIWoIIIoltl-_- enterprise to exploit the global network l
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[J
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J J ] (U) Summary ofManagement Comments on the Audit Finding
and Audit Response
J (UIFOlJet Management Comments NSA management referred to several statements in the report that did not include all referenced documents and that some paragraphs contained wrong or misleading information The complete listJ ofmanagement comments is located in the Management Comments section of this report
J (UJIiOff6) Audit Response We obtained reviewed and analyzed many documents to form the basis for the conclusions in this report We also interviewed several NSA and contractor personnel many ofwhom asked not to be identified for fear ofmanagement reprisal We ga~ered infonnation from
J J many sources to support the finding Paragraphs frequently contain infonnation
from several sources to reinforce conclusions See Appendix] for a complete audit response to each IDlUlagement comment
J (U) Recommendations Management Comments and Audit
Response lIb) (l (b) (3)-PL 86-36
j (b) (5)
(~RevisedRetommendatlon As a result ofmanagement cdmmei~ we
J IreV1sed Recommendations Bt and B3 to ctarlfythe intend1Use of
1 (UI1FOUQlYe recommeDd that the Director National Security J AgencyChlef Central Security Service ----------------------~~I (QDesJmatea team to 1 IJ
J (UIFOUO) Manlgement Comments The Director National Security AgencyChief Central Security Service partially concurred with the intent ofthe recommendation but was waiting for the results ofa cost and schedule impact J study before fully concurring The Program Executive Office is establishing an
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(U~) independent review team to complete the study before Milestone B scheduled for December 2004 because the study win have an effect en both the cost and schedule fer Milestone B
-(eT~~IitJlesponse Based on management comments we revised this l IrecommendatiQn The Director National Security AgencyChief Central
Security Servicecomments were responsive and the proposed actions meet the intent ofthe recomTneIJdation The immediate actions taken to designate an independent review teamt~ perfonn the assessment are commendable JMilestone B has slipped to Feb ~~maumu~wmiddotstJmiddotruamamJllSl~illJilmllL- time to com 1ete the assessmeii
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] 2 (UIFtYffOtprovide the results of the external assessment to the
TRAILBLAZER Teclmology Demonstration Platform Milestone Decision Authority (or use in making the ~estoneB decision J (Uf~Management Comments The Director National Security AgencyChief Central Security Service concurred The completion ofthe independent assessment is currently scheduled fer December 2004 J (U~AuditResponse Although the Director National Security AgencyChief Central Security Service concurred the concurrence is based on ]completing the assessment requested in Recommendation B1 We request that the National Security Agency management provide additional comments in response to the final report identifying NSA plans to eliminate the cost and ]schedule risks for completing the assessment
J (U~ _gemeat 6mments Tho Director National Security ]
- Ag~cy~ef-Gentrals~tyB~1~t~_~115urredt andjWtil that the assessment middotmiddot~middot -___teQuired m Recommendation B1 WIll De mcludedm-thL_______--
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1 ~ twe request additional comments in response to the firuit report identitYiIig NSA pans to eliminate the1 cost and schedule risks for completing the assessment l
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Appendix A Scope and Methodology (U) ~ ~ 1 1 -
(UitFooo-We reviewed documentation dating from November 200Qlu~~gh October 2003 including background infonnation mission and operatiQUat ri~ statements concepts and operational requirements and contracting ana budget 1 documents Also we conducted interview
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(U) We performed this audit from Apri12003 through May 2004 in accoid~ce with generally accepted government auditing standards
(UffFOUQ-Umitation to Scope Because our objective was limited to
1
evaluating a Defense Hotline allegation relatingto the acquisition ofthe TRAILBLAZER and THINTIlREAD nrolttatns we did not review the roanalement control nroenunl i 1
1 ~
l (U) Use of Computer-Processed Data We did not use computer-processed data to perform this audit
1 1 (UfPOUO) Use ofTechnical Assistance Audit Follow-up and Teehnical Support Personnel assisted us during the audit The Technical Assessment Division assisted in the analysis ofNSA acquisition I l (V) General Accounting Office High-Rlsk Area The General Accounting Office has identified several high-risk areas in DoD Thisreport provides l coverage ofthe Infrastructure Inefficiencies and Infonnation Technology Investments high-risk areas l
(U) Prior Coverage
(UIFOE1OlDuring the last 5 years the Inspector General ofthe NSA issued one l report on TRAILBLAZER that discussed improperly based contract ~st increases non-eonfonnance in the management ofthe Statement ofWark and excessive labor rates for contractor personnel No prior coverage has been l conducted on the NSA THINTHRJAD Program during the last Syears
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o (U) Inspector General NSA
Q (U~eportNo ST~03middot0014 TRAILBLAZER lISIGINTPrograms Systems Engineering and Te()1mica1 Assistance Contract September 30 2004 o
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Appendix B TRAILBLAZER (U) ~
(U) Objectives of TRAILBLAZER and the Technical Demonstration Platform
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lS1fSI1be NSA Modernization Study July 13 2001 AfWnn-JLlithAN~~LClAt-___- Modernization Follow Up StudytJ Dece1nbet 2oo1 t stat~1
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i~______________________________~______________~ i
06 Finding 3 Discussion
iii (U) There was minimal user system technical or programmatic documentation
The existing documentation was insufficient to support the planned deployments
bull (U) There was no user documentation on how to use the tool That was inefficient and could lead to a significant increase in user error
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bull (U) TIUNTHREAD did not have a clearly stated documented set of ~ mission goals or objectives There was no program plan making it
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bull (U) A deqilled schedule including all activities related to the system and it deliverables before during and after deployment was not available A
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bull (U) There~unQoperational support documtanonl - Lack ofsupport documIDtation could adversely affect timely correction or - Inrohtems and CQUll1eadtcf I
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(U1F9OO) Recommendations Develop necessary docwnentation ni4t would
o Q necessitate an increase in the personnel devoted to documenting the systerh but is
essential to the successfuJ deployment and operation ofTIIINTHREAD The lack of this documentation presented a serious risk to the successful deployment Of THINTIIREAD
(U) Finding 4 Discussion ~
o AMiJOlO) Deg10wenl pJinwas slow to ~
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(UiifofJoLRecommendations The findings presented a serious risk to successful deployment ofTHINTHREAD To mitigate those risks the following recommendations were suggested
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ttions or mOOifi~tions1 I l bull (UIIPOUQ) There was no formal trouble ticket mechanism in place Ifa
user or operator had a problem with TIiIN1HRBADs he contacted someone on the THINTHRBAD Program Team This contact depends on l personal acquaintance because no list ofTHINTHREAD personnel was readily available and there was no mechanism to locate the proper TIflNTHRBAD contact Similarly the status ofthe response to a request l could only be leamed by personal contact
bull (UllFOf167 There was no formal mechanism for managing externally lgenemted requirements to include submitting a new requirement to THINTHREAD or for following the progress ofthe work
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3) _PmiddotmiddotmiddotL---8middot~~ are added one person may have difficulty meeting the increased demand o - ------n-ThelackofperBQll~~~y become a problem as =INJHREAD was scaled to handle an lOcreas-eduserlo~ _ I
o o o bull (UFeYQ) A list ofWeb interface functionalities p~~pose4
was not incorporated into TIIINTHREAD 1-----1
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(UtfPOBe) There was nomiddot ptOQeSs for controllin~ and measuring operational programmatic and technical performance effectiveness ofTHINTIIREADJ once deployed
bull (UJlI6ttQ) TIIINTHREAD did not have a clearly stated set ofsystem specifications or a method to validate the THINTHREAD concept or perfonnance results Thus there was no way to determine ifthe system
79
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(euroUIFOOS] was successful or ifit failed which may lead to confusion in stakeholders understanding ofthe success ofTHINTHREAD 1bull (Uf~INTHREAD bad mechanisms for assessing progress and status within the system development phase However there were no systematic consistent mecbanisms for overall program measurement which included identifying test criteria establishing program schedules 1 and documenting a system baseline to address progress No feedback mechanisms had been identified such as risk management or contingency planning 1
bull (UIfffit6) Aside from schedule control there were no tools to measure progress towards program objectives because there were no formalized program objectives 1
bull (UFeuroffJe) THINTHREAD did not have Standards ofPerfonnance established for personnel developing THINTHREAD Iffuture 1TIlINTHREADdevelopment crosses organizational groups a common set ofStandards ofPerfonnance for personnel may become necessary
bull (UIfeOO) There was no configuration management process which could 1 pose a~sk when reporting system ~ro~lems and correcting tt~ I In addition the lack ofa configuration management prtl~ cOwa cause difficulty w~en upgrading or deploying versio~_and-aIso make rollback 1extremely nsky
bull (U17P6t1Q) Th~ fault or w~Jlgdet~on wt a~omated h necessary reactions and ~nseswere l-ot- _ _ __ l software provided ~sirtipIe wayo-ooeck sta1=-o=v=an=o=us==s==----- parameters through a W~jntefface However when an operatorrecowizcSmiddota prolemne must actively initiate conective measures l $omeumes-thafaction is a simple matter such as restarting a process At
- Qilierfifues physical hardware must be changed No corrective action bull- -- -- middotmiddotmiddotCould be executed ifan operator was not present to initiate a corrective l lt~-~~~~~gt bull a_cti_middoto_n_____________________--
i~~~p~ B~36--~--~I~_~__~_~_~~_____~~__~_~ l -
middotmiddot-middotmiddot----Q1IFOUO 1HINTHREAD had no established process for managing 1 reqUiremen~
(UfFOtJO) Reonu~dtioiis~--Thefindings that led to the recommendations l would not have revented the successfuIaepJoYment ofTIIINTHRBAD to
~ e recommendations weremadetQmP2ve=tb=e__--- e ency ofTHINTHREAD after it was deploYedll____--
The follOwing is a list ofrecommendations l L-_~--
bull (P(FQafjJ Develop processes and acquire automated tools based on cIearIx stated specifications for controlling and measuring the l ~=hfc ntipn8tand technical performance ofTHINTHREAD
80
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bull (UIfOUO) Acquire ~ ~mmercia1ly available conij~tioK~ntro system to enable verstorung rollback and configuration management0 The system should interface with the trouble ficketing systeM aitd the requirements management system to Provi9CfulJ traceabilitY
1 o bull (UiAFeUOjDevelop Stand~ ofP~6imance(iffutWeTIinfrHREADdevelopment crosses orgaruzationlUmiddotgroups) i
1 bull (UnO~A~tomate reactiqns and responses to the existin~ fulfIt ando warmng detection systemL ~ J - 1o
bull (U~ 1stBblish a requirements management process for
o uWAD that is linked tol---__~______---I
(U) Finding 7 Discussiono e number and skill mix ofTHINTHREAD nnel was
o ~1iI~~~~=~nnel required for
13 H L Seuro-36---planning-and executing-installatio so there was a lack of --cfocumentatioDtPIQviding the necessary mam anoo and help desk supporto oonfigurapon managemen~-and planningYlg~~~u1ing CpUectively thyse
o ~_ shortoommgs jeated a senous nsk to successful comp1eti0nL _ J 1 ~_ _ 1-_--I
(UlFOtJ~ Recommendations The finding presented serious risk to successful deployment ofTHINTHREAD It was recommended to continue to identify and o I=~lhord~ofsdll~=-= ired fur
ij ~~lt~~-
a i~~~-PL 86-36 (bJ (5)
ru
81
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AppendixH (b) [l) (b) (3) -PL 86-36 i
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~ (U) Introduction
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(U) Needs Analysis Revisited i
1 82
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(b) (3)-PL 86-36 (U) System Capabilities Overviews
~ The followin section outlines the strenJ
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(U) Cost Analysis middotmiddot(lJ-3JFbull L 86-36
IThotlblwiJfiiinhetica1 soenariiuiiaiiidliowr--------- ay produce a more effective result in terms ofigtOth complexity and cost
A ew assumptions apply
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1 NCLASSIFIEDJlFOR OFFleb~l uscAppendix I Glossary (U) BY COMPILATON WHEN ASSO
WITH REST OF D-OCU=t=~IE=N--T__---J 1 (U) r------------------------7b)-(3~)--ampP 86middot36 1
1 l 1 1 1 1
Consultative Committee for International Telegraph and Telephone (CCIT1) 1Consultative Committee for International Telegraph and Telephone is the International organization responsible for the development ofcommunications standards Now called 1 the International Telecommunication Union Telecommunication Standardization Sector
(b)(3) PL 86middot36
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Elettronfc Industries As~odatlon (EIA) A group that specifies eJectrical transmission standards The Electronic Jndustries Association and Telecommunications Induslry I Association have developed numerous well-bown communications standards including l Electronic Industries Association and Telecommunications IndusfIy Association 232 and I Electronic Induslrles Association and Telecommunications Induslly Aosoclaion -449 I
(U)
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l International Telecommunication Union Telecommunkation Standardization ~ lSedor (lTV-T) International body that develops worldwide standards for
i
telecommunications teclmologies The International Telecommunication Union Telecommunication Standardization Sector carries out the functions ofthe former Consultative Committee for International Telegraph and Telephone l
i
International Organization for Standardization (ISO) International organization that is responsible for awide range ofstaruiards including those relevant to networking The l International Organization for Standardization developed the Open System Interconnection reference model a popular networking reference model
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I (b) (3) -T Institute of Electrical and Electronics Engineers (IEEE) 8023 Institute ofEIectrical and Electronics Engineers LAN protocol that specifies an implementation ofthe physical layer and the MAC sublayer ofthe data link layer Institute afElectrical and Electronics Engineers 8023 uses Carrier Sense Multiple Access Collision Detect access at a variety ofspeeds over a variety of physical media Extensions to the I Institute ofElectrical and Electronics Engineers 8023 standard specify implementations for Fast Ethernet
(b)3)-P L 86-36
Open System Interconnedion (OSI) International standard~tion program created by International Organization for Standardization and International Telecommunication Union Telecommunication Standardization Sector to develop standards for data networking that facilitate multimiddotvendor equipment interoperability
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Telecommunications Industry Associlltfon (IIA) Organization that developsstandards relating to telecommunications technologies Together the TelecommWlications Industry Association and the Electronic Industries Association have fOlDlalized standards such as Electronic Industries Association and Telecommunications Industry Association M232 for the electrical characteristics ofdata transmission
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Appendix J ~esponse to Management Comments (U)
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NSA will a ee to conduct an independent e believe that it will validate all of the assertions niMein our reSpons--egoeImiddotmiddot tOf General recommendations
F=~criedd~~fffl it~ th~~~~nH1p nlan~uA wad dl Iill Iwhich was conaucteaIn an openmiddot ~on1o proVlae ffi~esl oenent lor Agency mISSIOn and customers More Importantly tfiere h~ been no eVldence
documented during this Office ofInspector General investigauQl1 that supports that complaint -~ lib) [3J-lL 86-36 ~
(8181) Audit Response The report doi ~l million e TRAILBLAZE
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(U~anagement Comments NSA recommended that the audit report emphasis NSAs cooperation and responsiveness to Congress
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(UIFOU8) Management Comments NSA recommended that the audit report emphasis that the THINTHRBAD capability is valued by NSA
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~--------------------------------------------------~~--~(Sf51) Management Comments NSAj~~~~en~t~d~o~es~n~ot~a~~w~ithlAllth~eDfIoD~~___ Office cfIns etor Generars assessmen
(SSij Audit Response We acknowledge the fact that the current scope ofthe TRAILBLAZER is to provide the infonnation technology ftamework for the entire
104
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(euro) Management Comments NSA managements stated that TRAILBLAZER and ~e Technology Demonstration Platfonn have invested considerable effort to build a signal intelligence architecture that is open and scaleable applies DoQ commercial and NSA
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107
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(Sl8I)Management Comments NSA management comments stated that the Executive ~f
Summarys assertion that NSA disregarded solutions to Uf2ent national security needs ~) (1) is not accurate ~p) (3) -50 USC 40 (1lt) (3)-PL 86-3
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(SNSI) Audit Response NSA comments are inaccurate Major issues raised in the manaSement comments are addressed in the reoort sneciftcallvthe issue of
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108
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also needs clarification j
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(UJ~anagementComments NSAmanag~ent comments stated th~t fue TRAILBLAZER has long-established plans for external assessment ofthe Techlology Demonstration Platfonn for prepamtion for IfliJestone B The Independent Veri1jcAtion and Validation (JVampV) of29 Evaluation Criteria is being conducted by NSAs independent Office ofCorporate Assessmmits Test and Technical Evaluation eleimthlt (TIE) The Early Operational Assessmentiand Operational Assessment will be perfonned by JlTC which had establisheda presence in TRAILBLAZER spaces ~y November 2003 Results ofboth activitieS will be provided to the Milestone Deciaio4 Authority before Milestone B
i (U~ Audit Response TRAILBLAZER postponed Milestone B schedul~ Ifor December 2004 because of technical issues with the Technology Demonstration Platfonn February 200S is the earllest date that TRAILBLAZER will be readr fr MILESTONE B I ~
i
~anagementComments NSA manaampmlmn ~mts staled thatJhe )
I==lYbeprov1a~Mtlone
(8ffSf Management Comments NSA management comments ~tated that the EXecUtile Summarys statement that TRAILBLAZER development wasted I--_____J
109
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~ofdollars is not accurate As the middottlJlModemizanon Study obseni~ TRAILBLAZER is pot only about di~ptnietwork 7~ploitation but also encqIi7nasSs cultural transformation Ie pt9cesses and pohCles) --i ~~J
And although TRAILBLAZER is currently 11 tl1e L-re~v~erop=m=enr1-=ptas=-=elr-tr~-_-a~ dy delivered significant capabilities ~
~- ~ (SfJSl) Audit Response The NSA management comments are inacturate ~r Executive Sunmiary does not claim that TRAILBLAZER development wast
I Iofdollars Instead this phrase is only used to accurately describe p specific liotline complaint allegation that initiated this audit
~
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d stated that the
(s) Audit Response We have documented infonnation to support this statement
however because of fear ofreprlsru we agreed to keep the sources anonymous
111
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I ~Audit Response Our wording reflects information received from our so~ces We reviewed all ofthe comments below and checked our sources and made adjustlpents as required
112
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TI Appendix K Report Distribution (U)f[]
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Office of the Secretary ofDefense
11 Under Secretary ofDefense for Acquisition Technology and Logistics Under Secretary ofDefense (Comptroller) Under Secretary ofDefense for Intelligence
11 Assistant Secretary ofDefense for Netwerks and Infonnation Integration
11 Other Defense Organization
Director National Security Agency Inspector GeneraJ Natienal Security Agency1] Inspector General Defense Intelligence Agency Inspector General National Geospaual-Intelligence Agency Inspector General Natienal Reconnaissance Office
II Congressional Committees and Subcommittees Chairman and
Ranking Minority Member] Senate Subcommittee onDefense Committee en Appropriations Senate Committee on Anned Services] Senate Select Committee on Intelligence House Subcommittee on Defense Committee on Appropriations House Committee on Armed Services House Permanent Select Committee on Intelligence]
(11)]
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NATIONAL SECURITY AGENCI CENTRAL SECURITV SERVtCI
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StmJBCT (ll) Audit ofthe ~ for tbo TRiULlUAZBR ud 1HlNIHRBAD SYma dampbed 111llO 182004 (Projec No D2OO3AL-OlOO)
Deputy ChiefofStaff
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1
SECURITY CLASSIFICATION f(FiJ ( Cl 1 ] 1NSA STAFF PROCESSING FORM
TO
IKCC CONTROL NUMBERCoS DC09-017-05 THRU ACTION eXREQ SUSPENSE
~=-c=---------------------l 0 APPROVALSUBJECT KCC SUSPENSE (U) (COP liJIiCRSlIIGOMUffl Office of the IG of the Department of IX] SIGNATURE
ELEMENT SUSPENSEDefense Report on TRAILBLAZER and THINTHREAD Systems 0 INfORMATION
DISTRIBUTION
SUMMARY (u)
PIJRPOSE (GONFIDENFfAIoS202911pound3) Attached for your review and signature is the NSA consolidated response to the report from the DoD OIG on requirements for TRAILBLAZER and TIDNTHREAD systems
End als
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OFFIce NAME AND DATE OFFICE NAME AND OAlE
ORG PHONE (Secure OATE PREPARED
DC09 963-5021 11 February 2005
SECURITY CLASSIfICATIONDerived from NSAlCSSM 1-52
DATED 23 November 2004 Declassify On 20291123
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NATIONAL SECURITY AGENCY FORT GEORGE G MEADE JiARY~AND 20755-6000
11 February 2005
MEMORANDUM FOR DEPUTY ASSISTANT INSPECTOR GENERAL FOR INTELLIGENCE AUDITS
SUBJECT (UIFOUO) DoD OIG Audit Report Requirements for the TRAILBLAZER and THINTHREAD Systems1 dated December 15 2004 (Report OS-INTELshy03 Project No D2003AL-OlOO) - INFORMATION MEMORANDUM
(UIFtJtJ9+In response to the DoD OIG request for additional information on the TRAILBLAZER and THINTHREAD report NSACSS provides consolidated corporate comments from our Signals Intelligence Directorate Acquisition Organization and Information Technology Infrastructure Services Organization (now the Infalmation Technology Directorate)
NSAlCSS Resllonse
-teTSubsequent to the DoD OIG report the TRAILBLAZER Milestone has been I scheduled for late in the fourth quarter of FYOS from the previously scheduled earlyenr MS B Accordingly this now allows sufficient time for the conduct of the assessmeftt recommended by the DoD OIG
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MARIA N OCONNOR Chief ofStaff
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CONFfDENJfAIffS9291123
NSA STAFF PRO ESSING FORM EXflEG CONTROl NUMBER J(CC CONTROl NUMBER
DA4-04-05 ACTION EXAEG SUSPENSE
-------~_______________I fi] APPROVAL SUBJECT KCC SUSPENse (U~THINTHREAD I TRAILBLAZER 1G [iJ SIGNATURE
ELEMENT SUSPENSEAUDIT REPORT 0 INFORMATION
DISTRI8UTION
SUMMARV
PURPOSE (UtFeYO) To provide the recommended PEO input to the consolidated NSA response regarding actions requested by the final Department of Defense (DoD) Office ofInspector General (OIG) report 05-INTEL-03 Requirements for TRAlLBLAZER and THINTHREAD Systems of 15 December 2004
-tarIn response to ~hidraft7 in August the Agency concurred with comments ~-Tpe following is an excerpt fr9mthose comments laquo The Program Executive Office (PEO) is ta1tingmiddotth~ lead in estab1ishin~an independent review teruv- for Derforming this assessment with the intentiqn that itsJesuIts will be completed in timet I
f IMilestone B documentationraquo
~At the time of this statement (Aug (04) the TRAILBLAZER Milestone B (MSB) was scheduled for December (04 When the final report was published the PEO Assessment had not yet begun Concerned that the assessment could not be completed in time to support a December milestone the DoD OIG requested via the final report that they be provided NSA plans to eliminate the cost and schedule risks for completing the assessment
(GtSince release of the final Audit Report a DIRNSA-Chartered Transformational Advisory Panel (TAP) recommended TRAILBLAZER be rebaselined The MBB is now planned for late Fourth Quarter FY05
COOROINAilONIAPPROVAl
OFFICE NAME AND DATE OFFICE NAME AND DATE sg~degtt~tii
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~ (U~he development of this resP~98en~~en coordinated Wit~r-----lmd the TRAILBLAZER Program Manag~m~nt Office
~ RECOMMENDATION
1 (UJFeiffe1 A form~lRfsk Mitigation Plan is not recommended The PEO is committed to cogducting the assessment The team is currently being fOlriled a kick-offm~gjsj)Ianned for March and the team is expected to report to MrJ II INLT May 31st The cost and schedule impact ofconducting the assessment pose very low risk to the Transformational Programs
2 (UIF8YGl Recommend the response provided as an attachment be forwarded to the DoD OIa as part of the Agencys consolidated response to the Final Report
DOCIDe 3253346
1 1 Team Members (U)
(U) The Office of the Deputy Inspector General for Intelligence ofthe Department ofDefense Intelligence-Audit prepared this report Personnel ofthe Office ofthe Inspector General ofthe Department ofDefense who contributed to the report are listed below
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L Office of the Inspector General of the Department of Defense l
Report No 0S-INTEL-03 Decemb~r 152005 (Project No D2003AL-OIOO)
f - I ~ Requirements for the TRAILBLAZER and THINTIIR1poundADJ Systems (U)
J Executive Summary (U) j
(Ullli~ lIJl Who shoUld Read This Report and Why AClJuisition decisionfuakers at theJ
National Security Agency (NSA) the designated NSA Milestone Decjsion Authority for ~
J the Under Secretary ofDefense for Acquisition Technology and Logistics and personnel in the Office ofllie Assi Inte tinn should read this rt
J f eNSA- I I
I (UJ~Baekground We perfonned this audit in response 1o a Defense Hotline complaint which alleged tPat NSA actions in the development QfTHINTHREAD and TRAILBLAZERresulte(Hn fraud waste and abuse The spec~fic allegations were (I)J f TRAILBLAZER deve19pment wasted Hollars (2) NSA
f disregarded solutions to ur ent S national securi needs 3 NSA modified or
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~(UJJlI6OO) TRAILBLAZER TRAILBLAZER is an Acquisition categoryJ pro~J I IF to acquire through a series ofspiral developments an integmftoVide tbe ~ middotmuchmiddotneeded missioncapabilily against the Global Net~prkmiddot ~ 1 I bull i sect 1 [1RAIL IS g J t developed See Appendix B for further details f II lff ------- [
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(U) Mnag~niGonunents and Alldit Response The management comments form middotmiddotJhe DirectorNSNChie~ Ceptral Security Service contained significant disagreements
With the report fiiidings TheDir~or stated that the worlds most advanced cryptologlC 1 expmjs have assessed lhcsituation and~ coJtfident in the aOO NSA has taken The bull ncurred wltlithe recommendatiQ
--I
an me u S aseSSment as part 0 e IL L ER estone ecISlOn e J ProgciUp Executive Offi~ andTRAILBLAZER managexnent wiU estimate the costlsc~yenu1e impacts afteJthey receive estimates frol therevi~~ team and will decide at that ttnle whether to concUr Three ofllie fourparnal concwrences d end n the J Pro am Eiecutive Officer andTRAILBLAZER mana ement decislb _
JI~ f11We revised tli~J~port fin~ings and ~mm~dations based on the Directors
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Q M ~We~~tthat the Director
J NSAIChief Central Security Service provide additional comments to this report by Janwuy 15 2005 See the Findings section oftha report for a discussion ofmanagement comments and audit responses Appendix J for a detailed audit response to the management comments and the management comments section ofthe report for the complete text of the comments
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Il Table of Contents (U)l (Ul1roU01shy lIb) (3)-PL 86-36
~~ Executive Summary i
Background 1l ~ ~
l Objectives l 3 f
Findings
1 A 11-------~--- 4 +I
B The NSA Transformation I 27
1 f
Appendixes i
jA Scope and Methodology 38l j
Prior Coverage i
39 B TRAILBLAZER 40
l C
42 D
55l
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58
~t ni~1 SbWes yi 62
73l I ossary 88--I
82
J Audit Response to Management Comments 95 K Report Distribution 113
-1 National Seeurity Agency Central Security AgencY Contments 114
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o (U) Background e l (3J -PL 86-36Q
Q ~otlineAllegations A letter to the Defense Hotline requ ~ centat the
Inspector General ofthe Department ofDeferise audit and investi f the acquisition of the TRAILBLAZER and THlNTHREAD programsThemiddotmiddotcpmplaint charged the NSA with fraud waste abuse and a disr ent
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(U) National Security Agency Mission and Planning Guidance The mission of the National Security AgencyCentral Security Service (NSAlCSS) is to
J ] provide actionable Signals Intelligence to US decisionmakers from the national
to the tactical level while protectin~ the nations vital infonnation from attacks The urgency ofthe NSA CSS miSSIon is greater than ever since the September middot11til attacks and the Global Wax on Terrorism
(U~ addition defense planning guidance and the Director ofCentral
J Intelligence guidance stipulate the need for St globally vigilant intelligence system that can provide early strategic warning ofcrisis and det~ threats that is supported by capabmti~ such as an information superiority backbone
J _____ ___ _____ ~BLAZERis-~ Fm)or acq~sition p~~which fblTi j--- started in FY 2000 and 18 schedUled for tnltial operating capablhty m FY 2009 to (b) (3) -5 0 USC 403 acquire an integrated system that is composed largely ofcommercial technology (b I (3)- L 86-36 to provide the much-needed mission capability against the global networlc through
1 a series ofspiral developments The TRAILBLAZER system will deliver hardware and software system integration and program integration services toJ include
~--------------------------------------------------~
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cqubitfon Guidance for l - rz~~~SI---r~UlS~lti~O~nls~pro=V1=-r111~middot D Directive 50001
on bull an the Clinger Cohen Act of 1996 Specifically these regulations provide the framework for the acquisition ofmajor automated l information systems
(U) DoD Dlreettve 50001 The Defense Acquisition System May 12 2003 lDoD Directive 50001 establishes the management process by which the DoD provides effective affordable and timely systems to the users DoD Directive 50001 states that all acquisition professionals shall continuously develol and implement initiatives to streamline and improve the Defense l AcquisItion System Specifically this directive states that military decision authorities and program managers shall examine and as appropriate adopt innovative practices that reduce cycle time and cost and encourage teamwork l
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(U) DoD Instruction 50002 Operation oftbe Defense Acqulsit10n System May 12 2003 DoD Instruction 50002 establishes a management framework for translating mission requirements into stable affordable and well managed acquisition programs that include weapon systems and automated infonnation systems and bighly sensitive classified cryptologict and intelligence projects and programs Instruction 50002 states thatt during the initial concept design DoD Components should examine mUltiple concepts and material approaches to optimize the way that DoD provides these capabilities That approach sha1I include robust analyses that consider affordability technology maturity and responsiveness
(U) CIingermiddotCohen (Information Technology Management Reform) Act of 1996 This act requires that heads of executive agencies develop and use best pmctices in the acquisition ofinfonnation technology The process ofan flxecutive agency shaH include minimum criteria to be applied in considering whether to undertake a particular investment in infonnation systems including criteria related to the quantitatively expressed projected net risk-adjusted return on investment and specific quantitative and qualitative criteria for comparing and prioritizing alternative information systems inveshnent projects
(U) NSA1CSS Circular 5000R Acquisition Management January 9 2001 The circular implements the principles ofDoD Directive 50001 and DoD Regulation SOOO2-R within the NSAfCSS It establishes basic objectives policies procedures and responsihilities for acquisition management The circular states that for acquisition management within the Defense Cryptologic Frogram NSA should address interoperability between existing and future Service tactical Signals Intelligence systems oonneotivity between tactipal and national systems oonsider applicable technology that may satisfy the requirement and possible duplication ofongoing effort
(U) Objectives
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(U)Summary
(U) Management Comments on the Finding and Audit Response
(UJIIOtiO) ~ementComments The NSA management stated that the draft report did not mclude significant information or included wrong or misleading information The tomplete list ofmanagement tomments is in the Management Comments section ofthis report
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(U~Audit Response We obtained revieweG and analyzed many documents and we interviewed several NSA and contractor personnel to form the conclusions in this report We included all infonnation relevant to support the report findings and rCCQmmendatlons Many people we interviewed asked not to be identified fur fear ofmanagement reprisal We gathered information from many sources to support the finding Paragraphs frequently contain information from several sources to reinforce conclusions Based on management comments we made various editorial changes to the draft report See Appendix J for a completed audit responSe to each management comment
(U) Recommendations Management Comments and Audit Response
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December 2001 The Chief Signals Intelligence Programs invited the original
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J (UIFOlJet Management Comments NSA management referred to several statements in the report that did not include all referenced documents and that some paragraphs contained wrong or misleading information The complete listJ ofmanagement comments is located in the Management Comments section of this report
J (UJIiOff6) Audit Response We obtained reviewed and analyzed many documents to form the basis for the conclusions in this report We also interviewed several NSA and contractor personnel many ofwhom asked not to be identified for fear ofmanagement reprisal We ga~ered infonnation from
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1 (UI1FOUQlYe recommeDd that the Director National Security J AgencyChlef Central Security Service ----------------------~~I (QDesJmatea team to 1 IJ
J (UIFOUO) Manlgement Comments The Director National Security AgencyChief Central Security Service partially concurred with the intent ofthe recommendation but was waiting for the results ofa cost and schedule impact J study before fully concurring The Program Executive Office is establishing an
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(U~) independent review team to complete the study before Milestone B scheduled for December 2004 because the study win have an effect en both the cost and schedule fer Milestone B
-(eT~~IitJlesponse Based on management comments we revised this l IrecommendatiQn The Director National Security AgencyChief Central
Security Servicecomments were responsive and the proposed actions meet the intent ofthe recomTneIJdation The immediate actions taken to designate an independent review teamt~ perfonn the assessment are commendable JMilestone B has slipped to Feb ~~maumu~wmiddotstJmiddotruamamJllSl~illJilmllL- time to com 1ete the assessmeii
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TRAILBLAZER Teclmology Demonstration Platform Milestone Decision Authority (or use in making the ~estoneB decision J (Uf~Management Comments The Director National Security AgencyChief Central Security Service concurred The completion ofthe independent assessment is currently scheduled fer December 2004 J (U~AuditResponse Although the Director National Security AgencyChief Central Security Service concurred the concurrence is based on ]completing the assessment requested in Recommendation B1 We request that the National Security Agency management provide additional comments in response to the final report identifying NSA plans to eliminate the cost and ]schedule risks for completing the assessment
J (U~ _gemeat 6mments Tho Director National Security ]
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Appendix A Scope and Methodology (U) ~ ~ 1 1 -
(UitFooo-We reviewed documentation dating from November 200Qlu~~gh October 2003 including background infonnation mission and operatiQUat ri~ statements concepts and operational requirements and contracting ana budget 1 documents Also we conducted interview
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(UffFOUQ-Umitation to Scope Because our objective was limited to
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l (U) Use of Computer-Processed Data We did not use computer-processed data to perform this audit
1 1 (UfPOUO) Use ofTechnical Assistance Audit Follow-up and Teehnical Support Personnel assisted us during the audit The Technical Assessment Division assisted in the analysis ofNSA acquisition I l (V) General Accounting Office High-Rlsk Area The General Accounting Office has identified several high-risk areas in DoD Thisreport provides l coverage ofthe Infrastructure Inefficiencies and Infonnation Technology Investments high-risk areas l
(U) Prior Coverage
(UIFOE1OlDuring the last 5 years the Inspector General ofthe NSA issued one l report on TRAILBLAZER that discussed improperly based contract ~st increases non-eonfonnance in the management ofthe Statement ofWark and excessive labor rates for contractor personnel No prior coverage has been l conducted on the NSA THINTHRJAD Program during the last Syears
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(U) Objectives of TRAILBLAZER and the Technical Demonstration Platform
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Appendix F Technical Studies (U) 1
~fflou~~1~____________~~~NTHREAD Technical Review l
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(UffFOUO Summary ofStudy Recommendations The following is complete list ofrecommendations ofth~ rnINTHREAD Technical Review ~ -
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1 ~------------------------------------------------~ (tJ) NSA Modernization Follow-Up Study
lS1fSI1be NSA Modernization Study July 13 2001 AfWnn-JLlithAN~~LClAt-___- Modernization Follow Up StudytJ Dece1nbet 2oo1 t stat~1
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(U) Preliminary r~hoP THINTIIREAD was performed by the Test Technology and Evaluatiordeam in February 2002 but the formal evaluation was
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(U) Summary of TBINT~nI1 J
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1(UFet1t1) Thd IAssessment Study made the followingrecommendati-bdsimr------
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rsc~=t~~1~UmiOV91 ksectxfind~nted 1 U) Finding 1 Discussion 1
U~There _eno technical issues that would prevent THlNTIIREAD 1~~ I 1
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bull (U) Current THINTHREAD system develo~entprocedures were effective and a cooperative development effort was proceeding smoothly 1 with the pilot site
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Q (U) Recommendations There were no reconunendations
(U) Finding 2 Discussion Q
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(U) Recommendations See the recommendations for rnlNTHRBAD Findings I 3 through 7 to address these risks
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(ulP6OO) Recommendations The issues previously mentioned would not
i~______________________________~______________~ i
06 Finding 3 Discussion
iii (U) There was minimal user system technical or programmatic documentation
The existing documentation was insufficient to support the planned deployments
bull (U) There was no user documentation on how to use the tool That was inefficient and could lead to a significant increase in user error
Difficulties using the tool can also lead to an increase in support calls that
l drained project resources
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bull (U) TIUNTHREAD did not have a clearly stated documented set of ~ mission goals or objectives There was no program plan making it
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difficult to communicate infonnation about THINTImEAD at a
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bull (U) A deqilled schedule including all activities related to the system and it deliverables before during and after deployment was not available A
J high-level schedule containing the chronology ofdeployment was if developed but a detailed schedule was essential for proper resource middot1i~1~~~t~ L 86-36 management costing and prediction
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~_o_ -~ c-~gt (U) No installation and maintenance documentation was completed for -~~ -- lt=Jit~rtpersonnel although the team was working with the pilot site
~~- to ~evelOpinstald~atiQ1 dOC~rtation ad ofinstallatioD and --lt- mampntenanceOj-entatio
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bull (U) There~unQoperational support documtanonl - Lack ofsupport documIDtation could adversely affect timely correction or - Inrohtems and CQUll1eadtcf I
(U) The effects ofminimal documentation could be overcome ifan integrated team accomplished the development and deployment ofTHINTHREAD
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(U1F9OO) Recommendations Develop necessary docwnentation ni4t would
o Q necessitate an increase in the personnel devoted to documenting the systerh but is
essential to the successfuJ deployment and operation ofTIIINTHREAD The lack of this documentation presented a serious risk to the successful deployment Of THINTIIREAD
(U) Finding 4 Discussion ~
o AMiJOlO) Deg10wenl pJinwas slow to ~
J bull (UFf3UOlHi8toricaUy~ the TIIINTHREAD Program Team focused on
J the Drototvoe demonstration at the Dilot site The s scone did not
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were not identified The relationsbips between work roles throu out e system s life cycle were not defined The authorities for each work role bad not been identifiedJ The organizational structure set forth by the THINIHREAD Program Team focused on system development and did not address system
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_l~-~~~~~~~~~l a~iionalwork roles necessary for deployuienl activities I
(bj (3) - P L 86-3 6 bull (U) THlNTHREAD did not identifY all the organizations requiring coordination through the various stages ofdeployment
(UiifofJoLRecommendations The findings presented a serious risk to successful deployment ofTHINTHREAD To mitigate those risks the following recommendations were suggested
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(U) Finding 5 Discnssion l (UIFOY~ Xhe customer service and user support processes for THlNTHREAD weremanualIy in~ensive and directly involved the technical staff l
bull UJ1i10U~ The quality Ofservi~_aqg~IbeCeiv----Psing ________ -==-TIUNJlIREADwmnoonsistnt SomC1I1teiVieWedby
(b(3j-=P ~ i---6636 --- TeSiTechnology and Evaluati~Jl ~eam VIewed tlie T4ITHRBAr l --==--_--0___ ~oram Tea~ to b~ unresponsIve mg~eral customa support while-----=+--- __ )xEI1enced good responsIveness to then- requests for
ttions or mOOifi~tions1 I l bull (UIIPOUQ) There was no formal trouble ticket mechanism in place Ifa
user or operator had a problem with TIiIN1HRBADs he contacted someone on the THINTHRBAD Program Team This contact depends on l personal acquaintance because no list ofTHINTHREAD personnel was readily available and there was no mechanism to locate the proper TIflNTHRBAD contact Similarly the status ofthe response to a request l could only be leamed by personal contact
bull (UllFOf167 There was no formal mechanism for managing externally lgenemted requirements to include submitting a new requirement to THINTHREAD or for following the progress ofthe work
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maintainin itb just a few userso _ middotmiddot--ihafpemon was a e to_~jer_orc ang ccording to user - - ______ requests-middotreceived (il1Ule telephone or by e-nw owever as more users
3) _PmiddotmiddotmiddotL---8middot~~ are added one person may have difficulty meeting the increased demand o - ------n-ThelackofperBQll~~~y become a problem as =INJHREAD was scaled to handle an lOcreas-eduserlo~ _ I
o o o bull (UFeYQ) A list ofWeb interface functionalities p~~pose4
was not incorporated into TIIINTHREAD 1-----1
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(UtfPOBe) There was nomiddot ptOQeSs for controllin~ and measuring operational programmatic and technical performance effectiveness ofTHINTIIREADJ once deployed
bull (UJlI6ttQ) TIIINTHREAD did not have a clearly stated set ofsystem specifications or a method to validate the THINTHREAD concept or perfonnance results Thus there was no way to determine ifthe system
79
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(euroUIFOOS] was successful or ifit failed which may lead to confusion in stakeholders understanding ofthe success ofTHINTHREAD 1bull (Uf~INTHREAD bad mechanisms for assessing progress and status within the system development phase However there were no systematic consistent mecbanisms for overall program measurement which included identifying test criteria establishing program schedules 1 and documenting a system baseline to address progress No feedback mechanisms had been identified such as risk management or contingency planning 1
bull (UIfffit6) Aside from schedule control there were no tools to measure progress towards program objectives because there were no formalized program objectives 1
bull (UFeuroffJe) THINTHREAD did not have Standards ofPerfonnance established for personnel developing THINTHREAD Iffuture 1TIlINTHREADdevelopment crosses organizational groups a common set ofStandards ofPerfonnance for personnel may become necessary
bull (UIfeOO) There was no configuration management process which could 1 pose a~sk when reporting system ~ro~lems and correcting tt~ I In addition the lack ofa configuration management prtl~ cOwa cause difficulty w~en upgrading or deploying versio~_and-aIso make rollback 1extremely nsky
bull (U17P6t1Q) Th~ fault or w~Jlgdet~on wt a~omated h necessary reactions and ~nseswere l-ot- _ _ __ l software provided ~sirtipIe wayo-ooeck sta1=-o=v=an=o=us==s==----- parameters through a W~jntefface However when an operatorrecowizcSmiddota prolemne must actively initiate conective measures l $omeumes-thafaction is a simple matter such as restarting a process At
- Qilierfifues physical hardware must be changed No corrective action bull- -- -- middotmiddotmiddotCould be executed ifan operator was not present to initiate a corrective l lt~-~~~~~gt bull a_cti_middoto_n_____________________--
i~~~p~ B~36--~--~I~_~__~_~_~~_____~~__~_~ l -
middotmiddot-middotmiddot----Q1IFOUO 1HINTHREAD had no established process for managing 1 reqUiremen~
(UfFOtJO) Reonu~dtioiis~--Thefindings that led to the recommendations l would not have revented the successfuIaepJoYment ofTIIINTHRBAD to
~ e recommendations weremadetQmP2ve=tb=e__--- e ency ofTHINTHREAD after it was deploYedll____--
The follOwing is a list ofrecommendations l L-_~--
bull (P(FQafjJ Develop processes and acquire automated tools based on cIearIx stated specifications for controlling and measuring the l ~=hfc ntipn8tand technical performance ofTHINTHREAD
80
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bull (UIfOUO) Acquire ~ ~mmercia1ly available conij~tioK~ntro system to enable verstorung rollback and configuration management0 The system should interface with the trouble ficketing systeM aitd the requirements management system to Provi9CfulJ traceabilitY
1 o bull (UiAFeUOjDevelop Stand~ ofP~6imance(iffutWeTIinfrHREADdevelopment crosses orgaruzationlUmiddotgroups) i
1 bull (UnO~A~tomate reactiqns and responses to the existin~ fulfIt ando warmng detection systemL ~ J - 1o
bull (U~ 1stBblish a requirements management process for
o uWAD that is linked tol---__~______---I
(U) Finding 7 Discussiono e number and skill mix ofTHINTHREAD nnel was
o ~1iI~~~~=~nnel required for
13 H L Seuro-36---planning-and executing-installatio so there was a lack of --cfocumentatioDtPIQviding the necessary mam anoo and help desk supporto oonfigurapon managemen~-and planningYlg~~~u1ing CpUectively thyse
o ~_ shortoommgs jeated a senous nsk to successful comp1eti0nL _ J 1 ~_ _ 1-_--I
(UlFOtJ~ Recommendations The finding presented serious risk to successful deployment ofTHINTHREAD It was recommended to continue to identify and o I=~lhord~ofsdll~=-= ired fur
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81
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~ (U) Introduction
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(U) Needs Analysis Revisited i
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~ The followin section outlines the strenJ
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1 NCLASSIFIEDJlFOR OFFleb~l uscAppendix I Glossary (U) BY COMPILATON WHEN ASSO
WITH REST OF D-OCU=t=~IE=N--T__---J 1 (U) r------------------------7b)-(3~)--ampP 86middot36 1
1 l 1 1 1 1
Consultative Committee for International Telegraph and Telephone (CCIT1) 1Consultative Committee for International Telegraph and Telephone is the International organization responsible for the development ofcommunications standards Now called 1 the International Telecommunication Union Telecommunication Standardization Sector
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Elettronfc Industries As~odatlon (EIA) A group that specifies eJectrical transmission standards The Electronic Jndustries Association and Telecommunications Induslry I Association have developed numerous well-bown communications standards including l Electronic Industries Association and Telecommunications IndusfIy Association 232 and I Electronic Induslrles Association and Telecommunications Induslly Aosoclaion -449 I
(U)
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l International Telecommunication Union Telecommunkation Standardization ~ lSedor (lTV-T) International body that develops worldwide standards for
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telecommunications teclmologies The International Telecommunication Union Telecommunication Standardization Sector carries out the functions ofthe former Consultative Committee for International Telegraph and Telephone l
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International Organization for Standardization (ISO) International organization that is responsible for awide range ofstaruiards including those relevant to networking The l International Organization for Standardization developed the Open System Interconnection reference model a popular networking reference model
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I (b) (3) -T Institute of Electrical and Electronics Engineers (IEEE) 8023 Institute ofEIectrical and Electronics Engineers LAN protocol that specifies an implementation ofthe physical layer and the MAC sublayer ofthe data link layer Institute afElectrical and Electronics Engineers 8023 uses Carrier Sense Multiple Access Collision Detect access at a variety ofspeeds over a variety of physical media Extensions to the I Institute ofElectrical and Electronics Engineers 8023 standard specify implementations for Fast Ethernet
(b)3)-P L 86-36
Open System Interconnedion (OSI) International standard~tion program created by International Organization for Standardization and International Telecommunication Union Telecommunication Standardization Sector to develop standards for data networking that facilitate multimiddotvendor equipment interoperability
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Telecommunications Industry Associlltfon (IIA) Organization that developsstandards relating to telecommunications technologies Together the TelecommWlications Industry Association and the Electronic Industries Association have fOlDlalized standards such as Electronic Industries Association and Telecommunications Industry Association M232 for the electrical characteristics ofdata transmission
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Appendix J ~esponse to Management Comments (U)
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NSA will a ee to conduct an independent e believe that it will validate all of the assertions niMein our reSpons--egoeImiddotmiddot tOf General recommendations
F=~criedd~~fffl it~ th~~~~nH1p nlan~uA wad dl Iill Iwhich was conaucteaIn an openmiddot ~on1o proVlae ffi~esl oenent lor Agency mISSIOn and customers More Importantly tfiere h~ been no eVldence
documented during this Office ofInspector General investigauQl1 that supports that complaint -~ lib) [3J-lL 86-36 ~
(8181) Audit Response The report doi ~l million e TRAILBLAZE
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r[] (U)
Office of the Secretary ofDefense
11 Under Secretary ofDefense for Acquisition Technology and Logistics Under Secretary ofDefense (Comptroller) Under Secretary ofDefense for Intelligence
11 Assistant Secretary ofDefense for Netwerks and Infonnation Integration
11 Other Defense Organization
Director National Security Agency Inspector GeneraJ Natienal Security Agency1] Inspector General Defense Intelligence Agency Inspector General National Geospaual-Intelligence Agency Inspector General Natienal Reconnaissance Office
II Congressional Committees and Subcommittees Chairman and
Ranking Minority Member] Senate Subcommittee onDefense Committee en Appropriations Senate Committee on Anned Services] Senate Select Committee on Intelligence House Subcommittee on Defense Committee on Appropriations House Committee on Armed Services House Permanent Select Committee on Intelligence]
(11)]
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1
SECURITY CLASSIFICATION f(FiJ ( Cl 1 ] 1NSA STAFF PROCESSING FORM
TO
IKCC CONTROL NUMBERCoS DC09-017-05 THRU ACTION eXREQ SUSPENSE
~=-c=---------------------l 0 APPROVALSUBJECT KCC SUSPENSE (U) (COP liJIiCRSlIIGOMUffl Office of the IG of the Department of IX] SIGNATURE
ELEMENT SUSPENSEDefense Report on TRAILBLAZER and THINTHREAD Systems 0 INfORMATION
DISTRIBUTION
SUMMARY (u)
PIJRPOSE (GONFIDENFfAIoS202911pound3) Attached for your review and signature is the NSA consolidated response to the report from the DoD OIG on requirements for TRAILBLAZER and TIDNTHREAD systems
End als
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OFFIce NAME AND DATE OFFICE NAME AND OAlE
ORG PHONE (Secure OATE PREPARED
DC09 963-5021 11 February 2005
SECURITY CLASSIfICATIONDerived from NSAlCSSM 1-52
DATED 23 November 2004 Declassify On 20291123
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NATIONAL SECURITY AGENCY FORT GEORGE G MEADE JiARY~AND 20755-6000
11 February 2005
MEMORANDUM FOR DEPUTY ASSISTANT INSPECTOR GENERAL FOR INTELLIGENCE AUDITS
SUBJECT (UIFOUO) DoD OIG Audit Report Requirements for the TRAILBLAZER and THINTHREAD Systems1 dated December 15 2004 (Report OS-INTELshy03 Project No D2003AL-OlOO) - INFORMATION MEMORANDUM
(UIFtJtJ9+In response to the DoD OIG request for additional information on the TRAILBLAZER and THINTHREAD report NSACSS provides consolidated corporate comments from our Signals Intelligence Directorate Acquisition Organization and Information Technology Infrastructure Services Organization (now the Infalmation Technology Directorate)
NSAlCSS Resllonse
-teTSubsequent to the DoD OIG report the TRAILBLAZER Milestone has been I scheduled for late in the fourth quarter of FYOS from the previously scheduled earlyenr MS B Accordingly this now allows sufficient time for the conduct of the assessmeftt recommended by the DoD OIG
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MARIA N OCONNOR Chief ofStaff
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CONFfDENJfAIffS9291123
NSA STAFF PRO ESSING FORM EXflEG CONTROl NUMBER J(CC CONTROl NUMBER
DA4-04-05 ACTION EXAEG SUSPENSE
-------~_______________I fi] APPROVAL SUBJECT KCC SUSPENse (U~THINTHREAD I TRAILBLAZER 1G [iJ SIGNATURE
ELEMENT SUSPENSEAUDIT REPORT 0 INFORMATION
DISTRI8UTION
SUMMARV
PURPOSE (UtFeYO) To provide the recommended PEO input to the consolidated NSA response regarding actions requested by the final Department of Defense (DoD) Office ofInspector General (OIG) report 05-INTEL-03 Requirements for TRAlLBLAZER and THINTHREAD Systems of 15 December 2004
-tarIn response to ~hidraft7 in August the Agency concurred with comments ~-Tpe following is an excerpt fr9mthose comments laquo The Program Executive Office (PEO) is ta1tingmiddotth~ lead in estab1ishin~an independent review teruv- for Derforming this assessment with the intentiqn that itsJesuIts will be completed in timet I
f IMilestone B documentationraquo
~At the time of this statement (Aug (04) the TRAILBLAZER Milestone B (MSB) was scheduled for December (04 When the final report was published the PEO Assessment had not yet begun Concerned that the assessment could not be completed in time to support a December milestone the DoD OIG requested via the final report that they be provided NSA plans to eliminate the cost and schedule risks for completing the assessment
(GtSince release of the final Audit Report a DIRNSA-Chartered Transformational Advisory Panel (TAP) recommended TRAILBLAZER be rebaselined The MBB is now planned for late Fourth Quarter FY05
COOROINAilONIAPPROVAl
OFFICE NAME AND DATE OFFICE NAME AND DATE sg~degtt~tii
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~ (U~he development of this resP~98en~~en coordinated Wit~r-----lmd the TRAILBLAZER Program Manag~m~nt Office
~ RECOMMENDATION
1 (UJFeiffe1 A form~lRfsk Mitigation Plan is not recommended The PEO is committed to cogducting the assessment The team is currently being fOlriled a kick-offm~gjsj)Ianned for March and the team is expected to report to MrJ II INLT May 31st The cost and schedule impact ofconducting the assessment pose very low risk to the Transformational Programs
2 (UIF8YGl Recommend the response provided as an attachment be forwarded to the DoD OIa as part of the Agencys consolidated response to the Final Report
DOCIDe 3253346
1 1 Team Members (U)
(U) The Office of the Deputy Inspector General for Intelligence ofthe Department ofDefense Intelligence-Audit prepared this report Personnel ofthe Office ofthe Inspector General ofthe Department ofDefense who contributed to the report are listed below
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(U) Mnag~niGonunents and Alldit Response The management comments form middotmiddotJhe DirectorNSNChie~ Ceptral Security Service contained significant disagreements
With the report fiiidings TheDir~or stated that the worlds most advanced cryptologlC 1 expmjs have assessed lhcsituation and~ coJtfident in the aOO NSA has taken The bull ncurred wltlithe recommendatiQ
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an me u S aseSSment as part 0 e IL L ER estone ecISlOn e J ProgciUp Executive Offi~ andTRAILBLAZER managexnent wiU estimate the costlsc~yenu1e impacts afteJthey receive estimates frol therevi~~ team and will decide at that ttnle whether to concUr Three ofllie fourparnal concwrences d end n the J Pro am Eiecutive Officer andTRAILBLAZER mana ement decislb _
JI~ f11We revised tli~J~port fin~ings and ~mm~dations based on the Directors
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Q M ~We~~tthat the Director
J NSAIChief Central Security Service provide additional comments to this report by Janwuy 15 2005 See the Findings section oftha report for a discussion ofmanagement comments and audit responses Appendix J for a detailed audit response to the management comments and the management comments section ofthe report for the complete text of the comments
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Il Table of Contents (U)l (Ul1roU01shy lIb) (3)-PL 86-36
~~ Executive Summary i
Background 1l ~ ~
l Objectives l 3 f
Findings
1 A 11-------~--- 4 +I
B The NSA Transformation I 27
1 f
Appendixes i
jA Scope and Methodology 38l j
Prior Coverage i
39 B TRAILBLAZER 40
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42 D
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58
~t ni~1 SbWes yi 62
73l I ossary 88--I
82
J Audit Response to Management Comments 95 K Report Distribution 113
-1 National Seeurity Agency Central Security AgencY Contments 114
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o (U) Background e l (3J -PL 86-36Q
Q ~otlineAllegations A letter to the Defense Hotline requ ~ centat the
Inspector General ofthe Department ofDeferise audit and investi f the acquisition of the TRAILBLAZER and THlNTHREAD programsThemiddotmiddotcpmplaint charged the NSA with fraud waste abuse and a disr ent
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(U) National Security Agency Mission and Planning Guidance The mission of the National Security AgencyCentral Security Service (NSAlCSS) is to
J ] provide actionable Signals Intelligence to US decisionmakers from the national
to the tactical level while protectin~ the nations vital infonnation from attacks The urgency ofthe NSA CSS miSSIon is greater than ever since the September middot11til attacks and the Global Wax on Terrorism
(U~ addition defense planning guidance and the Director ofCentral
J Intelligence guidance stipulate the need for St globally vigilant intelligence system that can provide early strategic warning ofcrisis and det~ threats that is supported by capabmti~ such as an information superiority backbone
J _____ ___ _____ ~BLAZERis-~ Fm)or acq~sition p~~which fblTi j--- started in FY 2000 and 18 schedUled for tnltial operating capablhty m FY 2009 to (b) (3) -5 0 USC 403 acquire an integrated system that is composed largely ofcommercial technology (b I (3)- L 86-36 to provide the much-needed mission capability against the global networlc through
1 a series ofspiral developments The TRAILBLAZER system will deliver hardware and software system integration and program integration services toJ include
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cqubitfon Guidance for l - rz~~~SI---r~UlS~lti~O~nls~pro=V1=-r111~middot D Directive 50001
on bull an the Clinger Cohen Act of 1996 Specifically these regulations provide the framework for the acquisition ofmajor automated l information systems
(U) DoD Dlreettve 50001 The Defense Acquisition System May 12 2003 lDoD Directive 50001 establishes the management process by which the DoD provides effective affordable and timely systems to the users DoD Directive 50001 states that all acquisition professionals shall continuously develol and implement initiatives to streamline and improve the Defense l AcquisItion System Specifically this directive states that military decision authorities and program managers shall examine and as appropriate adopt innovative practices that reduce cycle time and cost and encourage teamwork l
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(U) DoD Instruction 50002 Operation oftbe Defense Acqulsit10n System May 12 2003 DoD Instruction 50002 establishes a management framework for translating mission requirements into stable affordable and well managed acquisition programs that include weapon systems and automated infonnation systems and bighly sensitive classified cryptologict and intelligence projects and programs Instruction 50002 states thatt during the initial concept design DoD Components should examine mUltiple concepts and material approaches to optimize the way that DoD provides these capabilities That approach sha1I include robust analyses that consider affordability technology maturity and responsiveness
(U) CIingermiddotCohen (Information Technology Management Reform) Act of 1996 This act requires that heads of executive agencies develop and use best pmctices in the acquisition ofinfonnation technology The process ofan flxecutive agency shaH include minimum criteria to be applied in considering whether to undertake a particular investment in infonnation systems including criteria related to the quantitatively expressed projected net risk-adjusted return on investment and specific quantitative and qualitative criteria for comparing and prioritizing alternative information systems inveshnent projects
(U) NSA1CSS Circular 5000R Acquisition Management January 9 2001 The circular implements the principles ofDoD Directive 50001 and DoD Regulation SOOO2-R within the NSAfCSS It establishes basic objectives policies procedures and responsihilities for acquisition management The circular states that for acquisition management within the Defense Cryptologic Frogram NSA should address interoperability between existing and future Service tactical Signals Intelligence systems oonneotivity between tactipal and national systems oonsider applicable technology that may satisfy the requirement and possible duplication ofongoing effort
(U) Objectives
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l (SlfSf) NSA Modernization Studies Thefirst NSA Modernization Stu4Y July 200It was conducted by The National Technology Alliance National penterfor Applied Technology after a thorough review ofon1roin~ activities withfu the TRAILBLAZER Program Management Officq 1
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(U)Summary
(U) Management Comments on the Finding and Audit Response
(UJIIOtiO) ~ementComments The NSA management stated that the draft report did not mclude significant information or included wrong or misleading information The tomplete list ofmanagement tomments is in the Management Comments section ofthis report
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(U~Audit Response We obtained revieweG and analyzed many documents and we interviewed several NSA and contractor personnel to form the conclusions in this report We included all infonnation relevant to support the report findings and rCCQmmendatlons Many people we interviewed asked not to be identified fur fear ofmanagement reprisal We gathered information from many sources to support the finding Paragraphs frequently contain information from several sources to reinforce conclusions Based on management comments we made various editorial changes to the draft report See Appendix J for a completed audit responSe to each management comment
(U) Recommendations Management Comments and Audit Response
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(U) A We recommend that the Director National Seurity AgencyChief Central Security Service
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J (U) The National Defense Authorization Act for FY 2002 stated that
J (b) (l) (b) (3)-50 USC 403 ftfSlISij The NSA has clearly Ill8de great strides in seeking to
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J J (SNSI) en March 24 2000 the Director NSA signed the TRAlLBLAZER 1
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1 S7tsQneeds-unrestrained by past practices or past technologies TRAILBLAZER 1 had the following key responsibilities 1
bull (UtfiOOO) Ensure the execution ofa new NSA program transfonning the us Cryptologic System exploitation ofthe global network Map detailed digital network exploitation mission requirements to a cryptologic architecture and implement them and 1
bull (U~Act as the catalyst for transforming customer interaction and operational practices Begin the retooling ofNSA 1programmatically technologically and culturally to provide mission services and capabilities that are responsive to the emerging technology and customer needs 1
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J - middot-middotmiddotmiddotmiddot middotmiddot middot-WhtNSAlfOderntzanOIl Study The House Permanent Select Committee - onlnteligence directed-th~ first NSA Mod~tion Study July 2001 which
was ~nauct~ by The NatiottalT~ologyAlliance 1lati0Jl1l ~enter fo Applied TechiiolQW After a thorough--re-lew rfommmg 8ctifjes Wltbm tbeJ TRAILBLAZER Pro~Management OffiCe_ __
r---lmd interviews withk~yprogram personnLebull1--th7e--NOa-=timiddoto-n--Cen--ter~fi-or---l ~ Techno1ogy team observe4~at fh~TBLAZER was noortvJ executed and bad an overly expenslv~ ______
The NSA Modernization Study recommlen~tM1ar------------I
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-(SSf) Seeolld NSA Modernization Study A second National Center for Applied Technology report a quick-look follow-on report was completed inJ
December 2001 The Chief Signals Intelligence Programs invited the original
study team to conduct a follow-on study to evaluate progress within the] TRAILBLAZER Program Management Office Despite noting some changes
J made in NSA management and the TRAlLBLAZER Program acquisition strategy that promised to address the conflicts and issues noted in the fust report the study team found that
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~~Durin FY 2901 NSA initial and fo110 internal teclmicalreviews(b) (1) (bl (3)-50 USC 403 l
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(U) TRAILBLAZER Acquisition
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(SHS~ rRAILBLAZER was deyelope~UooUii~gwltlaIILlUI~IIIUoLIIWoIIIoltl-_- enterprise to exploit the global network l
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J J ] (U) Summary ofManagement Comments on the Audit Finding
and Audit Response
J (UIFOlJet Management Comments NSA management referred to several statements in the report that did not include all referenced documents and that some paragraphs contained wrong or misleading information The complete listJ ofmanagement comments is located in the Management Comments section of this report
J (UJIiOff6) Audit Response We obtained reviewed and analyzed many documents to form the basis for the conclusions in this report We also interviewed several NSA and contractor personnel many ofwhom asked not to be identified for fear ofmanagement reprisal We ga~ered infonnation from
J J many sources to support the finding Paragraphs frequently contain infonnation
from several sources to reinforce conclusions See Appendix] for a complete audit response to each IDlUlagement comment
J (U) Recommendations Management Comments and Audit
Response lIb) (l (b) (3)-PL 86-36
j (b) (5)
(~RevisedRetommendatlon As a result ofmanagement cdmmei~ we
J IreV1sed Recommendations Bt and B3 to ctarlfythe intend1Use of
1 (UI1FOUQlYe recommeDd that the Director National Security J AgencyChlef Central Security Service ----------------------~~I (QDesJmatea team to 1 IJ
J (UIFOUO) Manlgement Comments The Director National Security AgencyChief Central Security Service partially concurred with the intent ofthe recommendation but was waiting for the results ofa cost and schedule impact J study before fully concurring The Program Executive Office is establishing an
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(U~) independent review team to complete the study before Milestone B scheduled for December 2004 because the study win have an effect en both the cost and schedule fer Milestone B
-(eT~~IitJlesponse Based on management comments we revised this l IrecommendatiQn The Director National Security AgencyChief Central
Security Servicecomments were responsive and the proposed actions meet the intent ofthe recomTneIJdation The immediate actions taken to designate an independent review teamt~ perfonn the assessment are commendable JMilestone B has slipped to Feb ~~maumu~wmiddotstJmiddotruamamJllSl~illJilmllL- time to com 1ete the assessmeii
]
] 2 (UIFtYffOtprovide the results of the external assessment to the
TRAILBLAZER Teclmology Demonstration Platform Milestone Decision Authority (or use in making the ~estoneB decision J (Uf~Management Comments The Director National Security AgencyChief Central Security Service concurred The completion ofthe independent assessment is currently scheduled fer December 2004 J (U~AuditResponse Although the Director National Security AgencyChief Central Security Service concurred the concurrence is based on ]completing the assessment requested in Recommendation B1 We request that the National Security Agency management provide additional comments in response to the final report identifying NSA plans to eliminate the cost and ]schedule risks for completing the assessment
J (U~ _gemeat 6mments Tho Director National Security ]
- Ag~cy~ef-Gentrals~tyB~1~t~_~115urredt andjWtil that the assessment middotmiddot~middot -___teQuired m Recommendation B1 WIll De mcludedm-thL_______--
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(BIfSI) Audit RDii~-Altho~gh the Director National Security AgencyChief Central Security Service concurredthe-COllcurrence is blSed on completing the assessment requested in Recommendation alBased on 1981WemClltcmmIlCllts J to Recommendation B2 this recommendation was reVis
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1 ~ twe request additional comments in response to the firuit report identitYiIig NSA pans to eliminate the1 cost and schedule risks for completing the assessment l
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Appendix A Scope and Methodology (U) ~ ~ 1 1 -
(UitFooo-We reviewed documentation dating from November 200Qlu~~gh October 2003 including background infonnation mission and operatiQUat ri~ statements concepts and operational requirements and contracting ana budget 1 documents Also we conducted interview
I 1
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(U) We performed this audit from Apri12003 through May 2004 in accoid~ce with generally accepted government auditing standards
(UffFOUQ-Umitation to Scope Because our objective was limited to
1
evaluating a Defense Hotline allegation relatingto the acquisition ofthe TRAILBLAZER and THINTIlREAD nrolttatns we did not review the roanalement control nroenunl i 1
1 ~
l (U) Use of Computer-Processed Data We did not use computer-processed data to perform this audit
1 1 (UfPOUO) Use ofTechnical Assistance Audit Follow-up and Teehnical Support Personnel assisted us during the audit The Technical Assessment Division assisted in the analysis ofNSA acquisition I l (V) General Accounting Office High-Rlsk Area The General Accounting Office has identified several high-risk areas in DoD Thisreport provides l coverage ofthe Infrastructure Inefficiencies and Infonnation Technology Investments high-risk areas l
(U) Prior Coverage
(UIFOE1OlDuring the last 5 years the Inspector General ofthe NSA issued one l report on TRAILBLAZER that discussed improperly based contract ~st increases non-eonfonnance in the management ofthe Statement ofWark and excessive labor rates for contractor personnel No prior coverage has been l conducted on the NSA THINTHRJAD Program during the last Syears
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o (U) Inspector General NSA
Q (U~eportNo ST~03middot0014 TRAILBLAZER lISIGINTPrograms Systems Engineering and Te()1mica1 Assistance Contract September 30 2004 o
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(U) Objectives of TRAILBLAZER and the Technical Demonstration Platform
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lS1fSI1be NSA Modernization Study July 13 2001 AfWnn-JLlithAN~~LClAt-___- Modernization Follow Up StudytJ Dece1nbet 2oo1 t stat~1
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i~______________________________~______________~ i
06 Finding 3 Discussion
iii (U) There was minimal user system technical or programmatic documentation
The existing documentation was insufficient to support the planned deployments
bull (U) There was no user documentation on how to use the tool That was inefficient and could lead to a significant increase in user error
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bull (U) There~unQoperational support documtanonl - Lack ofsupport documIDtation could adversely affect timely correction or - Inrohtems and CQUll1eadtcf I
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(U1F9OO) Recommendations Develop necessary docwnentation ni4t would
o Q necessitate an increase in the personnel devoted to documenting the systerh but is
essential to the successfuJ deployment and operation ofTIIINTHREAD The lack of this documentation presented a serious risk to the successful deployment Of THINTIIREAD
(U) Finding 4 Discussion ~
o AMiJOlO) Deg10wenl pJinwas slow to ~
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(U) Finding 5 Discnssion l (UIFOY~ Xhe customer service and user support processes for THlNTHREAD weremanualIy in~ensive and directly involved the technical staff l
bull UJ1i10U~ The quality Ofservi~_aqg~IbeCeiv----Psing ________ -==-TIUNJlIREADwmnoonsistnt SomC1I1teiVieWedby
(b(3j-=P ~ i---6636 --- TeSiTechnology and Evaluati~Jl ~eam VIewed tlie T4ITHRBAr l --==--_--0___ ~oram Tea~ to b~ unresponsIve mg~eral customa support while-----=+--- __ )xEI1enced good responsIveness to then- requests for
ttions or mOOifi~tions1 I l bull (UIIPOUQ) There was no formal trouble ticket mechanism in place Ifa
user or operator had a problem with TIiIN1HRBADs he contacted someone on the THINTHRBAD Program Team This contact depends on l personal acquaintance because no list ofTHINTHREAD personnel was readily available and there was no mechanism to locate the proper TIflNTHRBAD contact Similarly the status ofthe response to a request l could only be leamed by personal contact
bull (UllFOf167 There was no formal mechanism for managing externally lgenemted requirements to include submitting a new requirement to THINTHREAD or for following the progress ofthe work
l78 FOP SHCREfNCOMINTIl29991123
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o bull (U~ team was in charge of
maintainin itb just a few userso _ middotmiddot--ihafpemon was a e to_~jer_orc ang ccording to user - - ______ requests-middotreceived (il1Ule telephone or by e-nw owever as more users
3) _PmiddotmiddotmiddotL---8middot~~ are added one person may have difficulty meeting the increased demand o - ------n-ThelackofperBQll~~~y become a problem as =INJHREAD was scaled to handle an lOcreas-eduserlo~ _ I
o o o bull (UFeYQ) A list ofWeb interface functionalities p~~pose4
was not incorporated into TIIINTHREAD 1-----1
o o
(UtfPOBe) There was nomiddot ptOQeSs for controllin~ and measuring operational programmatic and technical performance effectiveness ofTHINTIIREADJ once deployed
bull (UJlI6ttQ) TIIINTHREAD did not have a clearly stated set ofsystem specifications or a method to validate the THINTHREAD concept or perfonnance results Thus there was no way to determine ifthe system
79
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DOCIDe 6253346
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(euroUIFOOS] was successful or ifit failed which may lead to confusion in stakeholders understanding ofthe success ofTHINTHREAD 1bull (Uf~INTHREAD bad mechanisms for assessing progress and status within the system development phase However there were no systematic consistent mecbanisms for overall program measurement which included identifying test criteria establishing program schedules 1 and documenting a system baseline to address progress No feedback mechanisms had been identified such as risk management or contingency planning 1
bull (UIfffit6) Aside from schedule control there were no tools to measure progress towards program objectives because there were no formalized program objectives 1
bull (UFeuroffJe) THINTHREAD did not have Standards ofPerfonnance established for personnel developing THINTHREAD Iffuture 1TIlINTHREADdevelopment crosses organizational groups a common set ofStandards ofPerfonnance for personnel may become necessary
bull (UIfeOO) There was no configuration management process which could 1 pose a~sk when reporting system ~ro~lems and correcting tt~ I In addition the lack ofa configuration management prtl~ cOwa cause difficulty w~en upgrading or deploying versio~_and-aIso make rollback 1extremely nsky
bull (U17P6t1Q) Th~ fault or w~Jlgdet~on wt a~omated h necessary reactions and ~nseswere l-ot- _ _ __ l software provided ~sirtipIe wayo-ooeck sta1=-o=v=an=o=us==s==----- parameters through a W~jntefface However when an operatorrecowizcSmiddota prolemne must actively initiate conective measures l $omeumes-thafaction is a simple matter such as restarting a process At
- Qilierfifues physical hardware must be changed No corrective action bull- -- -- middotmiddotmiddotCould be executed ifan operator was not present to initiate a corrective l lt~-~~~~~gt bull a_cti_middoto_n_____________________--
i~~~p~ B~36--~--~I~_~__~_~_~~_____~~__~_~ l -
middotmiddot-middotmiddot----Q1IFOUO 1HINTHREAD had no established process for managing 1 reqUiremen~
(UfFOtJO) Reonu~dtioiis~--Thefindings that led to the recommendations l would not have revented the successfuIaepJoYment ofTIIINTHRBAD to
~ e recommendations weremadetQmP2ve=tb=e__--- e ency ofTHINTHREAD after it was deploYedll____--
The follOwing is a list ofrecommendations l L-_~--
bull (P(FQafjJ Develop processes and acquire automated tools based on cIearIx stated specifications for controlling and measuring the l ~=hfc ntipn8tand technical performance ofTHINTHREAD
80
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bull (UIfOUO) Acquire ~ ~mmercia1ly available conij~tioK~ntro system to enable verstorung rollback and configuration management0 The system should interface with the trouble ficketing systeM aitd the requirements management system to Provi9CfulJ traceabilitY
1 o bull (UiAFeUOjDevelop Stand~ ofP~6imance(iffutWeTIinfrHREADdevelopment crosses orgaruzationlUmiddotgroups) i
1 bull (UnO~A~tomate reactiqns and responses to the existin~ fulfIt ando warmng detection systemL ~ J - 1o
bull (U~ 1stBblish a requirements management process for
o uWAD that is linked tol---__~______---I
(U) Finding 7 Discussiono e number and skill mix ofTHINTHREAD nnel was
o ~1iI~~~~=~nnel required for
13 H L Seuro-36---planning-and executing-installatio so there was a lack of --cfocumentatioDtPIQviding the necessary mam anoo and help desk supporto oonfigurapon managemen~-and planningYlg~~~u1ing CpUectively thyse
o ~_ shortoommgs jeated a senous nsk to successful comp1eti0nL _ J 1 ~_ _ 1-_--I
(UlFOtJ~ Recommendations The finding presented serious risk to successful deployment ofTHINTHREAD It was recommended to continue to identify and o I=~lhord~ofsdll~=-= ired fur
ij ~~lt~~-
a i~~~-PL 86-36 (bJ (5)
ru
81
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DOCID 3253346
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AppendixH (b) [l) (b) (3) -PL 86-36 i
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~ (U) Introduction
i
(U) Needs Analysis Revisited i
1 82
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(b) (3)-PL 86-36 (U) System Capabilities Overviews
~ The followin section outlines the strenJ
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(U) Cost Analysis middotmiddot(lJ-3JFbull L 86-36
IThotlblwiJfiiinhetica1 soenariiuiiaiiidliowr--------- ay produce a more effective result in terms ofigtOth complexity and cost
A ew assumptions apply
-
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1 NCLASSIFIEDJlFOR OFFleb~l uscAppendix I Glossary (U) BY COMPILATON WHEN ASSO
WITH REST OF D-OCU=t=~IE=N--T__---J 1 (U) r------------------------7b)-(3~)--ampP 86middot36 1
1 l 1 1 1 1
Consultative Committee for International Telegraph and Telephone (CCIT1) 1Consultative Committee for International Telegraph and Telephone is the International organization responsible for the development ofcommunications standards Now called 1 the International Telecommunication Union Telecommunication Standardization Sector
(b)(3) PL 86middot36
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Elettronfc Industries As~odatlon (EIA) A group that specifies eJectrical transmission standards The Electronic Jndustries Association and Telecommunications Induslry I Association have developed numerous well-bown communications standards including l Electronic Industries Association and Telecommunications IndusfIy Association 232 and I Electronic Induslrles Association and Telecommunications Induslly Aosoclaion -449 I
(U)
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l International Telecommunication Union Telecommunkation Standardization ~ lSedor (lTV-T) International body that develops worldwide standards for
i
telecommunications teclmologies The International Telecommunication Union Telecommunication Standardization Sector carries out the functions ofthe former Consultative Committee for International Telegraph and Telephone l
i
International Organization for Standardization (ISO) International organization that is responsible for awide range ofstaruiards including those relevant to networking The l International Organization for Standardization developed the Open System Interconnection reference model a popular networking reference model
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I (b) (3) -T Institute of Electrical and Electronics Engineers (IEEE) 8023 Institute ofEIectrical and Electronics Engineers LAN protocol that specifies an implementation ofthe physical layer and the MAC sublayer ofthe data link layer Institute afElectrical and Electronics Engineers 8023 uses Carrier Sense Multiple Access Collision Detect access at a variety ofspeeds over a variety of physical media Extensions to the I Institute ofElectrical and Electronics Engineers 8023 standard specify implementations for Fast Ethernet
(b)3)-P L 86-36
Open System Interconnedion (OSI) International standard~tion program created by International Organization for Standardization and International Telecommunication Union Telecommunication Standardization Sector to develop standards for data networking that facilitate multimiddotvendor equipment interoperability
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Telecommunications Industry Associlltfon (IIA) Organization that developsstandards relating to telecommunications technologies Together the TelecommWlications Industry Association and the Electronic Industries Association have fOlDlalized standards such as Electronic Industries Association and Telecommunications Industry Association M232 for the electrical characteristics ofdata transmission
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Appendix J ~esponse to Management Comments (U)
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NSA will a ee to conduct an independent e believe that it will validate all of the assertions niMein our reSpons--egoeImiddotmiddot tOf General recommendations
F=~criedd~~fffl it~ th~~~~nH1p nlan~uA wad dl Iill Iwhich was conaucteaIn an openmiddot ~on1o proVlae ffi~esl oenent lor Agency mISSIOn and customers More Importantly tfiere h~ been no eVldence
documented during this Office ofInspector General investigauQl1 that supports that complaint -~ lib) [3J-lL 86-36 ~
(8181) Audit Response The report doi ~l million e TRAILBLAZE
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(U~anagement Comments NSA recommended that the audit report emphasis NSAs cooperation and responsiveness to Congress
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(UIFOU8) Management Comments NSA recommended that the audit report emphasis that the THINTHRBAD capability is valued by NSA
99
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~--------------------------------------------------~~--~(Sf51) Management Comments NSAj~~~~en~t~d~o~es~n~ot~a~~w~ithlAllth~eDfIoD~~___ Office cfIns etor Generars assessmen
(SSij Audit Response We acknowledge the fact that the current scope ofthe TRAILBLAZER is to provide the infonnation technology ftamework for the entire
104
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(euro) Management Comments NSA managements stated that TRAILBLAZER and ~e Technology Demonstration Platfonn have invested considerable effort to build a signal intelligence architecture that is open and scaleable applies DoQ commercial and NSA
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107
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(Sl8I)Management Comments NSA management comments stated that the Executive ~f
Summarys assertion that NSA disregarded solutions to Uf2ent national security needs ~) (1) is not accurate ~p) (3) -50 USC 40 (1lt) (3)-PL 86-3
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(SNSI) Audit Response NSA comments are inaccurate Major issues raised in the manaSement comments are addressed in the reoort sneciftcallvthe issue of
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108
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-tetMngmntco_t8-~anag~t sta~tI1a11Jl~ilJ~~ltJj~-tyen~~ll~fi~lt~~r~-alltcI~aJ~~ r--lt1eDonsclraI1poundlJ+ oJthe~TA Studys rmiddot~mnlmll1lI1middot0IlL_--_4_~-+---~_middotmiddotmiddotmiddotmiddot~
also needs clarification j
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(UJ~anagementComments NSAmanag~ent comments stated th~t fue TRAILBLAZER has long-established plans for external assessment ofthe Techlology Demonstration Platfonn for prepamtion for IfliJestone B The Independent Veri1jcAtion and Validation (JVampV) of29 Evaluation Criteria is being conducted by NSAs independent Office ofCorporate Assessmmits Test and Technical Evaluation eleimthlt (TIE) The Early Operational Assessmentiand Operational Assessment will be perfonned by JlTC which had establisheda presence in TRAILBLAZER spaces ~y November 2003 Results ofboth activitieS will be provided to the Milestone Deciaio4 Authority before Milestone B
i (U~ Audit Response TRAILBLAZER postponed Milestone B schedul~ Ifor December 2004 because of technical issues with the Technology Demonstration Platfonn February 200S is the earllest date that TRAILBLAZER will be readr fr MILESTONE B I ~
i
~anagementComments NSA manaampmlmn ~mts staled thatJhe )
I==lYbeprov1a~Mtlone
(8ffSf Management Comments NSA management comments ~tated that the EXecUtile Summarys statement that TRAILBLAZER development wasted I--_____J
109
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~ofdollars is not accurate As the middottlJlModemizanon Study obseni~ TRAILBLAZER is pot only about di~ptnietwork 7~ploitation but also encqIi7nasSs cultural transformation Ie pt9cesses and pohCles) --i ~~J
And although TRAILBLAZER is currently 11 tl1e L-re~v~erop=m=enr1-=ptas=-=elr-tr~-_-a~ dy delivered significant capabilities ~
~- ~ (SfJSl) Audit Response The NSA management comments are inacturate ~r Executive Sunmiary does not claim that TRAILBLAZER development wast
I Iofdollars Instead this phrase is only used to accurately describe p specific liotline complaint allegation that initiated this audit
~
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d stated that the
(s) Audit Response We have documented infonnation to support this statement
however because of fear ofreprlsru we agreed to keep the sources anonymous
111
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I ~Audit Response Our wording reflects information received from our so~ces We reviewed all ofthe comments below and checked our sources and made adjustlpents as required
112
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TI Appendix K Report Distribution (U)f[]
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Office of the Secretary ofDefense
11 Under Secretary ofDefense for Acquisition Technology and Logistics Under Secretary ofDefense (Comptroller) Under Secretary ofDefense for Intelligence
11 Assistant Secretary ofDefense for Netwerks and Infonnation Integration
11 Other Defense Organization
Director National Security Agency Inspector GeneraJ Natienal Security Agency1] Inspector General Defense Intelligence Agency Inspector General National Geospaual-Intelligence Agency Inspector General Natienal Reconnaissance Office
II Congressional Committees and Subcommittees Chairman and
Ranking Minority Member] Senate Subcommittee onDefense Committee en Appropriations Senate Committee on Anned Services] Senate Select Committee on Intelligence House Subcommittee on Defense Committee on Appropriations House Committee on Armed Services House Permanent Select Committee on Intelligence]
(11)]
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NATIONAL SECURITY AGENCI CENTRAL SECURITV SERVtCI
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StmJBCT (ll) Audit ofthe ~ for tbo TRiULlUAZBR ud 1HlNIHRBAD SYma dampbed 111llO 182004 (Projec No D2OO3AL-OlOO)
Deputy ChiefofStaff
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SECURITY CLASSIFICATION f(FiJ ( Cl 1 ] 1NSA STAFF PROCESSING FORM
TO
IKCC CONTROL NUMBERCoS DC09-017-05 THRU ACTION eXREQ SUSPENSE
~=-c=---------------------l 0 APPROVALSUBJECT KCC SUSPENSE (U) (COP liJIiCRSlIIGOMUffl Office of the IG of the Department of IX] SIGNATURE
ELEMENT SUSPENSEDefense Report on TRAILBLAZER and THINTHREAD Systems 0 INfORMATION
DISTRIBUTION
SUMMARY (u)
PIJRPOSE (GONFIDENFfAIoS202911pound3) Attached for your review and signature is the NSA consolidated response to the report from the DoD OIG on requirements for TRAILBLAZER and TIDNTHREAD systems
End als
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OFFIce NAME AND DATE OFFICE NAME AND OAlE
ORG PHONE (Secure OATE PREPARED
DC09 963-5021 11 February 2005
SECURITY CLASSIfICATIONDerived from NSAlCSSM 1-52
DATED 23 November 2004 Declassify On 20291123
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NATIONAL SECURITY AGENCY FORT GEORGE G MEADE JiARY~AND 20755-6000
11 February 2005
MEMORANDUM FOR DEPUTY ASSISTANT INSPECTOR GENERAL FOR INTELLIGENCE AUDITS
SUBJECT (UIFOUO) DoD OIG Audit Report Requirements for the TRAILBLAZER and THINTHREAD Systems1 dated December 15 2004 (Report OS-INTELshy03 Project No D2003AL-OlOO) - INFORMATION MEMORANDUM
(UIFtJtJ9+In response to the DoD OIG request for additional information on the TRAILBLAZER and THINTHREAD report NSACSS provides consolidated corporate comments from our Signals Intelligence Directorate Acquisition Organization and Information Technology Infrastructure Services Organization (now the Infalmation Technology Directorate)
NSAlCSS Resllonse
-teTSubsequent to the DoD OIG report the TRAILBLAZER Milestone has been I scheduled for late in the fourth quarter of FYOS from the previously scheduled earlyenr MS B Accordingly this now allows sufficient time for the conduct of the assessmeftt recommended by the DoD OIG
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MARIA N OCONNOR Chief ofStaff
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CONFfDENJfAIffS9291123
NSA STAFF PRO ESSING FORM EXflEG CONTROl NUMBER J(CC CONTROl NUMBER
DA4-04-05 ACTION EXAEG SUSPENSE
-------~_______________I fi] APPROVAL SUBJECT KCC SUSPENse (U~THINTHREAD I TRAILBLAZER 1G [iJ SIGNATURE
ELEMENT SUSPENSEAUDIT REPORT 0 INFORMATION
DISTRI8UTION
SUMMARV
PURPOSE (UtFeYO) To provide the recommended PEO input to the consolidated NSA response regarding actions requested by the final Department of Defense (DoD) Office ofInspector General (OIG) report 05-INTEL-03 Requirements for TRAlLBLAZER and THINTHREAD Systems of 15 December 2004
-tarIn response to ~hidraft7 in August the Agency concurred with comments ~-Tpe following is an excerpt fr9mthose comments laquo The Program Executive Office (PEO) is ta1tingmiddotth~ lead in estab1ishin~an independent review teruv- for Derforming this assessment with the intentiqn that itsJesuIts will be completed in timet I
f IMilestone B documentationraquo
~At the time of this statement (Aug (04) the TRAILBLAZER Milestone B (MSB) was scheduled for December (04 When the final report was published the PEO Assessment had not yet begun Concerned that the assessment could not be completed in time to support a December milestone the DoD OIG requested via the final report that they be provided NSA plans to eliminate the cost and schedule risks for completing the assessment
(GtSince release of the final Audit Report a DIRNSA-Chartered Transformational Advisory Panel (TAP) recommended TRAILBLAZER be rebaselined The MBB is now planned for late Fourth Quarter FY05
COOROINAilONIAPPROVAl
OFFICE NAME AND DATE OFFICE NAME AND DATE sg~degtt~tii
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~ (U~he development of this resP~98en~~en coordinated Wit~r-----lmd the TRAILBLAZER Program Manag~m~nt Office
~ RECOMMENDATION
1 (UJFeiffe1 A form~lRfsk Mitigation Plan is not recommended The PEO is committed to cogducting the assessment The team is currently being fOlriled a kick-offm~gjsj)Ianned for March and the team is expected to report to MrJ II INLT May 31st The cost and schedule impact ofconducting the assessment pose very low risk to the Transformational Programs
2 (UIF8YGl Recommend the response provided as an attachment be forwarded to the DoD OIa as part of the Agencys consolidated response to the Final Report
DOCIDe 3253346
1 1 Team Members (U)
(U) The Office of the Deputy Inspector General for Intelligence ofthe Department ofDefense Intelligence-Audit prepared this report Personnel ofthe Office ofthe Inspector General ofthe Department ofDefense who contributed to the report are listed below
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Q M ~We~~tthat the Director
J NSAIChief Central Security Service provide additional comments to this report by Janwuy 15 2005 See the Findings section oftha report for a discussion ofmanagement comments and audit responses Appendix J for a detailed audit response to the management comments and the management comments section ofthe report for the complete text of the comments
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Il Table of Contents (U)l (Ul1roU01shy lIb) (3)-PL 86-36
~~ Executive Summary i
Background 1l ~ ~
l Objectives l 3 f
Findings
1 A 11-------~--- 4 +I
B The NSA Transformation I 27
1 f
Appendixes i
jA Scope and Methodology 38l j
Prior Coverage i
39 B TRAILBLAZER 40
l C
42 D
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58
~t ni~1 SbWes yi 62
73l I ossary 88--I
82
J Audit Response to Management Comments 95 K Report Distribution 113
-1 National Seeurity Agency Central Security AgencY Contments 114
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o (U) Background e l (3J -PL 86-36Q
Q ~otlineAllegations A letter to the Defense Hotline requ ~ centat the
Inspector General ofthe Department ofDeferise audit and investi f the acquisition of the TRAILBLAZER and THlNTHREAD programsThemiddotmiddotcpmplaint charged the NSA with fraud waste abuse and a disr ent
n sb TRAILB J J
(U) National Security Agency Mission and Planning Guidance The mission of the National Security AgencyCentral Security Service (NSAlCSS) is to
J ] provide actionable Signals Intelligence to US decisionmakers from the national
to the tactical level while protectin~ the nations vital infonnation from attacks The urgency ofthe NSA CSS miSSIon is greater than ever since the September middot11til attacks and the Global Wax on Terrorism
(U~ addition defense planning guidance and the Director ofCentral
J Intelligence guidance stipulate the need for St globally vigilant intelligence system that can provide early strategic warning ofcrisis and det~ threats that is supported by capabmti~ such as an information superiority backbone
J _____ ___ _____ ~BLAZERis-~ Fm)or acq~sition p~~which fblTi j--- started in FY 2000 and 18 schedUled for tnltial operating capablhty m FY 2009 to (b) (3) -5 0 USC 403 acquire an integrated system that is composed largely ofcommercial technology (b I (3)- L 86-36 to provide the much-needed mission capability against the global networlc through
1 a series ofspiral developments The TRAILBLAZER system will deliver hardware and software system integration and program integration services toJ include
~--------------------------------------------------~
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cqubitfon Guidance for l - rz~~~SI---r~UlS~lti~O~nls~pro=V1=-r111~middot D Directive 50001
on bull an the Clinger Cohen Act of 1996 Specifically these regulations provide the framework for the acquisition ofmajor automated l information systems
(U) DoD Dlreettve 50001 The Defense Acquisition System May 12 2003 lDoD Directive 50001 establishes the management process by which the DoD provides effective affordable and timely systems to the users DoD Directive 50001 states that all acquisition professionals shall continuously develol and implement initiatives to streamline and improve the Defense l AcquisItion System Specifically this directive states that military decision authorities and program managers shall examine and as appropriate adopt innovative practices that reduce cycle time and cost and encourage teamwork l
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(U) DoD Instruction 50002 Operation oftbe Defense Acqulsit10n System May 12 2003 DoD Instruction 50002 establishes a management framework for translating mission requirements into stable affordable and well managed acquisition programs that include weapon systems and automated infonnation systems and bighly sensitive classified cryptologict and intelligence projects and programs Instruction 50002 states thatt during the initial concept design DoD Components should examine mUltiple concepts and material approaches to optimize the way that DoD provides these capabilities That approach sha1I include robust analyses that consider affordability technology maturity and responsiveness
(U) CIingermiddotCohen (Information Technology Management Reform) Act of 1996 This act requires that heads of executive agencies develop and use best pmctices in the acquisition ofinfonnation technology The process ofan flxecutive agency shaH include minimum criteria to be applied in considering whether to undertake a particular investment in infonnation systems including criteria related to the quantitatively expressed projected net risk-adjusted return on investment and specific quantitative and qualitative criteria for comparing and prioritizing alternative information systems inveshnent projects
(U) NSA1CSS Circular 5000R Acquisition Management January 9 2001 The circular implements the principles ofDoD Directive 50001 and DoD Regulation SOOO2-R within the NSAfCSS It establishes basic objectives policies procedures and responsihilities for acquisition management The circular states that for acquisition management within the Defense Cryptologic Frogram NSA should address interoperability between existing and future Service tactical Signals Intelligence systems oonneotivity between tactipal and national systems oonsider applicable technology that may satisfy the requirement and possible duplication ofongoing effort
(U) Objectives
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(U)Summary
(U) Management Comments on the Finding and Audit Response
(UJIIOtiO) ~ementComments The NSA management stated that the draft report did not mclude significant information or included wrong or misleading information The tomplete list ofmanagement tomments is in the Management Comments section ofthis report
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(U~Audit Response We obtained revieweG and analyzed many documents and we interviewed several NSA and contractor personnel to form the conclusions in this report We included all infonnation relevant to support the report findings and rCCQmmendatlons Many people we interviewed asked not to be identified fur fear ofmanagement reprisal We gathered information from many sources to support the finding Paragraphs frequently contain information from several sources to reinforce conclusions Based on management comments we made various editorial changes to the draft report See Appendix J for a completed audit responSe to each management comment
(U) Recommendations Management Comments and Audit Response
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December 2001 The Chief Signals Intelligence Programs invited the original
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J (UIFOlJet Management Comments NSA management referred to several statements in the report that did not include all referenced documents and that some paragraphs contained wrong or misleading information The complete listJ ofmanagement comments is located in the Management Comments section of this report
J (UJIiOff6) Audit Response We obtained reviewed and analyzed many documents to form the basis for the conclusions in this report We also interviewed several NSA and contractor personnel many ofwhom asked not to be identified for fear ofmanagement reprisal We ga~ered infonnation from
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J (UIFOUO) Manlgement Comments The Director National Security AgencyChief Central Security Service partially concurred with the intent ofthe recommendation but was waiting for the results ofa cost and schedule impact J study before fully concurring The Program Executive Office is establishing an
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(U~) independent review team to complete the study before Milestone B scheduled for December 2004 because the study win have an effect en both the cost and schedule fer Milestone B
-(eT~~IitJlesponse Based on management comments we revised this l IrecommendatiQn The Director National Security AgencyChief Central
Security Servicecomments were responsive and the proposed actions meet the intent ofthe recomTneIJdation The immediate actions taken to designate an independent review teamt~ perfonn the assessment are commendable JMilestone B has slipped to Feb ~~maumu~wmiddotstJmiddotruamamJllSl~illJilmllL- time to com 1ete the assessmeii
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TRAILBLAZER Teclmology Demonstration Platform Milestone Decision Authority (or use in making the ~estoneB decision J (Uf~Management Comments The Director National Security AgencyChief Central Security Service concurred The completion ofthe independent assessment is currently scheduled fer December 2004 J (U~AuditResponse Although the Director National Security AgencyChief Central Security Service concurred the concurrence is based on ]completing the assessment requested in Recommendation B1 We request that the National Security Agency management provide additional comments in response to the final report identifying NSA plans to eliminate the cost and ]schedule risks for completing the assessment
J (U~ _gemeat 6mments Tho Director National Security ]
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Appendix A Scope and Methodology (U) ~ ~ 1 1 -
(UitFooo-We reviewed documentation dating from November 200Qlu~~gh October 2003 including background infonnation mission and operatiQUat ri~ statements concepts and operational requirements and contracting ana budget 1 documents Also we conducted interview
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(UffFOUQ-Umitation to Scope Because our objective was limited to
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l (U) Use of Computer-Processed Data We did not use computer-processed data to perform this audit
1 1 (UfPOUO) Use ofTechnical Assistance Audit Follow-up and Teehnical Support Personnel assisted us during the audit The Technical Assessment Division assisted in the analysis ofNSA acquisition I l (V) General Accounting Office High-Rlsk Area The General Accounting Office has identified several high-risk areas in DoD Thisreport provides l coverage ofthe Infrastructure Inefficiencies and Infonnation Technology Investments high-risk areas l
(U) Prior Coverage
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~fflou~~1~____________~~~NTHREAD Technical Review l
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(UffFOUO Summary ofStudy Recommendations The following is complete list ofrecommendations ofth~ rnINTHREAD Technical Review ~ -
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1 ~------------------------------------------------~ (tJ) NSA Modernization Follow-Up Study
lS1fSI1be NSA Modernization Study July 13 2001 AfWnn-JLlithAN~~LClAt-___- Modernization Follow Up StudytJ Dece1nbet 2oo1 t stat~1
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(U) Preliminary r~hoP THINTIIREAD was performed by the Test Technology and Evaluatiordeam in February 2002 but the formal evaluation was
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(U) Summary of TBINT~nI1 J
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1(UFet1t1) Thd IAssessment Study made the followingrecommendati-bdsimr------
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bull (U) Current THINTHREAD system develo~entprocedures were effective and a cooperative development effort was proceeding smoothly 1 with the pilot site
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Q (U) Recommendations There were no reconunendations
(U) Finding 2 Discussion Q
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(ulP6OO) Recommendations The issues previously mentioned would not
i~______________________________~______________~ i
06 Finding 3 Discussion
iii (U) There was minimal user system technical or programmatic documentation
The existing documentation was insufficient to support the planned deployments
bull (U) There was no user documentation on how to use the tool That was inefficient and could lead to a significant increase in user error
Difficulties using the tool can also lead to an increase in support calls that
l drained project resources
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bull (U) TIUNTHREAD did not have a clearly stated documented set of ~ mission goals or objectives There was no program plan making it
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difficult to communicate infonnation about THINTImEAD at a
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bull (U) A deqilled schedule including all activities related to the system and it deliverables before during and after deployment was not available A
J high-level schedule containing the chronology ofdeployment was if developed but a detailed schedule was essential for proper resource middot1i~1~~~t~ L 86-36 management costing and prediction
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~_o_ -~ c-~gt (U) No installation and maintenance documentation was completed for -~~ -- lt=Jit~rtpersonnel although the team was working with the pilot site
~~- to ~evelOpinstald~atiQ1 dOC~rtation ad ofinstallatioD and --lt- mampntenanceOj-entatio
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bull (U) There~unQoperational support documtanonl - Lack ofsupport documIDtation could adversely affect timely correction or - Inrohtems and CQUll1eadtcf I
(U) The effects ofminimal documentation could be overcome ifan integrated team accomplished the development and deployment ofTHINTHREAD
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(U1F9OO) Recommendations Develop necessary docwnentation ni4t would
o Q necessitate an increase in the personnel devoted to documenting the systerh but is
essential to the successfuJ deployment and operation ofTIIINTHREAD The lack of this documentation presented a serious risk to the successful deployment Of THINTIIREAD
(U) Finding 4 Discussion ~
o AMiJOlO) Deg10wenl pJinwas slow to ~
J bull (UFf3UOlHi8toricaUy~ the TIIINTHREAD Program Team focused on
J the Drototvoe demonstration at the Dilot site The s scone did not
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were not identified The relationsbips between work roles throu out e system s life cycle were not defined The authorities for each work role bad not been identifiedJ The organizational structure set forth by the THINIHREAD Program Team focused on system development and did not address system
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_l~-~~~~~~~~~l a~iionalwork roles necessary for deployuienl activities I
(bj (3) - P L 86-3 6 bull (U) THlNTHREAD did not identifY all the organizations requiring coordination through the various stages ofdeployment
(UiifofJoLRecommendations The findings presented a serious risk to successful deployment ofTHINTHREAD To mitigate those risks the following recommendations were suggested
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(U) Finding 5 Discnssion l (UIFOY~ Xhe customer service and user support processes for THlNTHREAD weremanualIy in~ensive and directly involved the technical staff l
bull UJ1i10U~ The quality Ofservi~_aqg~IbeCeiv----Psing ________ -==-TIUNJlIREADwmnoonsistnt SomC1I1teiVieWedby
(b(3j-=P ~ i---6636 --- TeSiTechnology and Evaluati~Jl ~eam VIewed tlie T4ITHRBAr l --==--_--0___ ~oram Tea~ to b~ unresponsIve mg~eral customa support while-----=+--- __ )xEI1enced good responsIveness to then- requests for
ttions or mOOifi~tions1 I l bull (UIIPOUQ) There was no formal trouble ticket mechanism in place Ifa
user or operator had a problem with TIiIN1HRBADs he contacted someone on the THINTHRBAD Program Team This contact depends on l personal acquaintance because no list ofTHINTHREAD personnel was readily available and there was no mechanism to locate the proper TIflNTHRBAD contact Similarly the status ofthe response to a request l could only be leamed by personal contact
bull (UllFOf167 There was no formal mechanism for managing externally lgenemted requirements to include submitting a new requirement to THINTHREAD or for following the progress ofthe work
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maintainin itb just a few userso _ middotmiddot--ihafpemon was a e to_~jer_orc ang ccording to user - - ______ requests-middotreceived (il1Ule telephone or by e-nw owever as more users
3) _PmiddotmiddotmiddotL---8middot~~ are added one person may have difficulty meeting the increased demand o - ------n-ThelackofperBQll~~~y become a problem as =INJHREAD was scaled to handle an lOcreas-eduserlo~ _ I
o o o bull (UFeYQ) A list ofWeb interface functionalities p~~pose4
was not incorporated into TIIINTHREAD 1-----1
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(UtfPOBe) There was nomiddot ptOQeSs for controllin~ and measuring operational programmatic and technical performance effectiveness ofTHINTIIREADJ once deployed
bull (UJlI6ttQ) TIIINTHREAD did not have a clearly stated set ofsystem specifications or a method to validate the THINTHREAD concept or perfonnance results Thus there was no way to determine ifthe system
79
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(euroUIFOOS] was successful or ifit failed which may lead to confusion in stakeholders understanding ofthe success ofTHINTHREAD 1bull (Uf~INTHREAD bad mechanisms for assessing progress and status within the system development phase However there were no systematic consistent mecbanisms for overall program measurement which included identifying test criteria establishing program schedules 1 and documenting a system baseline to address progress No feedback mechanisms had been identified such as risk management or contingency planning 1
bull (UIfffit6) Aside from schedule control there were no tools to measure progress towards program objectives because there were no formalized program objectives 1
bull (UFeuroffJe) THINTHREAD did not have Standards ofPerfonnance established for personnel developing THINTHREAD Iffuture 1TIlINTHREADdevelopment crosses organizational groups a common set ofStandards ofPerfonnance for personnel may become necessary
bull (UIfeOO) There was no configuration management process which could 1 pose a~sk when reporting system ~ro~lems and correcting tt~ I In addition the lack ofa configuration management prtl~ cOwa cause difficulty w~en upgrading or deploying versio~_and-aIso make rollback 1extremely nsky
bull (U17P6t1Q) Th~ fault or w~Jlgdet~on wt a~omated h necessary reactions and ~nseswere l-ot- _ _ __ l software provided ~sirtipIe wayo-ooeck sta1=-o=v=an=o=us==s==----- parameters through a W~jntefface However when an operatorrecowizcSmiddota prolemne must actively initiate conective measures l $omeumes-thafaction is a simple matter such as restarting a process At
- Qilierfifues physical hardware must be changed No corrective action bull- -- -- middotmiddotmiddotCould be executed ifan operator was not present to initiate a corrective l lt~-~~~~~gt bull a_cti_middoto_n_____________________--
i~~~p~ B~36--~--~I~_~__~_~_~~_____~~__~_~ l -
middotmiddot-middotmiddot----Q1IFOUO 1HINTHREAD had no established process for managing 1 reqUiremen~
(UfFOtJO) Reonu~dtioiis~--Thefindings that led to the recommendations l would not have revented the successfuIaepJoYment ofTIIINTHRBAD to
~ e recommendations weremadetQmP2ve=tb=e__--- e ency ofTHINTHREAD after it was deploYedll____--
The follOwing is a list ofrecommendations l L-_~--
bull (P(FQafjJ Develop processes and acquire automated tools based on cIearIx stated specifications for controlling and measuring the l ~=hfc ntipn8tand technical performance ofTHINTHREAD
80
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bull (UIfOUO) Acquire ~ ~mmercia1ly available conij~tioK~ntro system to enable verstorung rollback and configuration management0 The system should interface with the trouble ficketing systeM aitd the requirements management system to Provi9CfulJ traceabilitY
1 o bull (UiAFeUOjDevelop Stand~ ofP~6imance(iffutWeTIinfrHREADdevelopment crosses orgaruzationlUmiddotgroups) i
1 bull (UnO~A~tomate reactiqns and responses to the existin~ fulfIt ando warmng detection systemL ~ J - 1o
bull (U~ 1stBblish a requirements management process for
o uWAD that is linked tol---__~______---I
(U) Finding 7 Discussiono e number and skill mix ofTHINTHREAD nnel was
o ~1iI~~~~=~nnel required for
13 H L Seuro-36---planning-and executing-installatio so there was a lack of --cfocumentatioDtPIQviding the necessary mam anoo and help desk supporto oonfigurapon managemen~-and planningYlg~~~u1ing CpUectively thyse
o ~_ shortoommgs jeated a senous nsk to successful comp1eti0nL _ J 1 ~_ _ 1-_--I
(UlFOtJ~ Recommendations The finding presented serious risk to successful deployment ofTHINTHREAD It was recommended to continue to identify and o I=~lhord~ofsdll~=-= ired fur
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81
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~ (U) Introduction
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(U) Needs Analysis Revisited i
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~ The followin section outlines the strenJ
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IThotlblwiJfiiinhetica1 soenariiuiiaiiidliowr--------- ay produce a more effective result in terms ofigtOth complexity and cost
A ew assumptions apply
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1 NCLASSIFIEDJlFOR OFFleb~l uscAppendix I Glossary (U) BY COMPILATON WHEN ASSO
WITH REST OF D-OCU=t=~IE=N--T__---J 1 (U) r------------------------7b)-(3~)--ampP 86middot36 1
1 l 1 1 1 1
Consultative Committee for International Telegraph and Telephone (CCIT1) 1Consultative Committee for International Telegraph and Telephone is the International organization responsible for the development ofcommunications standards Now called 1 the International Telecommunication Union Telecommunication Standardization Sector
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Elettronfc Industries As~odatlon (EIA) A group that specifies eJectrical transmission standards The Electronic Jndustries Association and Telecommunications Induslry I Association have developed numerous well-bown communications standards including l Electronic Industries Association and Telecommunications IndusfIy Association 232 and I Electronic Induslrles Association and Telecommunications Induslly Aosoclaion -449 I
(U)
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l International Telecommunication Union Telecommunkation Standardization ~ lSedor (lTV-T) International body that develops worldwide standards for
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telecommunications teclmologies The International Telecommunication Union Telecommunication Standardization Sector carries out the functions ofthe former Consultative Committee for International Telegraph and Telephone l
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International Organization for Standardization (ISO) International organization that is responsible for awide range ofstaruiards including those relevant to networking The l International Organization for Standardization developed the Open System Interconnection reference model a popular networking reference model
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I (b) (3) -T Institute of Electrical and Electronics Engineers (IEEE) 8023 Institute ofEIectrical and Electronics Engineers LAN protocol that specifies an implementation ofthe physical layer and the MAC sublayer ofthe data link layer Institute afElectrical and Electronics Engineers 8023 uses Carrier Sense Multiple Access Collision Detect access at a variety ofspeeds over a variety of physical media Extensions to the I Institute ofElectrical and Electronics Engineers 8023 standard specify implementations for Fast Ethernet
(b)3)-P L 86-36
Open System Interconnedion (OSI) International standard~tion program created by International Organization for Standardization and International Telecommunication Union Telecommunication Standardization Sector to develop standards for data networking that facilitate multimiddotvendor equipment interoperability
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Telecommunications Industry Associlltfon (IIA) Organization that developsstandards relating to telecommunications technologies Together the TelecommWlications Industry Association and the Electronic Industries Association have fOlDlalized standards such as Electronic Industries Association and Telecommunications Industry Association M232 for the electrical characteristics ofdata transmission
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Appendix J ~esponse to Management Comments (U)
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NSA will a ee to conduct an independent e believe that it will validate all of the assertions niMein our reSpons--egoeImiddotmiddot tOf General recommendations
F=~criedd~~fffl it~ th~~~~nH1p nlan~uA wad dl Iill Iwhich was conaucteaIn an openmiddot ~on1o proVlae ffi~esl oenent lor Agency mISSIOn and customers More Importantly tfiere h~ been no eVldence
documented during this Office ofInspector General investigauQl1 that supports that complaint -~ lib) [3J-lL 86-36 ~
(8181) Audit Response The report doi ~l million e TRAILBLAZE
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(U~anagement Comments NSA recommended that the audit report emphasis NSAs cooperation and responsiveness to Congress
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(UIFOU8) Management Comments NSA recommended that the audit report emphasis that the THINTHRBAD capability is valued by NSA
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i (U~ Audit Response TRAILBLAZER postponed Milestone B schedul~ Ifor December 2004 because of technical issues with the Technology Demonstration Platfonn February 200S is the earllest date that TRAILBLAZER will be readr fr MILESTONE B I ~
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r[] (U)
Office of the Secretary ofDefense
11 Under Secretary ofDefense for Acquisition Technology and Logistics Under Secretary ofDefense (Comptroller) Under Secretary ofDefense for Intelligence
11 Assistant Secretary ofDefense for Netwerks and Infonnation Integration
11 Other Defense Organization
Director National Security Agency Inspector GeneraJ Natienal Security Agency1] Inspector General Defense Intelligence Agency Inspector General National Geospaual-Intelligence Agency Inspector General Natienal Reconnaissance Office
II Congressional Committees and Subcommittees Chairman and
Ranking Minority Member] Senate Subcommittee onDefense Committee en Appropriations Senate Committee on Anned Services] Senate Select Committee on Intelligence House Subcommittee on Defense Committee on Appropriations House Committee on Armed Services House Permanent Select Committee on Intelligence]
(11)]
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1
SECURITY CLASSIFICATION f(FiJ ( Cl 1 ] 1NSA STAFF PROCESSING FORM
TO
IKCC CONTROL NUMBERCoS DC09-017-05 THRU ACTION eXREQ SUSPENSE
~=-c=---------------------l 0 APPROVALSUBJECT KCC SUSPENSE (U) (COP liJIiCRSlIIGOMUffl Office of the IG of the Department of IX] SIGNATURE
ELEMENT SUSPENSEDefense Report on TRAILBLAZER and THINTHREAD Systems 0 INfORMATION
DISTRIBUTION
SUMMARY (u)
PIJRPOSE (GONFIDENFfAIoS202911pound3) Attached for your review and signature is the NSA consolidated response to the report from the DoD OIG on requirements for TRAILBLAZER and TIDNTHREAD systems
End als
Alb) 13l-PL lj
86-36
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OFFIce NAME AND DATE OFFICE NAME AND OAlE
ORG PHONE (Secure OATE PREPARED
DC09 963-5021 11 February 2005
SECURITY CLASSIfICATIONDerived from NSAlCSSM 1-52
DATED 23 November 2004 Declassify On 20291123
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NATIONAL SECURITY AGENCY FORT GEORGE G MEADE JiARY~AND 20755-6000
11 February 2005
MEMORANDUM FOR DEPUTY ASSISTANT INSPECTOR GENERAL FOR INTELLIGENCE AUDITS
SUBJECT (UIFOUO) DoD OIG Audit Report Requirements for the TRAILBLAZER and THINTHREAD Systems1 dated December 15 2004 (Report OS-INTELshy03 Project No D2003AL-OlOO) - INFORMATION MEMORANDUM
(UIFtJtJ9+In response to the DoD OIG request for additional information on the TRAILBLAZER and THINTHREAD report NSACSS provides consolidated corporate comments from our Signals Intelligence Directorate Acquisition Organization and Information Technology Infrastructure Services Organization (now the Infalmation Technology Directorate)
NSAlCSS Resllonse
-teTSubsequent to the DoD OIG report the TRAILBLAZER Milestone has been I scheduled for late in the fourth quarter of FYOS from the previously scheduled earlyenr MS B Accordingly this now allows sufficient time for the conduct of the assessmeftt recommended by the DoD OIG
e lIla ze r
b M 2005 Y ay - i
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If_ bave anY QUestiODrr need additional information Pbgt6~~t
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MARIA N OCONNOR Chief ofStaff
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NSA STAFF PRO ESSING FORM EXflEG CONTROl NUMBER J(CC CONTROl NUMBER
DA4-04-05 ACTION EXAEG SUSPENSE
-------~_______________I fi] APPROVAL SUBJECT KCC SUSPENse (U~THINTHREAD I TRAILBLAZER 1G [iJ SIGNATURE
ELEMENT SUSPENSEAUDIT REPORT 0 INFORMATION
DISTRI8UTION
SUMMARV
PURPOSE (UtFeYO) To provide the recommended PEO input to the consolidated NSA response regarding actions requested by the final Department of Defense (DoD) Office ofInspector General (OIG) report 05-INTEL-03 Requirements for TRAlLBLAZER and THINTHREAD Systems of 15 December 2004
-tarIn response to ~hidraft7 in August the Agency concurred with comments ~-Tpe following is an excerpt fr9mthose comments laquo The Program Executive Office (PEO) is ta1tingmiddotth~ lead in estab1ishin~an independent review teruv- for Derforming this assessment with the intentiqn that itsJesuIts will be completed in timet I
f IMilestone B documentationraquo
~At the time of this statement (Aug (04) the TRAILBLAZER Milestone B (MSB) was scheduled for December (04 When the final report was published the PEO Assessment had not yet begun Concerned that the assessment could not be completed in time to support a December milestone the DoD OIG requested via the final report that they be provided NSA plans to eliminate the cost and schedule risks for completing the assessment
(GtSince release of the final Audit Report a DIRNSA-Chartered Transformational Advisory Panel (TAP) recommended TRAILBLAZER be rebaselined The MBB is now planned for late Fourth Quarter FY05
COOROINAilONIAPPROVAl
OFFICE NAME AND DATE OFFICE NAME AND DATE sg~degtt~tii
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~ (U~he development of this resP~98en~~en coordinated Wit~r-----lmd the TRAILBLAZER Program Manag~m~nt Office
~ RECOMMENDATION
1 (UJFeiffe1 A form~lRfsk Mitigation Plan is not recommended The PEO is committed to cogducting the assessment The team is currently being fOlriled a kick-offm~gjsj)Ianned for March and the team is expected to report to MrJ II INLT May 31st The cost and schedule impact ofconducting the assessment pose very low risk to the Transformational Programs
2 (UIF8YGl Recommend the response provided as an attachment be forwarded to the DoD OIa as part of the Agencys consolidated response to the Final Report
DOCIDe 3253346
1 1 Team Members (U)
(U) The Office of the Deputy Inspector General for Intelligence ofthe Department ofDefense Intelligence-Audit prepared this report Personnel ofthe Office ofthe Inspector General ofthe Department ofDefense who contributed to the report are listed below
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Il Table of Contents (U)l (Ul1roU01shy lIb) (3)-PL 86-36
~~ Executive Summary i
Background 1l ~ ~
l Objectives l 3 f
Findings
1 A 11-------~--- 4 +I
B The NSA Transformation I 27
1 f
Appendixes i
jA Scope and Methodology 38l j
Prior Coverage i
39 B TRAILBLAZER 40
l C
42 D
55l
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58
~t ni~1 SbWes yi 62
73l I ossary 88--I
82
J Audit Response to Management Comments 95 K Report Distribution 113
-1 National Seeurity Agency Central Security AgencY Contments 114
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o (U) Background e l (3J -PL 86-36Q
Q ~otlineAllegations A letter to the Defense Hotline requ ~ centat the
Inspector General ofthe Department ofDeferise audit and investi f the acquisition of the TRAILBLAZER and THlNTHREAD programsThemiddotmiddotcpmplaint charged the NSA with fraud waste abuse and a disr ent
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(U) National Security Agency Mission and Planning Guidance The mission of the National Security AgencyCentral Security Service (NSAlCSS) is to
J ] provide actionable Signals Intelligence to US decisionmakers from the national
to the tactical level while protectin~ the nations vital infonnation from attacks The urgency ofthe NSA CSS miSSIon is greater than ever since the September middot11til attacks and the Global Wax on Terrorism
(U~ addition defense planning guidance and the Director ofCentral
J Intelligence guidance stipulate the need for St globally vigilant intelligence system that can provide early strategic warning ofcrisis and det~ threats that is supported by capabmti~ such as an information superiority backbone
J _____ ___ _____ ~BLAZERis-~ Fm)or acq~sition p~~which fblTi j--- started in FY 2000 and 18 schedUled for tnltial operating capablhty m FY 2009 to (b) (3) -5 0 USC 403 acquire an integrated system that is composed largely ofcommercial technology (b I (3)- L 86-36 to provide the much-needed mission capability against the global networlc through
1 a series ofspiral developments The TRAILBLAZER system will deliver hardware and software system integration and program integration services toJ include
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cqubitfon Guidance for l - rz~~~SI---r~UlS~lti~O~nls~pro=V1=-r111~middot D Directive 50001
on bull an the Clinger Cohen Act of 1996 Specifically these regulations provide the framework for the acquisition ofmajor automated l information systems
(U) DoD Dlreettve 50001 The Defense Acquisition System May 12 2003 lDoD Directive 50001 establishes the management process by which the DoD provides effective affordable and timely systems to the users DoD Directive 50001 states that all acquisition professionals shall continuously develol and implement initiatives to streamline and improve the Defense l AcquisItion System Specifically this directive states that military decision authorities and program managers shall examine and as appropriate adopt innovative practices that reduce cycle time and cost and encourage teamwork l
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(U) DoD Instruction 50002 Operation oftbe Defense Acqulsit10n System May 12 2003 DoD Instruction 50002 establishes a management framework for translating mission requirements into stable affordable and well managed acquisition programs that include weapon systems and automated infonnation systems and bighly sensitive classified cryptologict and intelligence projects and programs Instruction 50002 states thatt during the initial concept design DoD Components should examine mUltiple concepts and material approaches to optimize the way that DoD provides these capabilities That approach sha1I include robust analyses that consider affordability technology maturity and responsiveness
(U) CIingermiddotCohen (Information Technology Management Reform) Act of 1996 This act requires that heads of executive agencies develop and use best pmctices in the acquisition ofinfonnation technology The process ofan flxecutive agency shaH include minimum criteria to be applied in considering whether to undertake a particular investment in infonnation systems including criteria related to the quantitatively expressed projected net risk-adjusted return on investment and specific quantitative and qualitative criteria for comparing and prioritizing alternative information systems inveshnent projects
(U) NSA1CSS Circular 5000R Acquisition Management January 9 2001 The circular implements the principles ofDoD Directive 50001 and DoD Regulation SOOO2-R within the NSAfCSS It establishes basic objectives policies procedures and responsihilities for acquisition management The circular states that for acquisition management within the Defense Cryptologic Frogram NSA should address interoperability between existing and future Service tactical Signals Intelligence systems oonneotivity between tactipal and national systems oonsider applicable technology that may satisfy the requirement and possible duplication ofongoing effort
(U) Objectives
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l (SlfSf) NSA Modernization Studies Thefirst NSA Modernization Stu4Y July 200It was conducted by The National Technology Alliance National penterfor Applied Technology after a thorough review ofon1roin~ activities withfu the TRAILBLAZER Program Management Officq 1
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(U) The NSA Modernization Study recommended that
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(U)Summary
(U) Management Comments on the Finding and Audit Response
(UJIIOtiO) ~ementComments The NSA management stated that the draft report did not mclude significant information or included wrong or misleading information The tomplete list ofmanagement tomments is in the Management Comments section ofthis report
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(U~Audit Response We obtained revieweG and analyzed many documents and we interviewed several NSA and contractor personnel to form the conclusions in this report We included all infonnation relevant to support the report findings and rCCQmmendatlons Many people we interviewed asked not to be identified fur fear ofmanagement reprisal We gathered information from many sources to support the finding Paragraphs frequently contain information from several sources to reinforce conclusions Based on management comments we made various editorial changes to the draft report See Appendix J for a completed audit responSe to each management comment
(U) Recommendations Management Comments and Audit Response
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(U) A We recommend that the Director National Seurity AgencyChief Central Security Service
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M a ement did not understand what was meant b ] ~------------------------------------------~ iBSI)AudJtResponse Based on management comments we revised the
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(U) Congressional Concerns on Digital Network Exploitation
J (U) The National Defense Authorization Act for FY 2002 stated that
J (b) (l) (b) (3)-50 USC 403 ftfSlISij The NSA has clearly Ill8de great strides in seeking to
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1 S7tsQneeds-unrestrained by past practices or past technologies TRAILBLAZER 1 had the following key responsibilities 1
bull (UtfiOOO) Ensure the execution ofa new NSA program transfonning the us Cryptologic System exploitation ofthe global network Map detailed digital network exploitation mission requirements to a cryptologic architecture and implement them and 1
bull (U~Act as the catalyst for transforming customer interaction and operational practices Begin the retooling ofNSA 1programmatically technologically and culturally to provide mission services and capabilities that are responsive to the emerging technology and customer needs 1
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was ~nauct~ by The NatiottalT~ologyAlliance 1lati0Jl1l ~enter fo Applied TechiiolQW After a thorough--re-lew rfommmg 8ctifjes Wltbm tbeJ TRAILBLAZER Pro~Management OffiCe_ __
r---lmd interviews withk~yprogram personnLebull1--th7e--NOa-=timiddoto-n--Cen--ter~fi-or---l ~ Techno1ogy team observe4~at fh~TBLAZER was noortvJ executed and bad an overly expenslv~ ______
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December 2001 The Chief Signals Intelligence Programs invited the original
study team to conduct a follow-on study to evaluate progress within the] TRAILBLAZER Program Management Office Despite noting some changes
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J J ] (U) Summary ofManagement Comments on the Audit Finding
and Audit Response
J (UIFOlJet Management Comments NSA management referred to several statements in the report that did not include all referenced documents and that some paragraphs contained wrong or misleading information The complete listJ ofmanagement comments is located in the Management Comments section of this report
J (UJIiOff6) Audit Response We obtained reviewed and analyzed many documents to form the basis for the conclusions in this report We also interviewed several NSA and contractor personnel many ofwhom asked not to be identified for fear ofmanagement reprisal We ga~ered infonnation from
J J many sources to support the finding Paragraphs frequently contain infonnation
from several sources to reinforce conclusions See Appendix] for a complete audit response to each IDlUlagement comment
J (U) Recommendations Management Comments and Audit
Response lIb) (l (b) (3)-PL 86-36
j (b) (5)
(~RevisedRetommendatlon As a result ofmanagement cdmmei~ we
J IreV1sed Recommendations Bt and B3 to ctarlfythe intend1Use of
1 (UI1FOUQlYe recommeDd that the Director National Security J AgencyChlef Central Security Service ----------------------~~I (QDesJmatea team to 1 IJ
J (UIFOUO) Manlgement Comments The Director National Security AgencyChief Central Security Service partially concurred with the intent ofthe recommendation but was waiting for the results ofa cost and schedule impact J study before fully concurring The Program Executive Office is establishing an
J 35
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(U~) independent review team to complete the study before Milestone B scheduled for December 2004 because the study win have an effect en both the cost and schedule fer Milestone B
-(eT~~IitJlesponse Based on management comments we revised this l IrecommendatiQn The Director National Security AgencyChief Central
Security Servicecomments were responsive and the proposed actions meet the intent ofthe recomTneIJdation The immediate actions taken to designate an independent review teamt~ perfonn the assessment are commendable JMilestone B has slipped to Feb ~~maumu~wmiddotstJmiddotruamamJllSl~illJilmllL- time to com 1ete the assessmeii
]
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TRAILBLAZER Teclmology Demonstration Platform Milestone Decision Authority (or use in making the ~estoneB decision J (Uf~Management Comments The Director National Security AgencyChief Central Security Service concurred The completion ofthe independent assessment is currently scheduled fer December 2004 J (U~AuditResponse Although the Director National Security AgencyChief Central Security Service concurred the concurrence is based on ]completing the assessment requested in Recommendation B1 We request that the National Security Agency management provide additional comments in response to the final report identifying NSA plans to eliminate the cost and ]schedule risks for completing the assessment
J (U~ _gemeat 6mments Tho Director National Security ]
- Ag~cy~ef-Gentrals~tyB~1~t~_~115urredt andjWtil that the assessment middotmiddot~middot -___teQuired m Recommendation B1 WIll De mcludedm-thL_______--
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(BIfSI) Audit RDii~-Altho~gh the Director National Security AgencyChief Central Security Service concurredthe-COllcurrence is blSed on completing the assessment requested in Recommendation alBased on 1981WemClltcmmIlCllts J to Recommendation B2 this recommendation was reVis
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1 ~ twe request additional comments in response to the firuit report identitYiIig NSA pans to eliminate the1 cost and schedule risks for completing the assessment l
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Appendix A Scope and Methodology (U) ~ ~ 1 1 -
(UitFooo-We reviewed documentation dating from November 200Qlu~~gh October 2003 including background infonnation mission and operatiQUat ri~ statements concepts and operational requirements and contracting ana budget 1 documents Also we conducted interview
I 1
1 t 1
(U) We performed this audit from Apri12003 through May 2004 in accoid~ce with generally accepted government auditing standards
(UffFOUQ-Umitation to Scope Because our objective was limited to
1
evaluating a Defense Hotline allegation relatingto the acquisition ofthe TRAILBLAZER and THINTIlREAD nrolttatns we did not review the roanalement control nroenunl i 1
1 ~
l (U) Use of Computer-Processed Data We did not use computer-processed data to perform this audit
1 1 (UfPOUO) Use ofTechnical Assistance Audit Follow-up and Teehnical Support Personnel assisted us during the audit The Technical Assessment Division assisted in the analysis ofNSA acquisition I l (V) General Accounting Office High-Rlsk Area The General Accounting Office has identified several high-risk areas in DoD Thisreport provides l coverage ofthe Infrastructure Inefficiencies and Infonnation Technology Investments high-risk areas l
(U) Prior Coverage
(UIFOE1OlDuring the last 5 years the Inspector General ofthe NSA issued one l report on TRAILBLAZER that discussed improperly based contract ~st increases non-eonfonnance in the management ofthe Statement ofWark and excessive labor rates for contractor personnel No prior coverage has been l conducted on the NSA THINTHRJAD Program during the last Syears
l l
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o (U) Inspector General NSA
Q (U~eportNo ST~03middot0014 TRAILBLAZER lISIGINTPrograms Systems Engineering and Te()1mica1 Assistance Contract September 30 2004 o
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Appendix B TRAILBLAZER (U) ~
(U) Objectives of TRAILBLAZER and the Technical Demonstration Platform
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bull (UIFSYO) Common standards and interfaces throughout th~ NSA Reference Model
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(UffFOUO Summary ofStudy Recommendations The following is complete list ofrecommendations ofth~ rnINTHREAD Technical Review ~ -
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1 ~------------------------------------------------~ (tJ) NSA Modernization Follow-Up Study
lS1fSI1be NSA Modernization Study July 13 2001 AfWnn-JLlithAN~~LClAt-___- Modernization Follow Up StudytJ Dece1nbet 2oo1 t stat~1
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(U) Summary of TBINT~nI1 J
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bull (U) Current THINTHREAD system develo~entprocedures were effective and a cooperative development effort was proceeding smoothly 1 with the pilot site
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(ulP6OO) Recommendations The issues previously mentioned would not
i~______________________________~______________~ i
06 Finding 3 Discussion
iii (U) There was minimal user system technical or programmatic documentation
The existing documentation was insufficient to support the planned deployments
bull (U) There was no user documentation on how to use the tool That was inefficient and could lead to a significant increase in user error
Difficulties using the tool can also lead to an increase in support calls that
l drained project resources
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bull (U) TIUNTHREAD did not have a clearly stated documented set of ~ mission goals or objectives There was no program plan making it
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difficult to communicate infonnation about THINTImEAD at a
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bull (U) A deqilled schedule including all activities related to the system and it deliverables before during and after deployment was not available A
J high-level schedule containing the chronology ofdeployment was if developed but a detailed schedule was essential for proper resource middot1i~1~~~t~ L 86-36 management costing and prediction
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~_o_ -~ c-~gt (U) No installation and maintenance documentation was completed for -~~ -- lt=Jit~rtpersonnel although the team was working with the pilot site
~~- to ~evelOpinstald~atiQ1 dOC~rtation ad ofinstallatioD and --lt- mampntenanceOj-entatio
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bull (U) There~unQoperational support documtanonl - Lack ofsupport documIDtation could adversely affect timely correction or - Inrohtems and CQUll1eadtcf I
(U) The effects ofminimal documentation could be overcome ifan integrated team accomplished the development and deployment ofTHINTHREAD
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(U1F9OO) Recommendations Develop necessary docwnentation ni4t would
o Q necessitate an increase in the personnel devoted to documenting the systerh but is
essential to the successfuJ deployment and operation ofTIIINTHREAD The lack of this documentation presented a serious risk to the successful deployment Of THINTIIREAD
(U) Finding 4 Discussion ~
o AMiJOlO) Deg10wenl pJinwas slow to ~
J bull (UFf3UOlHi8toricaUy~ the TIIINTHREAD Program Team focused on
J the Drototvoe demonstration at the Dilot site The s scone did not
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were not identified The relationsbips between work roles throu out e system s life cycle were not defined The authorities for each work role bad not been identifiedJ The organizational structure set forth by the THINIHREAD Program Team focused on system development and did not address system
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(bj (3) - P L 86-3 6 bull (U) THlNTHREAD did not identifY all the organizations requiring coordination through the various stages ofdeployment
(UiifofJoLRecommendations The findings presented a serious risk to successful deployment ofTHINTHREAD To mitigate those risks the following recommendations were suggested
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(U) Finding 5 Discnssion l (UIFOY~ Xhe customer service and user support processes for THlNTHREAD weremanualIy in~ensive and directly involved the technical staff l
bull UJ1i10U~ The quality Ofservi~_aqg~IbeCeiv----Psing ________ -==-TIUNJlIREADwmnoonsistnt SomC1I1teiVieWedby
(b(3j-=P ~ i---6636 --- TeSiTechnology and Evaluati~Jl ~eam VIewed tlie T4ITHRBAr l --==--_--0___ ~oram Tea~ to b~ unresponsIve mg~eral customa support while-----=+--- __ )xEI1enced good responsIveness to then- requests for
ttions or mOOifi~tions1 I l bull (UIIPOUQ) There was no formal trouble ticket mechanism in place Ifa
user or operator had a problem with TIiIN1HRBADs he contacted someone on the THINTHRBAD Program Team This contact depends on l personal acquaintance because no list ofTHINTHREAD personnel was readily available and there was no mechanism to locate the proper TIflNTHRBAD contact Similarly the status ofthe response to a request l could only be leamed by personal contact
bull (UllFOf167 There was no formal mechanism for managing externally lgenemted requirements to include submitting a new requirement to THINTHREAD or for following the progress ofthe work
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maintainin itb just a few userso _ middotmiddot--ihafpemon was a e to_~jer_orc ang ccording to user - - ______ requests-middotreceived (il1Ule telephone or by e-nw owever as more users
3) _PmiddotmiddotmiddotL---8middot~~ are added one person may have difficulty meeting the increased demand o - ------n-ThelackofperBQll~~~y become a problem as =INJHREAD was scaled to handle an lOcreas-eduserlo~ _ I
o o o bull (UFeYQ) A list ofWeb interface functionalities p~~pose4
was not incorporated into TIIINTHREAD 1-----1
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(UtfPOBe) There was nomiddot ptOQeSs for controllin~ and measuring operational programmatic and technical performance effectiveness ofTHINTIIREADJ once deployed
bull (UJlI6ttQ) TIIINTHREAD did not have a clearly stated set ofsystem specifications or a method to validate the THINTHREAD concept or perfonnance results Thus there was no way to determine ifthe system
79
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(euroUIFOOS] was successful or ifit failed which may lead to confusion in stakeholders understanding ofthe success ofTHINTHREAD 1bull (Uf~INTHREAD bad mechanisms for assessing progress and status within the system development phase However there were no systematic consistent mecbanisms for overall program measurement which included identifying test criteria establishing program schedules 1 and documenting a system baseline to address progress No feedback mechanisms had been identified such as risk management or contingency planning 1
bull (UIfffit6) Aside from schedule control there were no tools to measure progress towards program objectives because there were no formalized program objectives 1
bull (UFeuroffJe) THINTHREAD did not have Standards ofPerfonnance established for personnel developing THINTHREAD Iffuture 1TIlINTHREADdevelopment crosses organizational groups a common set ofStandards ofPerfonnance for personnel may become necessary
bull (UIfeOO) There was no configuration management process which could 1 pose a~sk when reporting system ~ro~lems and correcting tt~ I In addition the lack ofa configuration management prtl~ cOwa cause difficulty w~en upgrading or deploying versio~_and-aIso make rollback 1extremely nsky
bull (U17P6t1Q) Th~ fault or w~Jlgdet~on wt a~omated h necessary reactions and ~nseswere l-ot- _ _ __ l software provided ~sirtipIe wayo-ooeck sta1=-o=v=an=o=us==s==----- parameters through a W~jntefface However when an operatorrecowizcSmiddota prolemne must actively initiate conective measures l $omeumes-thafaction is a simple matter such as restarting a process At
- Qilierfifues physical hardware must be changed No corrective action bull- -- -- middotmiddotmiddotCould be executed ifan operator was not present to initiate a corrective l lt~-~~~~~gt bull a_cti_middoto_n_____________________--
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~ e recommendations weremadetQmP2ve=tb=e__--- e ency ofTHINTHREAD after it was deploYedll____--
The follOwing is a list ofrecommendations l L-_~--
bull (P(FQafjJ Develop processes and acquire automated tools based on cIearIx stated specifications for controlling and measuring the l ~=hfc ntipn8tand technical performance ofTHINTHREAD
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81
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Consultative Committee for International Telegraph and Telephone (CCIT1) 1Consultative Committee for International Telegraph and Telephone is the International organization responsible for the development ofcommunications standards Now called 1 the International Telecommunication Union Telecommunication Standardization Sector
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Elettronfc Industries As~odatlon (EIA) A group that specifies eJectrical transmission standards The Electronic Jndustries Association and Telecommunications Induslry I Association have developed numerous well-bown communications standards including l Electronic Industries Association and Telecommunications IndusfIy Association 232 and I Electronic Induslrles Association and Telecommunications Induslly Aosoclaion -449 I
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l International Telecommunication Union Telecommunkation Standardization ~ lSedor (lTV-T) International body that develops worldwide standards for
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telecommunications teclmologies The International Telecommunication Union Telecommunication Standardization Sector carries out the functions ofthe former Consultative Committee for International Telegraph and Telephone l
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International Organization for Standardization (ISO) International organization that is responsible for awide range ofstaruiards including those relevant to networking The l International Organization for Standardization developed the Open System Interconnection reference model a popular networking reference model
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I (b) (3) -T Institute of Electrical and Electronics Engineers (IEEE) 8023 Institute ofEIectrical and Electronics Engineers LAN protocol that specifies an implementation ofthe physical layer and the MAC sublayer ofthe data link layer Institute afElectrical and Electronics Engineers 8023 uses Carrier Sense Multiple Access Collision Detect access at a variety ofspeeds over a variety of physical media Extensions to the I Institute ofElectrical and Electronics Engineers 8023 standard specify implementations for Fast Ethernet
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Open System Interconnedion (OSI) International standard~tion program created by International Organization for Standardization and International Telecommunication Union Telecommunication Standardization Sector to develop standards for data networking that facilitate multimiddotvendor equipment interoperability
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Telecommunications Industry Associlltfon (IIA) Organization that developsstandards relating to telecommunications technologies Together the TelecommWlications Industry Association and the Electronic Industries Association have fOlDlalized standards such as Electronic Industries Association and Telecommunications Industry Association M232 for the electrical characteristics ofdata transmission
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NSA will a ee to conduct an independent e believe that it will validate all of the assertions niMein our reSpons--egoeImiddotmiddot tOf General recommendations
F=~criedd~~fffl it~ th~~~~nH1p nlan~uA wad dl Iill Iwhich was conaucteaIn an openmiddot ~on1o proVlae ffi~esl oenent lor Agency mISSIOn and customers More Importantly tfiere h~ been no eVldence
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(8181) Audit Response The report doi ~l million e TRAILBLAZE
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(U~anagement Comments NSA recommended that the audit report emphasis NSAs cooperation and responsiveness to Congress
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(euro) Management Comments NSA managements stated that TRAILBLAZER and ~e Technology Demonstration Platfonn have invested considerable effort to build a signal intelligence architecture that is open and scaleable applies DoQ commercial and NSA
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(SNSI) Audit Response NSA comments are inaccurate Major issues raised in the manaSement comments are addressed in the reoort sneciftcallvthe issue of
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(UJ~anagementComments NSAmanag~ent comments stated th~t fue TRAILBLAZER has long-established plans for external assessment ofthe Techlology Demonstration Platfonn for prepamtion for IfliJestone B The Independent Veri1jcAtion and Validation (JVampV) of29 Evaluation Criteria is being conducted by NSAs independent Office ofCorporate Assessmmits Test and Technical Evaluation eleimthlt (TIE) The Early Operational Assessmentiand Operational Assessment will be perfonned by JlTC which had establisheda presence in TRAILBLAZER spaces ~y November 2003 Results ofboth activitieS will be provided to the Milestone Deciaio4 Authority before Milestone B
i (U~ Audit Response TRAILBLAZER postponed Milestone B schedul~ Ifor December 2004 because of technical issues with the Technology Demonstration Platfonn February 200S is the earllest date that TRAILBLAZER will be readr fr MILESTONE B I ~
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~anagementComments NSA manaampmlmn ~mts staled thatJhe )
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(8ffSf Management Comments NSA management comments ~tated that the EXecUtile Summarys statement that TRAILBLAZER development wasted I--_____J
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And although TRAILBLAZER is currently 11 tl1e L-re~v~erop=m=enr1-=ptas=-=elr-tr~-_-a~ dy delivered significant capabilities ~
~- ~ (SfJSl) Audit Response The NSA management comments are inacturate ~r Executive Sunmiary does not claim that TRAILBLAZER development wast
I Iofdollars Instead this phrase is only used to accurately describe p specific liotline complaint allegation that initiated this audit
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however because of fear ofreprlsru we agreed to keep the sources anonymous
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I ~Audit Response Our wording reflects information received from our so~ces We reviewed all ofthe comments below and checked our sources and made adjustlpents as required
112
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Office of the Secretary ofDefense
11 Under Secretary ofDefense for Acquisition Technology and Logistics Under Secretary ofDefense (Comptroller) Under Secretary ofDefense for Intelligence
11 Assistant Secretary ofDefense for Netwerks and Infonnation Integration
11 Other Defense Organization
Director National Security Agency Inspector GeneraJ Natienal Security Agency1] Inspector General Defense Intelligence Agency Inspector General National Geospaual-Intelligence Agency Inspector General Natienal Reconnaissance Office
II Congressional Committees and Subcommittees Chairman and
Ranking Minority Member] Senate Subcommittee onDefense Committee en Appropriations Senate Committee on Anned Services] Senate Select Committee on Intelligence House Subcommittee on Defense Committee on Appropriations House Committee on Armed Services House Permanent Select Committee on Intelligence]
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SECURITY CLASSIFICATION f(FiJ ( Cl 1 ] 1NSA STAFF PROCESSING FORM
TO
IKCC CONTROL NUMBERCoS DC09-017-05 THRU ACTION eXREQ SUSPENSE
~=-c=---------------------l 0 APPROVALSUBJECT KCC SUSPENSE (U) (COP liJIiCRSlIIGOMUffl Office of the IG of the Department of IX] SIGNATURE
ELEMENT SUSPENSEDefense Report on TRAILBLAZER and THINTHREAD Systems 0 INfORMATION
DISTRIBUTION
SUMMARY (u)
PIJRPOSE (GONFIDENFfAIoS202911pound3) Attached for your review and signature is the NSA consolidated response to the report from the DoD OIG on requirements for TRAILBLAZER and TIDNTHREAD systems
End als
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OFFIce NAME AND DATE OFFICE NAME AND OAlE
ORG PHONE (Secure OATE PREPARED
DC09 963-5021 11 February 2005
SECURITY CLASSIfICATIONDerived from NSAlCSSM 1-52
DATED 23 November 2004 Declassify On 20291123
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NATIONAL SECURITY AGENCY FORT GEORGE G MEADE JiARY~AND 20755-6000
11 February 2005
MEMORANDUM FOR DEPUTY ASSISTANT INSPECTOR GENERAL FOR INTELLIGENCE AUDITS
SUBJECT (UIFOUO) DoD OIG Audit Report Requirements for the TRAILBLAZER and THINTHREAD Systems1 dated December 15 2004 (Report OS-INTELshy03 Project No D2003AL-OlOO) - INFORMATION MEMORANDUM
(UIFtJtJ9+In response to the DoD OIG request for additional information on the TRAILBLAZER and THINTHREAD report NSACSS provides consolidated corporate comments from our Signals Intelligence Directorate Acquisition Organization and Information Technology Infrastructure Services Organization (now the Infalmation Technology Directorate)
NSAlCSS Resllonse
-teTSubsequent to the DoD OIG report the TRAILBLAZER Milestone has been I scheduled for late in the fourth quarter of FYOS from the previously scheduled earlyenr MS B Accordingly this now allows sufficient time for the conduct of the assessmeftt recommended by the DoD OIG
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MARIA N OCONNOR Chief ofStaff
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NSA STAFF PRO ESSING FORM EXflEG CONTROl NUMBER J(CC CONTROl NUMBER
DA4-04-05 ACTION EXAEG SUSPENSE
-------~_______________I fi] APPROVAL SUBJECT KCC SUSPENse (U~THINTHREAD I TRAILBLAZER 1G [iJ SIGNATURE
ELEMENT SUSPENSEAUDIT REPORT 0 INFORMATION
DISTRI8UTION
SUMMARV
PURPOSE (UtFeYO) To provide the recommended PEO input to the consolidated NSA response regarding actions requested by the final Department of Defense (DoD) Office ofInspector General (OIG) report 05-INTEL-03 Requirements for TRAlLBLAZER and THINTHREAD Systems of 15 December 2004
-tarIn response to ~hidraft7 in August the Agency concurred with comments ~-Tpe following is an excerpt fr9mthose comments laquo The Program Executive Office (PEO) is ta1tingmiddotth~ lead in estab1ishin~an independent review teruv- for Derforming this assessment with the intentiqn that itsJesuIts will be completed in timet I
f IMilestone B documentationraquo
~At the time of this statement (Aug (04) the TRAILBLAZER Milestone B (MSB) was scheduled for December (04 When the final report was published the PEO Assessment had not yet begun Concerned that the assessment could not be completed in time to support a December milestone the DoD OIG requested via the final report that they be provided NSA plans to eliminate the cost and schedule risks for completing the assessment
(GtSince release of the final Audit Report a DIRNSA-Chartered Transformational Advisory Panel (TAP) recommended TRAILBLAZER be rebaselined The MBB is now planned for late Fourth Quarter FY05
COOROINAilONIAPPROVAl
OFFICE NAME AND DATE OFFICE NAME AND DATE sg~degtt~tii
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~ RECOMMENDATION
1 (UJFeiffe1 A form~lRfsk Mitigation Plan is not recommended The PEO is committed to cogducting the assessment The team is currently being fOlriled a kick-offm~gjsj)Ianned for March and the team is expected to report to MrJ II INLT May 31st The cost and schedule impact ofconducting the assessment pose very low risk to the Transformational Programs
2 (UIF8YGl Recommend the response provided as an attachment be forwarded to the DoD OIa as part of the Agencys consolidated response to the Final Report
DOCIDe 3253346
1 1 Team Members (U)
(U) The Office of the Deputy Inspector General for Intelligence ofthe Department ofDefense Intelligence-Audit prepared this report Personnel ofthe Office ofthe Inspector General ofthe Department ofDefense who contributed to the report are listed below
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Il Table of Contents (U)l (Ul1roU01shy lIb) (3)-PL 86-36
~~ Executive Summary i
Background 1l ~ ~
l Objectives l 3 f
Findings
1 A 11-------~--- 4 +I
B The NSA Transformation I 27
1 f
Appendixes i
jA Scope and Methodology 38l j
Prior Coverage i
39 B TRAILBLAZER 40
l C
42 D
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58
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73l I ossary 88--I
82
J Audit Response to Management Comments 95 K Report Distribution 113
-1 National Seeurity Agency Central Security AgencY Contments 114
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o (U) Background e l (3J -PL 86-36Q
Q ~otlineAllegations A letter to the Defense Hotline requ ~ centat the
Inspector General ofthe Department ofDeferise audit and investi f the acquisition of the TRAILBLAZER and THlNTHREAD programsThemiddotmiddotcpmplaint charged the NSA with fraud waste abuse and a disr ent
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(U) National Security Agency Mission and Planning Guidance The mission of the National Security AgencyCentral Security Service (NSAlCSS) is to
J ] provide actionable Signals Intelligence to US decisionmakers from the national
to the tactical level while protectin~ the nations vital infonnation from attacks The urgency ofthe NSA CSS miSSIon is greater than ever since the September middot11til attacks and the Global Wax on Terrorism
(U~ addition defense planning guidance and the Director ofCentral
J Intelligence guidance stipulate the need for St globally vigilant intelligence system that can provide early strategic warning ofcrisis and det~ threats that is supported by capabmti~ such as an information superiority backbone
J _____ ___ _____ ~BLAZERis-~ Fm)or acq~sition p~~which fblTi j--- started in FY 2000 and 18 schedUled for tnltial operating capablhty m FY 2009 to (b) (3) -5 0 USC 403 acquire an integrated system that is composed largely ofcommercial technology (b I (3)- L 86-36 to provide the much-needed mission capability against the global networlc through
1 a series ofspiral developments The TRAILBLAZER system will deliver hardware and software system integration and program integration services toJ include
~--------------------------------------------------~
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cqubitfon Guidance for l - rz~~~SI---r~UlS~lti~O~nls~pro=V1=-r111~middot D Directive 50001
on bull an the Clinger Cohen Act of 1996 Specifically these regulations provide the framework for the acquisition ofmajor automated l information systems
(U) DoD Dlreettve 50001 The Defense Acquisition System May 12 2003 lDoD Directive 50001 establishes the management process by which the DoD provides effective affordable and timely systems to the users DoD Directive 50001 states that all acquisition professionals shall continuously develol and implement initiatives to streamline and improve the Defense l AcquisItion System Specifically this directive states that military decision authorities and program managers shall examine and as appropriate adopt innovative practices that reduce cycle time and cost and encourage teamwork l
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(U) DoD Instruction 50002 Operation oftbe Defense Acqulsit10n System May 12 2003 DoD Instruction 50002 establishes a management framework for translating mission requirements into stable affordable and well managed acquisition programs that include weapon systems and automated infonnation systems and bighly sensitive classified cryptologict and intelligence projects and programs Instruction 50002 states thatt during the initial concept design DoD Components should examine mUltiple concepts and material approaches to optimize the way that DoD provides these capabilities That approach sha1I include robust analyses that consider affordability technology maturity and responsiveness
(U) CIingermiddotCohen (Information Technology Management Reform) Act of 1996 This act requires that heads of executive agencies develop and use best pmctices in the acquisition ofinfonnation technology The process ofan flxecutive agency shaH include minimum criteria to be applied in considering whether to undertake a particular investment in infonnation systems including criteria related to the quantitatively expressed projected net risk-adjusted return on investment and specific quantitative and qualitative criteria for comparing and prioritizing alternative information systems inveshnent projects
(U) NSA1CSS Circular 5000R Acquisition Management January 9 2001 The circular implements the principles ofDoD Directive 50001 and DoD Regulation SOOO2-R within the NSAfCSS It establishes basic objectives policies procedures and responsihilities for acquisition management The circular states that for acquisition management within the Defense Cryptologic Frogram NSA should address interoperability between existing and future Service tactical Signals Intelligence systems oonneotivity between tactipal and national systems oonsider applicable technology that may satisfy the requirement and possible duplication ofongoing effort
(U) Objectives
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l (SlfSf) NSA Modernization Studies Thefirst NSA Modernization Stu4Y July 200It was conducted by The National Technology Alliance National penterfor Applied Technology after a thorough review ofon1roin~ activities withfu the TRAILBLAZER Program Management Officq 1
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(U)Summary
(U) Management Comments on the Finding and Audit Response
(UJIIOtiO) ~ementComments The NSA management stated that the draft report did not mclude significant information or included wrong or misleading information The tomplete list ofmanagement tomments is in the Management Comments section ofthis report
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(U~Audit Response We obtained revieweG and analyzed many documents and we interviewed several NSA and contractor personnel to form the conclusions in this report We included all infonnation relevant to support the report findings and rCCQmmendatlons Many people we interviewed asked not to be identified fur fear ofmanagement reprisal We gathered information from many sources to support the finding Paragraphs frequently contain information from several sources to reinforce conclusions Based on management comments we made various editorial changes to the draft report See Appendix J for a completed audit responSe to each management comment
(U) Recommendations Management Comments and Audit Response
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J (b) (l) (b) (3)-50 USC 403 ftfSlISij The NSA has clearly Ill8de great strides in seeking to
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1 S7tsQneeds-unrestrained by past practices or past technologies TRAILBLAZER 1 had the following key responsibilities 1
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bull (U~Act as the catalyst for transforming customer interaction and operational practices Begin the retooling ofNSA 1programmatically technologically and culturally to provide mission services and capabilities that are responsive to the emerging technology and customer needs 1
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was ~nauct~ by The NatiottalT~ologyAlliance 1lati0Jl1l ~enter fo Applied TechiiolQW After a thorough--re-lew rfommmg 8ctifjes Wltbm tbeJ TRAILBLAZER Pro~Management OffiCe_ __
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December 2001 The Chief Signals Intelligence Programs invited the original
study team to conduct a follow-on study to evaluate progress within the] TRAILBLAZER Program Management Office Despite noting some changes
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and Audit Response
J (UIFOlJet Management Comments NSA management referred to several statements in the report that did not include all referenced documents and that some paragraphs contained wrong or misleading information The complete listJ ofmanagement comments is located in the Management Comments section of this report
J (UJIiOff6) Audit Response We obtained reviewed and analyzed many documents to form the basis for the conclusions in this report We also interviewed several NSA and contractor personnel many ofwhom asked not to be identified for fear ofmanagement reprisal We ga~ered infonnation from
J J many sources to support the finding Paragraphs frequently contain infonnation
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J (U) Recommendations Management Comments and Audit
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(~RevisedRetommendatlon As a result ofmanagement cdmmei~ we
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1 (UI1FOUQlYe recommeDd that the Director National Security J AgencyChlef Central Security Service ----------------------~~I (QDesJmatea team to 1 IJ
J (UIFOUO) Manlgement Comments The Director National Security AgencyChief Central Security Service partially concurred with the intent ofthe recommendation but was waiting for the results ofa cost and schedule impact J study before fully concurring The Program Executive Office is establishing an
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(U~) independent review team to complete the study before Milestone B scheduled for December 2004 because the study win have an effect en both the cost and schedule fer Milestone B
-(eT~~IitJlesponse Based on management comments we revised this l IrecommendatiQn The Director National Security AgencyChief Central
Security Servicecomments were responsive and the proposed actions meet the intent ofthe recomTneIJdation The immediate actions taken to designate an independent review teamt~ perfonn the assessment are commendable JMilestone B has slipped to Feb ~~maumu~wmiddotstJmiddotruamamJllSl~illJilmllL- time to com 1ete the assessmeii
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TRAILBLAZER Teclmology Demonstration Platform Milestone Decision Authority (or use in making the ~estoneB decision J (Uf~Management Comments The Director National Security AgencyChief Central Security Service concurred The completion ofthe independent assessment is currently scheduled fer December 2004 J (U~AuditResponse Although the Director National Security AgencyChief Central Security Service concurred the concurrence is based on ]completing the assessment requested in Recommendation B1 We request that the National Security Agency management provide additional comments in response to the final report identifying NSA plans to eliminate the cost and ]schedule risks for completing the assessment
J (U~ _gemeat 6mments Tho Director National Security ]
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Appendix A Scope and Methodology (U) ~ ~ 1 1 -
(UitFooo-We reviewed documentation dating from November 200Qlu~~gh October 2003 including background infonnation mission and operatiQUat ri~ statements concepts and operational requirements and contracting ana budget 1 documents Also we conducted interview
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(U) We performed this audit from Apri12003 through May 2004 in accoid~ce with generally accepted government auditing standards
(UffFOUQ-Umitation to Scope Because our objective was limited to
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evaluating a Defense Hotline allegation relatingto the acquisition ofthe TRAILBLAZER and THINTIlREAD nrolttatns we did not review the roanalement control nroenunl i 1
1 ~
l (U) Use of Computer-Processed Data We did not use computer-processed data to perform this audit
1 1 (UfPOUO) Use ofTechnical Assistance Audit Follow-up and Teehnical Support Personnel assisted us during the audit The Technical Assessment Division assisted in the analysis ofNSA acquisition I l (V) General Accounting Office High-Rlsk Area The General Accounting Office has identified several high-risk areas in DoD Thisreport provides l coverage ofthe Infrastructure Inefficiencies and Infonnation Technology Investments high-risk areas l
(U) Prior Coverage
(UIFOE1OlDuring the last 5 years the Inspector General ofthe NSA issued one l report on TRAILBLAZER that discussed improperly based contract ~st increases non-eonfonnance in the management ofthe Statement ofWark and excessive labor rates for contractor personnel No prior coverage has been l conducted on the NSA THINTHRJAD Program during the last Syears
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(U) Objectives of TRAILBLAZER and the Technical Demonstration Platform
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(UffFOUO Summary ofStudy Recommendations The following is complete list ofrecommendations ofth~ rnINTHREAD Technical Review ~ -
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86-36---_- --_-- ---
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1 ~------------------------------------------------~ (tJ) NSA Modernization Follow-Up Study
lS1fSI1be NSA Modernization Study July 13 2001 AfWnn-JLlithAN~~LClAt-___- Modernization Follow Up StudytJ Dece1nbet 2oo1 t stat~1
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(U) Preliminary r~hoP THINTIIREAD was performed by the Test Technology and Evaluatiordeam in February 2002 but the formal evaluation was
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(U) Summary of TBINT~nI1 J
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1 (U) General Recommendations
1(UFet1t1) Thd IAssessment Study made the followingrecommendati-bdsimr------
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rsc~=t~~1~UmiOV91 ksectxfind~nted 1 U) Finding 1 Discussion 1
U~There _eno technical issues that would prevent THlNTIIREAD 1~~ I 1
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bull (U) Current THINTHREAD system develo~entprocedures were effective and a cooperative development effort was proceeding smoothly 1 with the pilot site
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Q (U) Recommendations There were no reconunendations
(U) Finding 2 Discussion Q
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(U) Recommendations See the recommendations for rnlNTHRBAD Findings I 3 through 7 to address these risks
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J bull (U) some THINTHREAD files could not be viewed to pursue ooaective actions
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(ulP6OO) Recommendations The issues previously mentioned would not
i~______________________________~______________~ i
06 Finding 3 Discussion
iii (U) There was minimal user system technical or programmatic documentation
The existing documentation was insufficient to support the planned deployments
bull (U) There was no user documentation on how to use the tool That was inefficient and could lead to a significant increase in user error
Difficulties using the tool can also lead to an increase in support calls that
l drained project resources
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bull (U) TIUNTHREAD did not have a clearly stated documented set of ~ mission goals or objectives There was no program plan making it
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difficult to communicate infonnation about THINTImEAD at a
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bull (U) A deqilled schedule including all activities related to the system and it deliverables before during and after deployment was not available A
J high-level schedule containing the chronology ofdeployment was if developed but a detailed schedule was essential for proper resource middot1i~1~~~t~ L 86-36 management costing and prediction
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~_o_ -~ c-~gt (U) No installation and maintenance documentation was completed for -~~ -- lt=Jit~rtpersonnel although the team was working with the pilot site
~~- to ~evelOpinstald~atiQ1 dOC~rtation ad ofinstallatioD and --lt- mampntenanceOj-entatio
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bull (U) There~unQoperational support documtanonl - Lack ofsupport documIDtation could adversely affect timely correction or - Inrohtems and CQUll1eadtcf I
(U) The effects ofminimal documentation could be overcome ifan integrated team accomplished the development and deployment ofTHINTHREAD
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(U1F9OO) Recommendations Develop necessary docwnentation ni4t would
o Q necessitate an increase in the personnel devoted to documenting the systerh but is
essential to the successfuJ deployment and operation ofTIIINTHREAD The lack of this documentation presented a serious risk to the successful deployment Of THINTIIREAD
(U) Finding 4 Discussion ~
o AMiJOlO) Deg10wenl pJinwas slow to ~
J bull (UFf3UOlHi8toricaUy~ the TIIINTHREAD Program Team focused on
J the Drototvoe demonstration at the Dilot site The s scone did not
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were not identified The relationsbips between work roles throu out e system s life cycle were not defined The authorities for each work role bad not been identifiedJ The organizational structure set forth by the THINIHREAD Program Team focused on system development and did not address system
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W~) dw1oymentl I A ]ThemmTHRBAD Program Team was defiriirig the
_l~-~~~~~~~~~l a~iionalwork roles necessary for deployuienl activities I
(bj (3) - P L 86-3 6 bull (U) THlNTHREAD did not identifY all the organizations requiring coordination through the various stages ofdeployment
(UiifofJoLRecommendations The findings presented a serious risk to successful deployment ofTHINTHREAD To mitigate those risks the following recommendations were suggested
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(U) Finding 5 Discnssion l (UIFOY~ Xhe customer service and user support processes for THlNTHREAD weremanualIy in~ensive and directly involved the technical staff l
bull UJ1i10U~ The quality Ofservi~_aqg~IbeCeiv----Psing ________ -==-TIUNJlIREADwmnoonsistnt SomC1I1teiVieWedby
(b(3j-=P ~ i---6636 --- TeSiTechnology and Evaluati~Jl ~eam VIewed tlie T4ITHRBAr l --==--_--0___ ~oram Tea~ to b~ unresponsIve mg~eral customa support while-----=+--- __ )xEI1enced good responsIveness to then- requests for
ttions or mOOifi~tions1 I l bull (UIIPOUQ) There was no formal trouble ticket mechanism in place Ifa
user or operator had a problem with TIiIN1HRBADs he contacted someone on the THINTHRBAD Program Team This contact depends on l personal acquaintance because no list ofTHINTHREAD personnel was readily available and there was no mechanism to locate the proper TIflNTHRBAD contact Similarly the status ofthe response to a request l could only be leamed by personal contact
bull (UllFOf167 There was no formal mechanism for managing externally lgenemted requirements to include submitting a new requirement to THINTHREAD or for following the progress ofthe work
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maintainin itb just a few userso _ middotmiddot--ihafpemon was a e to_~jer_orc ang ccording to user - - ______ requests-middotreceived (il1Ule telephone or by e-nw owever as more users
3) _PmiddotmiddotmiddotL---8middot~~ are added one person may have difficulty meeting the increased demand o - ------n-ThelackofperBQll~~~y become a problem as =INJHREAD was scaled to handle an lOcreas-eduserlo~ _ I
o o o bull (UFeYQ) A list ofWeb interface functionalities p~~pose4
was not incorporated into TIIINTHREAD 1-----1
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(UtfPOBe) There was nomiddot ptOQeSs for controllin~ and measuring operational programmatic and technical performance effectiveness ofTHINTIIREADJ once deployed
bull (UJlI6ttQ) TIIINTHREAD did not have a clearly stated set ofsystem specifications or a method to validate the THINTHREAD concept or perfonnance results Thus there was no way to determine ifthe system
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(euroUIFOOS] was successful or ifit failed which may lead to confusion in stakeholders understanding ofthe success ofTHINTHREAD 1bull (Uf~INTHREAD bad mechanisms for assessing progress and status within the system development phase However there were no systematic consistent mecbanisms for overall program measurement which included identifying test criteria establishing program schedules 1 and documenting a system baseline to address progress No feedback mechanisms had been identified such as risk management or contingency planning 1
bull (UIfffit6) Aside from schedule control there were no tools to measure progress towards program objectives because there were no formalized program objectives 1
bull (UFeuroffJe) THINTHREAD did not have Standards ofPerfonnance established for personnel developing THINTHREAD Iffuture 1TIlINTHREADdevelopment crosses organizational groups a common set ofStandards ofPerfonnance for personnel may become necessary
bull (UIfeOO) There was no configuration management process which could 1 pose a~sk when reporting system ~ro~lems and correcting tt~ I In addition the lack ofa configuration management prtl~ cOwa cause difficulty w~en upgrading or deploying versio~_and-aIso make rollback 1extremely nsky
bull (U17P6t1Q) Th~ fault or w~Jlgdet~on wt a~omated h necessary reactions and ~nseswere l-ot- _ _ __ l software provided ~sirtipIe wayo-ooeck sta1=-o=v=an=o=us==s==----- parameters through a W~jntefface However when an operatorrecowizcSmiddota prolemne must actively initiate conective measures l $omeumes-thafaction is a simple matter such as restarting a process At
- Qilierfifues physical hardware must be changed No corrective action bull- -- -- middotmiddotmiddotCould be executed ifan operator was not present to initiate a corrective l lt~-~~~~~gt bull a_cti_middoto_n_____________________--
i~~~p~ B~36--~--~I~_~__~_~_~~_____~~__~_~ l -
middotmiddot-middotmiddot----Q1IFOUO 1HINTHREAD had no established process for managing 1 reqUiremen~
(UfFOtJO) Reonu~dtioiis~--Thefindings that led to the recommendations l would not have revented the successfuIaepJoYment ofTIIINTHRBAD to
~ e recommendations weremadetQmP2ve=tb=e__--- e ency ofTHINTHREAD after it was deploYedll____--
The follOwing is a list ofrecommendations l L-_~--
bull (P(FQafjJ Develop processes and acquire automated tools based on cIearIx stated specifications for controlling and measuring the l ~=hfc ntipn8tand technical performance ofTHINTHREAD
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bull (UIfOUO) Acquire ~ ~mmercia1ly available conij~tioK~ntro system to enable verstorung rollback and configuration management0 The system should interface with the trouble ficketing systeM aitd the requirements management system to Provi9CfulJ traceabilitY
1 o bull (UiAFeUOjDevelop Stand~ ofP~6imance(iffutWeTIinfrHREADdevelopment crosses orgaruzationlUmiddotgroups) i
1 bull (UnO~A~tomate reactiqns and responses to the existin~ fulfIt ando warmng detection systemL ~ J - 1o
bull (U~ 1stBblish a requirements management process for
o uWAD that is linked tol---__~______---I
(U) Finding 7 Discussiono e number and skill mix ofTHINTHREAD nnel was
o ~1iI~~~~=~nnel required for
13 H L Seuro-36---planning-and executing-installatio so there was a lack of --cfocumentatioDtPIQviding the necessary mam anoo and help desk supporto oonfigurapon managemen~-and planningYlg~~~u1ing CpUectively thyse
o ~_ shortoommgs jeated a senous nsk to successful comp1eti0nL _ J 1 ~_ _ 1-_--I
(UlFOtJ~ Recommendations The finding presented serious risk to successful deployment ofTHINTHREAD It was recommended to continue to identify and o I=~lhord~ofsdll~=-= ired fur
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~ (U) Introduction
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(U) Needs Analysis Revisited i
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(b) (3)-PL 86-36 (U) System Capabilities Overviews
~ The followin section outlines the strenJ
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(U) Cost Analysis middotmiddot(lJ-3JFbull L 86-36
IThotlblwiJfiiinhetica1 soenariiuiiaiiidliowr--------- ay produce a more effective result in terms ofigtOth complexity and cost
A ew assumptions apply
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1 NCLASSIFIEDJlFOR OFFleb~l uscAppendix I Glossary (U) BY COMPILATON WHEN ASSO
WITH REST OF D-OCU=t=~IE=N--T__---J 1 (U) r------------------------7b)-(3~)--ampP 86middot36 1
1 l 1 1 1 1
Consultative Committee for International Telegraph and Telephone (CCIT1) 1Consultative Committee for International Telegraph and Telephone is the International organization responsible for the development ofcommunications standards Now called 1 the International Telecommunication Union Telecommunication Standardization Sector
(b)(3) PL 86middot36
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Elettronfc Industries As~odatlon (EIA) A group that specifies eJectrical transmission standards The Electronic Jndustries Association and Telecommunications Induslry I Association have developed numerous well-bown communications standards including l Electronic Industries Association and Telecommunications IndusfIy Association 232 and I Electronic Induslrles Association and Telecommunications Induslly Aosoclaion -449 I
(U)
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l International Telecommunication Union Telecommunkation Standardization ~ lSedor (lTV-T) International body that develops worldwide standards for
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telecommunications teclmologies The International Telecommunication Union Telecommunication Standardization Sector carries out the functions ofthe former Consultative Committee for International Telegraph and Telephone l
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International Organization for Standardization (ISO) International organization that is responsible for awide range ofstaruiards including those relevant to networking The l International Organization for Standardization developed the Open System Interconnection reference model a popular networking reference model
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I (b) (3) -T Institute of Electrical and Electronics Engineers (IEEE) 8023 Institute ofEIectrical and Electronics Engineers LAN protocol that specifies an implementation ofthe physical layer and the MAC sublayer ofthe data link layer Institute afElectrical and Electronics Engineers 8023 uses Carrier Sense Multiple Access Collision Detect access at a variety ofspeeds over a variety of physical media Extensions to the I Institute ofElectrical and Electronics Engineers 8023 standard specify implementations for Fast Ethernet
(b)3)-P L 86-36
Open System Interconnedion (OSI) International standard~tion program created by International Organization for Standardization and International Telecommunication Union Telecommunication Standardization Sector to develop standards for data networking that facilitate multimiddotvendor equipment interoperability
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Telecommunications Industry Associlltfon (IIA) Organization that developsstandards relating to telecommunications technologies Together the TelecommWlications Industry Association and the Electronic Industries Association have fOlDlalized standards such as Electronic Industries Association and Telecommunications Industry Association M232 for the electrical characteristics ofdata transmission
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Appendix J ~esponse to Management Comments (U)
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NSA will a ee to conduct an independent e believe that it will validate all of the assertions niMein our reSpons--egoeImiddotmiddot tOf General recommendations
F=~criedd~~fffl it~ th~~~~nH1p nlan~uA wad dl Iill Iwhich was conaucteaIn an openmiddot ~on1o proVlae ffi~esl oenent lor Agency mISSIOn and customers More Importantly tfiere h~ been no eVldence
documented during this Office ofInspector General investigauQl1 that supports that complaint -~ lib) [3J-lL 86-36 ~
(8181) Audit Response The report doi ~l million e TRAILBLAZE
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(U~anagement Comments NSA recommended that the audit report emphasis NSAs cooperation and responsiveness to Congress
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(UIFOU8) Management Comments NSA recommended that the audit report emphasis that the THINTHRBAD capability is valued by NSA
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~--------------------------------------------------~~--~(Sf51) Management Comments NSAj~~~~en~t~d~o~es~n~ot~a~~w~ithlAllth~eDfIoD~~___ Office cfIns etor Generars assessmen
(SSij Audit Response We acknowledge the fact that the current scope ofthe TRAILBLAZER is to provide the infonnation technology ftamework for the entire
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(euro) Management Comments NSA managements stated that TRAILBLAZER and ~e Technology Demonstration Platfonn have invested considerable effort to build a signal intelligence architecture that is open and scaleable applies DoQ commercial and NSA
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(Sl8I)Management Comments NSA management comments stated that the Executive ~f
Summarys assertion that NSA disregarded solutions to Uf2ent national security needs ~) (1) is not accurate ~p) (3) -50 USC 40 (1lt) (3)-PL 86-3
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(SNSI) Audit Response NSA comments are inaccurate Major issues raised in the manaSement comments are addressed in the reoort sneciftcallvthe issue of
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(UJ~anagementComments NSAmanag~ent comments stated th~t fue TRAILBLAZER has long-established plans for external assessment ofthe Techlology Demonstration Platfonn for prepamtion for IfliJestone B The Independent Veri1jcAtion and Validation (JVampV) of29 Evaluation Criteria is being conducted by NSAs independent Office ofCorporate Assessmmits Test and Technical Evaluation eleimthlt (TIE) The Early Operational Assessmentiand Operational Assessment will be perfonned by JlTC which had establisheda presence in TRAILBLAZER spaces ~y November 2003 Results ofboth activitieS will be provided to the Milestone Deciaio4 Authority before Milestone B
i (U~ Audit Response TRAILBLAZER postponed Milestone B schedul~ Ifor December 2004 because of technical issues with the Technology Demonstration Platfonn February 200S is the earllest date that TRAILBLAZER will be readr fr MILESTONE B I ~
i
~anagementComments NSA manaampmlmn ~mts staled thatJhe )
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109
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I Iofdollars Instead this phrase is only used to accurately describe p specific liotline complaint allegation that initiated this audit
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112
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Office of the Secretary ofDefense
11 Under Secretary ofDefense for Acquisition Technology and Logistics Under Secretary ofDefense (Comptroller) Under Secretary ofDefense for Intelligence
11 Assistant Secretary ofDefense for Netwerks and Infonnation Integration
11 Other Defense Organization
Director National Security Agency Inspector GeneraJ Natienal Security Agency1] Inspector General Defense Intelligence Agency Inspector General National Geospaual-Intelligence Agency Inspector General Natienal Reconnaissance Office
II Congressional Committees and Subcommittees Chairman and
Ranking Minority Member] Senate Subcommittee onDefense Committee en Appropriations Senate Committee on Anned Services] Senate Select Committee on Intelligence House Subcommittee on Defense Committee on Appropriations House Committee on Armed Services House Permanent Select Committee on Intelligence]
(11)]
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1
SECURITY CLASSIFICATION f(FiJ ( Cl 1 ] 1NSA STAFF PROCESSING FORM
TO
IKCC CONTROL NUMBERCoS DC09-017-05 THRU ACTION eXREQ SUSPENSE
~=-c=---------------------l 0 APPROVALSUBJECT KCC SUSPENSE (U) (COP liJIiCRSlIIGOMUffl Office of the IG of the Department of IX] SIGNATURE
ELEMENT SUSPENSEDefense Report on TRAILBLAZER and THINTHREAD Systems 0 INfORMATION
DISTRIBUTION
SUMMARY (u)
PIJRPOSE (GONFIDENFfAIoS202911pound3) Attached for your review and signature is the NSA consolidated response to the report from the DoD OIG on requirements for TRAILBLAZER and TIDNTHREAD systems
End als
Alb) 13l-PL lj
86-36
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OFFIce NAME AND DATE OFFICE NAME AND OAlE
ORG PHONE (Secure OATE PREPARED
DC09 963-5021 11 February 2005
SECURITY CLASSIfICATIONDerived from NSAlCSSM 1-52
DATED 23 November 2004 Declassify On 20291123
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NATIONAL SECURITY AGENCY FORT GEORGE G MEADE JiARY~AND 20755-6000
11 February 2005
MEMORANDUM FOR DEPUTY ASSISTANT INSPECTOR GENERAL FOR INTELLIGENCE AUDITS
SUBJECT (UIFOUO) DoD OIG Audit Report Requirements for the TRAILBLAZER and THINTHREAD Systems1 dated December 15 2004 (Report OS-INTELshy03 Project No D2003AL-OlOO) - INFORMATION MEMORANDUM
(UIFtJtJ9+In response to the DoD OIG request for additional information on the TRAILBLAZER and THINTHREAD report NSACSS provides consolidated corporate comments from our Signals Intelligence Directorate Acquisition Organization and Information Technology Infrastructure Services Organization (now the Infalmation Technology Directorate)
NSAlCSS Resllonse
-teTSubsequent to the DoD OIG report the TRAILBLAZER Milestone has been I scheduled for late in the fourth quarter of FYOS from the previously scheduled earlyenr MS B Accordingly this now allows sufficient time for the conduct of the assessmeftt recommended by the DoD OIG
e lIla ze r
b M 2005 Y ay - i
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If_ bave anY QUestiODrr need additional information Pbgt6~~t
(b) (l)
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MARIA N OCONNOR Chief ofStaff
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CONFfDENJfAIffS9291123
NSA STAFF PRO ESSING FORM EXflEG CONTROl NUMBER J(CC CONTROl NUMBER
DA4-04-05 ACTION EXAEG SUSPENSE
-------~_______________I fi] APPROVAL SUBJECT KCC SUSPENse (U~THINTHREAD I TRAILBLAZER 1G [iJ SIGNATURE
ELEMENT SUSPENSEAUDIT REPORT 0 INFORMATION
DISTRI8UTION
SUMMARV
PURPOSE (UtFeYO) To provide the recommended PEO input to the consolidated NSA response regarding actions requested by the final Department of Defense (DoD) Office ofInspector General (OIG) report 05-INTEL-03 Requirements for TRAlLBLAZER and THINTHREAD Systems of 15 December 2004
-tarIn response to ~hidraft7 in August the Agency concurred with comments ~-Tpe following is an excerpt fr9mthose comments laquo The Program Executive Office (PEO) is ta1tingmiddotth~ lead in estab1ishin~an independent review teruv- for Derforming this assessment with the intentiqn that itsJesuIts will be completed in timet I
f IMilestone B documentationraquo
~At the time of this statement (Aug (04) the TRAILBLAZER Milestone B (MSB) was scheduled for December (04 When the final report was published the PEO Assessment had not yet begun Concerned that the assessment could not be completed in time to support a December milestone the DoD OIG requested via the final report that they be provided NSA plans to eliminate the cost and schedule risks for completing the assessment
(GtSince release of the final Audit Report a DIRNSA-Chartered Transformational Advisory Panel (TAP) recommended TRAILBLAZER be rebaselined The MBB is now planned for late Fourth Quarter FY05
COOROINAilONIAPPROVAl
OFFICE NAME AND DATE OFFICE NAME AND DATE sg~degtt~tii
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DATE PREPAREO ~~
l)A4 963-7368 - 8 February 2005 -~---
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FORM Aamps6 REV NOV 1)$ SECURlt ~SSlFI~ilON Oerlved From ($upe~ A8796FE894 =gt l- _COtfFfBENHtu whfch is OOS()feco Declassify On ~~ - of bullmiddotmiddotmiddotmiddotfi bullNSN 754(-FMQOt-5485 - l - _ (b )()3 -Po L bull 8 6-36
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~ (U~he development of this resP~98en~~en coordinated Wit~r-----lmd the TRAILBLAZER Program Manag~m~nt Office
~ RECOMMENDATION
1 (UJFeiffe1 A form~lRfsk Mitigation Plan is not recommended The PEO is committed to cogducting the assessment The team is currently being fOlriled a kick-offm~gjsj)Ianned for March and the team is expected to report to MrJ II INLT May 31st The cost and schedule impact ofconducting the assessment pose very low risk to the Transformational Programs
2 (UIF8YGl Recommend the response provided as an attachment be forwarded to the DoD OIa as part of the Agencys consolidated response to the Final Report
DOCIDe 3253346
1 1 Team Members (U)
(U) The Office of the Deputy Inspector General for Intelligence ofthe Department ofDefense Intelligence-Audit prepared this report Personnel ofthe Office ofthe Inspector General ofthe Department ofDefense who contributed to the report are listed below
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o (U) Background e l (3J -PL 86-36Q
Q ~otlineAllegations A letter to the Defense Hotline requ ~ centat the
Inspector General ofthe Department ofDeferise audit and investi f the acquisition of the TRAILBLAZER and THlNTHREAD programsThemiddotmiddotcpmplaint charged the NSA with fraud waste abuse and a disr ent
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(U) National Security Agency Mission and Planning Guidance The mission of the National Security AgencyCentral Security Service (NSAlCSS) is to
J ] provide actionable Signals Intelligence to US decisionmakers from the national
to the tactical level while protectin~ the nations vital infonnation from attacks The urgency ofthe NSA CSS miSSIon is greater than ever since the September middot11til attacks and the Global Wax on Terrorism
(U~ addition defense planning guidance and the Director ofCentral
J Intelligence guidance stipulate the need for St globally vigilant intelligence system that can provide early strategic warning ofcrisis and det~ threats that is supported by capabmti~ such as an information superiority backbone
J _____ ___ _____ ~BLAZERis-~ Fm)or acq~sition p~~which fblTi j--- started in FY 2000 and 18 schedUled for tnltial operating capablhty m FY 2009 to (b) (3) -5 0 USC 403 acquire an integrated system that is composed largely ofcommercial technology (b I (3)- L 86-36 to provide the much-needed mission capability against the global networlc through
1 a series ofspiral developments The TRAILBLAZER system will deliver hardware and software system integration and program integration services toJ include
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cqubitfon Guidance for l - rz~~~SI---r~UlS~lti~O~nls~pro=V1=-r111~middot D Directive 50001
on bull an the Clinger Cohen Act of 1996 Specifically these regulations provide the framework for the acquisition ofmajor automated l information systems
(U) DoD Dlreettve 50001 The Defense Acquisition System May 12 2003 lDoD Directive 50001 establishes the management process by which the DoD provides effective affordable and timely systems to the users DoD Directive 50001 states that all acquisition professionals shall continuously develol and implement initiatives to streamline and improve the Defense l AcquisItion System Specifically this directive states that military decision authorities and program managers shall examine and as appropriate adopt innovative practices that reduce cycle time and cost and encourage teamwork l
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(U) DoD Instruction 50002 Operation oftbe Defense Acqulsit10n System May 12 2003 DoD Instruction 50002 establishes a management framework for translating mission requirements into stable affordable and well managed acquisition programs that include weapon systems and automated infonnation systems and bighly sensitive classified cryptologict and intelligence projects and programs Instruction 50002 states thatt during the initial concept design DoD Components should examine mUltiple concepts and material approaches to optimize the way that DoD provides these capabilities That approach sha1I include robust analyses that consider affordability technology maturity and responsiveness
(U) CIingermiddotCohen (Information Technology Management Reform) Act of 1996 This act requires that heads of executive agencies develop and use best pmctices in the acquisition ofinfonnation technology The process ofan flxecutive agency shaH include minimum criteria to be applied in considering whether to undertake a particular investment in infonnation systems including criteria related to the quantitatively expressed projected net risk-adjusted return on investment and specific quantitative and qualitative criteria for comparing and prioritizing alternative information systems inveshnent projects
(U) NSA1CSS Circular 5000R Acquisition Management January 9 2001 The circular implements the principles ofDoD Directive 50001 and DoD Regulation SOOO2-R within the NSAfCSS It establishes basic objectives policies procedures and responsihilities for acquisition management The circular states that for acquisition management within the Defense Cryptologic Frogram NSA should address interoperability between existing and future Service tactical Signals Intelligence systems oonneotivity between tactipal and national systems oonsider applicable technology that may satisfy the requirement and possible duplication ofongoing effort
(U) Objectives
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(UIF6lJQ)T~bnical Review Studies A number ofintemal and external teclinica1] review studies were conducted to determinel
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l (SlfSf) NSA Modernization Studies Thefirst NSA Modernization Stu4Y July 200It was conducted by The National Technology Alliance National penterfor Applied Technology after a thorough review ofon1roin~ activities withfu the TRAILBLAZER Program Management Officq 1
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(U) The NSA Modernization Study recommended that
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(U7FOYQ) The National Center for Applied Technology issued a second report a quick-Iooklt follow-on to the first report in December 2001 The Chie-4 Signals Intelligence Programs invited the original study team to conduct a foI1ow- OD study to evaluate progress within the TRAlLBLAZER Program Management Office Despite noting some changes made in NSA management and the TRAILBLAZER Programs acqUisition strategy that promised to address the conflicts and issues DOted in the first report the study team found that
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(U)Summary
(U) Management Comments on the Finding and Audit Response
(UJIIOtiO) ~ementComments The NSA management stated that the draft report did not mclude significant information or included wrong or misleading information The tomplete list ofmanagement tomments is in the Management Comments section ofthis report
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(U~Audit Response We obtained revieweG and analyzed many documents and we interviewed several NSA and contractor personnel to form the conclusions in this report We included all infonnation relevant to support the report findings and rCCQmmendatlons Many people we interviewed asked not to be identified fur fear ofmanagement reprisal We gathered information from many sources to support the finding Paragraphs frequently contain information from several sources to reinforce conclusions Based on management comments we made various editorial changes to the draft report See Appendix J for a completed audit responSe to each management comment
(U) Recommendations Management Comments and Audit Response
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(U) A We recommend that the Director National Seurity AgencyChief Central Security Service
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M a ement did not understand what was meant b ] ~------------------------------------------~ iBSI)AudJtResponse Based on management comments we revised the
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(U) Congressional Concerns on Digital Network Exploitation
J (U) The National Defense Authorization Act for FY 2002 stated that
J (b) (l) (b) (3)-50 USC 403 ftfSlISij The NSA has clearly Ill8de great strides in seeking to
J bl (3)-PL 86-36 uansform itself in many areas However the NSA appeaIB to have
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J J (SNSI) en March 24 2000 the Director NSA signed the TRAlLBLAZER 1
charter to~te a new Signals Intelligence enterprise to exploit the global network ~~~with an estimated development cost Dfapproximatel as to respond to the opportunities and challenges provided by logies to design new operational practices for on-time delivery ofproducts and services in the manner that best met customer
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1 S7tsQneeds-unrestrained by past practices or past technologies TRAILBLAZER 1 had the following key responsibilities 1
bull (UtfiOOO) Ensure the execution ofa new NSA program transfonning the us Cryptologic System exploitation ofthe global network Map detailed digital network exploitation mission requirements to a cryptologic architecture and implement them and 1
bull (U~Act as the catalyst for transforming customer interaction and operational practices Begin the retooling ofNSA 1programmatically technologically and culturally to provide mission services and capabilities that are responsive to the emerging technology and customer needs 1
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J - middot-middotmiddotmiddotmiddot middotmiddot middot-WhtNSAlfOderntzanOIl Study The House Permanent Select Committee - onlnteligence directed-th~ first NSA Mod~tion Study July 2001 which
was ~nauct~ by The NatiottalT~ologyAlliance 1lati0Jl1l ~enter fo Applied TechiiolQW After a thorough--re-lew rfommmg 8ctifjes Wltbm tbeJ TRAILBLAZER Pro~Management OffiCe_ __
r---lmd interviews withk~yprogram personnLebull1--th7e--NOa-=timiddoto-n--Cen--ter~fi-or---l ~ Techno1ogy team observe4~at fh~TBLAZER was noortvJ executed and bad an overly expenslv~ ______
The NSA Modernization Study recommlen~tM1ar------------I
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-(SSf) Seeolld NSA Modernization Study A second National Center for Applied Technology report a quick-look follow-on report was completed inJ
December 2001 The Chief Signals Intelligence Programs invited the original
study team to conduct a follow-on study to evaluate progress within the] TRAILBLAZER Program Management Office Despite noting some changes
J made in NSA management and the TRAlLBLAZER Program acquisition strategy that promised to address the conflicts and issues noted in the fust report the study team found that
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(SHS~ rRAILBLAZER was deyelope~UooUii~gwltlaIILlUI~IIIUoLIIWoIIIoltl-_- enterprise to exploit the global network l
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J J ] (U) Summary ofManagement Comments on the Audit Finding
and Audit Response
J (UIFOlJet Management Comments NSA management referred to several statements in the report that did not include all referenced documents and that some paragraphs contained wrong or misleading information The complete listJ ofmanagement comments is located in the Management Comments section of this report
J (UJIiOff6) Audit Response We obtained reviewed and analyzed many documents to form the basis for the conclusions in this report We also interviewed several NSA and contractor personnel many ofwhom asked not to be identified for fear ofmanagement reprisal We ga~ered infonnation from
J J many sources to support the finding Paragraphs frequently contain infonnation
from several sources to reinforce conclusions See Appendix] for a complete audit response to each IDlUlagement comment
J (U) Recommendations Management Comments and Audit
Response lIb) (l (b) (3)-PL 86-36
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(~RevisedRetommendatlon As a result ofmanagement cdmmei~ we
J IreV1sed Recommendations Bt and B3 to ctarlfythe intend1Use of
1 (UI1FOUQlYe recommeDd that the Director National Security J AgencyChlef Central Security Service ----------------------~~I (QDesJmatea team to 1 IJ
J (UIFOUO) Manlgement Comments The Director National Security AgencyChief Central Security Service partially concurred with the intent ofthe recommendation but was waiting for the results ofa cost and schedule impact J study before fully concurring The Program Executive Office is establishing an
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(U~) independent review team to complete the study before Milestone B scheduled for December 2004 because the study win have an effect en both the cost and schedule fer Milestone B
-(eT~~IitJlesponse Based on management comments we revised this l IrecommendatiQn The Director National Security AgencyChief Central
Security Servicecomments were responsive and the proposed actions meet the intent ofthe recomTneIJdation The immediate actions taken to designate an independent review teamt~ perfonn the assessment are commendable JMilestone B has slipped to Feb ~~maumu~wmiddotstJmiddotruamamJllSl~illJilmllL- time to com 1ete the assessmeii
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TRAILBLAZER Teclmology Demonstration Platform Milestone Decision Authority (or use in making the ~estoneB decision J (Uf~Management Comments The Director National Security AgencyChief Central Security Service concurred The completion ofthe independent assessment is currently scheduled fer December 2004 J (U~AuditResponse Although the Director National Security AgencyChief Central Security Service concurred the concurrence is based on ]completing the assessment requested in Recommendation B1 We request that the National Security Agency management provide additional comments in response to the final report identifying NSA plans to eliminate the cost and ]schedule risks for completing the assessment
J (U~ _gemeat 6mments Tho Director National Security ]
- Ag~cy~ef-Gentrals~tyB~1~t~_~115urredt andjWtil that the assessment middotmiddot~middot -___teQuired m Recommendation B1 WIll De mcludedm-thL_______--
PmMilestone B scheduled for December 2004 ]- __shy
(BIfSI) Audit RDii~-Altho~gh the Director National Security AgencyChief Central Security Service concurredthe-COllcurrence is blSed on completing the assessment requested in Recommendation alBased on 1981WemClltcmmIlCllts J to Recommendation B2 this recommendation was reVis
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1 ~ twe request additional comments in response to the firuit report identitYiIig NSA pans to eliminate the1 cost and schedule risks for completing the assessment l
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Appendix A Scope and Methodology (U) ~ ~ 1 1 -
(UitFooo-We reviewed documentation dating from November 200Qlu~~gh October 2003 including background infonnation mission and operatiQUat ri~ statements concepts and operational requirements and contracting ana budget 1 documents Also we conducted interview
I 1
1 t 1
(U) We performed this audit from Apri12003 through May 2004 in accoid~ce with generally accepted government auditing standards
(UffFOUQ-Umitation to Scope Because our objective was limited to
1
evaluating a Defense Hotline allegation relatingto the acquisition ofthe TRAILBLAZER and THINTIlREAD nrolttatns we did not review the roanalement control nroenunl i 1
1 ~
l (U) Use of Computer-Processed Data We did not use computer-processed data to perform this audit
1 1 (UfPOUO) Use ofTechnical Assistance Audit Follow-up and Teehnical Support Personnel assisted us during the audit The Technical Assessment Division assisted in the analysis ofNSA acquisition I l (V) General Accounting Office High-Rlsk Area The General Accounting Office has identified several high-risk areas in DoD Thisreport provides l coverage ofthe Infrastructure Inefficiencies and Infonnation Technology Investments high-risk areas l
(U) Prior Coverage
(UIFOE1OlDuring the last 5 years the Inspector General ofthe NSA issued one l report on TRAILBLAZER that discussed improperly based contract ~st increases non-eonfonnance in the management ofthe Statement ofWark and excessive labor rates for contractor personnel No prior coverage has been l conducted on the NSA THINTHRJAD Program during the last Syears
l l
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o (U) Inspector General NSA
Q (U~eportNo ST~03middot0014 TRAILBLAZER lISIGINTPrograms Systems Engineering and Te()1mica1 Assistance Contract September 30 2004 o
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Appendix B TRAILBLAZER (U) ~
(U) Objectives of TRAILBLAZER and the Technical Demonstration Platform
I i
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bull (UIFSYO) Common standards and interfaces throughout th~ NSA Reference Model
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(SlI8I) Specifically the TRAILBLAZER framework must leverage the best
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Appendix F Technical Studies (U) 1
~fflou~~1~____________~~~NTHREAD Technical Review l
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(UffFOUO Summary ofStudy Recommendations The following is complete list ofrecommendations ofth~ rnINTHREAD Technical Review ~ -
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1 ~------------------------------------------------~ (tJ) NSA Modernization Follow-Up Study
lS1fSI1be NSA Modernization Study July 13 2001 AfWnn-JLlithAN~~LClAt-___- Modernization Follow Up StudytJ Dece1nbet 2oo1 t stat~1
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(U) Preliminary r~hoP THINTIIREAD was performed by the Test Technology and Evaluatiordeam in February 2002 but the formal evaluation was
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(U) Summary of TBINT~nI1 J
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1(UFet1t1) Thd IAssessment Study made the followingrecommendati-bdsimr------
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bull (U) Current THINTHREAD system develo~entprocedures were effective and a cooperative development effort was proceeding smoothly 1 with the pilot site
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(U) Finding 2 Discussion Q
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i~______________________________~______________~ i
06 Finding 3 Discussion
iii (U) There was minimal user system technical or programmatic documentation
The existing documentation was insufficient to support the planned deployments
bull (U) There was no user documentation on how to use the tool That was inefficient and could lead to a significant increase in user error
Difficulties using the tool can also lead to an increase in support calls that
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bull (U) TIUNTHREAD did not have a clearly stated documented set of ~ mission goals or objectives There was no program plan making it
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difficult to communicate infonnation about THINTImEAD at a
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bull (U) A deqilled schedule including all activities related to the system and it deliverables before during and after deployment was not available A
J high-level schedule containing the chronology ofdeployment was if developed but a detailed schedule was essential for proper resource middot1i~1~~~t~ L 86-36 management costing and prediction
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~_o_ -~ c-~gt (U) No installation and maintenance documentation was completed for -~~ -- lt=Jit~rtpersonnel although the team was working with the pilot site
~~- to ~evelOpinstald~atiQ1 dOC~rtation ad ofinstallatioD and --lt- mampntenanceOj-entatio
~ltj- ---t~----------- I _ ---- -- -- _-
bull (U) There~unQoperational support documtanonl - Lack ofsupport documIDtation could adversely affect timely correction or - Inrohtems and CQUll1eadtcf I
(U) The effects ofminimal documentation could be overcome ifan integrated team accomplished the development and deployment ofTHINTHREAD
76 TOP SRCHTIeuroOiHNlf1l28291123
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(U1F9OO) Recommendations Develop necessary docwnentation ni4t would
o Q necessitate an increase in the personnel devoted to documenting the systerh but is
essential to the successfuJ deployment and operation ofTIIINTHREAD The lack of this documentation presented a serious risk to the successful deployment Of THINTIIREAD
(U) Finding 4 Discussion ~
o AMiJOlO) Deg10wenl pJinwas slow to ~
J bull (UFf3UOlHi8toricaUy~ the TIIINTHREAD Program Team focused on
J the Drototvoe demonstration at the Dilot site The s scone did not
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were not identified The relationsbips between work roles throu out e system s life cycle were not defined The authorities for each work role bad not been identifiedJ The organizational structure set forth by the THINIHREAD Program Team focused on system development and did not address system
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(bj (3) - P L 86-3 6 bull (U) THlNTHREAD did not identifY all the organizations requiring coordination through the various stages ofdeployment
(UiifofJoLRecommendations The findings presented a serious risk to successful deployment ofTHINTHREAD To mitigate those risks the following recommendations were suggested
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(U) Finding 5 Discnssion l (UIFOY~ Xhe customer service and user support processes for THlNTHREAD weremanualIy in~ensive and directly involved the technical staff l
bull UJ1i10U~ The quality Ofservi~_aqg~IbeCeiv----Psing ________ -==-TIUNJlIREADwmnoonsistnt SomC1I1teiVieWedby
(b(3j-=P ~ i---6636 --- TeSiTechnology and Evaluati~Jl ~eam VIewed tlie T4ITHRBAr l --==--_--0___ ~oram Tea~ to b~ unresponsIve mg~eral customa support while-----=+--- __ )xEI1enced good responsIveness to then- requests for
ttions or mOOifi~tions1 I l bull (UIIPOUQ) There was no formal trouble ticket mechanism in place Ifa
user or operator had a problem with TIiIN1HRBADs he contacted someone on the THINTHRBAD Program Team This contact depends on l personal acquaintance because no list ofTHINTHREAD personnel was readily available and there was no mechanism to locate the proper TIflNTHRBAD contact Similarly the status ofthe response to a request l could only be leamed by personal contact
bull (UllFOf167 There was no formal mechanism for managing externally lgenemted requirements to include submitting a new requirement to THINTHREAD or for following the progress ofthe work
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maintainin itb just a few userso _ middotmiddot--ihafpemon was a e to_~jer_orc ang ccording to user - - ______ requests-middotreceived (il1Ule telephone or by e-nw owever as more users
3) _PmiddotmiddotmiddotL---8middot~~ are added one person may have difficulty meeting the increased demand o - ------n-ThelackofperBQll~~~y become a problem as =INJHREAD was scaled to handle an lOcreas-eduserlo~ _ I
o o o bull (UFeYQ) A list ofWeb interface functionalities p~~pose4
was not incorporated into TIIINTHREAD 1-----1
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(UtfPOBe) There was nomiddot ptOQeSs for controllin~ and measuring operational programmatic and technical performance effectiveness ofTHINTIIREADJ once deployed
bull (UJlI6ttQ) TIIINTHREAD did not have a clearly stated set ofsystem specifications or a method to validate the THINTHREAD concept or perfonnance results Thus there was no way to determine ifthe system
79
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(euroUIFOOS] was successful or ifit failed which may lead to confusion in stakeholders understanding ofthe success ofTHINTHREAD 1bull (Uf~INTHREAD bad mechanisms for assessing progress and status within the system development phase However there were no systematic consistent mecbanisms for overall program measurement which included identifying test criteria establishing program schedules 1 and documenting a system baseline to address progress No feedback mechanisms had been identified such as risk management or contingency planning 1
bull (UIfffit6) Aside from schedule control there were no tools to measure progress towards program objectives because there were no formalized program objectives 1
bull (UFeuroffJe) THINTHREAD did not have Standards ofPerfonnance established for personnel developing THINTHREAD Iffuture 1TIlINTHREADdevelopment crosses organizational groups a common set ofStandards ofPerfonnance for personnel may become necessary
bull (UIfeOO) There was no configuration management process which could 1 pose a~sk when reporting system ~ro~lems and correcting tt~ I In addition the lack ofa configuration management prtl~ cOwa cause difficulty w~en upgrading or deploying versio~_and-aIso make rollback 1extremely nsky
bull (U17P6t1Q) Th~ fault or w~Jlgdet~on wt a~omated h necessary reactions and ~nseswere l-ot- _ _ __ l software provided ~sirtipIe wayo-ooeck sta1=-o=v=an=o=us==s==----- parameters through a W~jntefface However when an operatorrecowizcSmiddota prolemne must actively initiate conective measures l $omeumes-thafaction is a simple matter such as restarting a process At
- Qilierfifues physical hardware must be changed No corrective action bull- -- -- middotmiddotmiddotCould be executed ifan operator was not present to initiate a corrective l lt~-~~~~~gt bull a_cti_middoto_n_____________________--
i~~~p~ B~36--~--~I~_~__~_~_~~_____~~__~_~ l -
middotmiddot-middotmiddot----Q1IFOUO 1HINTHREAD had no established process for managing 1 reqUiremen~
(UfFOtJO) Reonu~dtioiis~--Thefindings that led to the recommendations l would not have revented the successfuIaepJoYment ofTIIINTHRBAD to
~ e recommendations weremadetQmP2ve=tb=e__--- e ency ofTHINTHREAD after it was deploYedll____--
The follOwing is a list ofrecommendations l L-_~--
bull (P(FQafjJ Develop processes and acquire automated tools based on cIearIx stated specifications for controlling and measuring the l ~=hfc ntipn8tand technical performance ofTHINTHREAD
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bull (UIfOUO) Acquire ~ ~mmercia1ly available conij~tioK~ntro system to enable verstorung rollback and configuration management0 The system should interface with the trouble ficketing systeM aitd the requirements management system to Provi9CfulJ traceabilitY
1 o bull (UiAFeUOjDevelop Stand~ ofP~6imance(iffutWeTIinfrHREADdevelopment crosses orgaruzationlUmiddotgroups) i
1 bull (UnO~A~tomate reactiqns and responses to the existin~ fulfIt ando warmng detection systemL ~ J - 1o
bull (U~ 1stBblish a requirements management process for
o uWAD that is linked tol---__~______---I
(U) Finding 7 Discussiono e number and skill mix ofTHINTHREAD nnel was
o ~1iI~~~~=~nnel required for
13 H L Seuro-36---planning-and executing-installatio so there was a lack of --cfocumentatioDtPIQviding the necessary mam anoo and help desk supporto oonfigurapon managemen~-and planningYlg~~~u1ing CpUectively thyse
o ~_ shortoommgs jeated a senous nsk to successful comp1eti0nL _ J 1 ~_ _ 1-_--I
(UlFOtJ~ Recommendations The finding presented serious risk to successful deployment ofTHINTHREAD It was recommended to continue to identify and o I=~lhord~ofsdll~=-= ired fur
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~ (U) Introduction
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(U) Needs Analysis Revisited i
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Consultative Committee for International Telegraph and Telephone (CCIT1) 1Consultative Committee for International Telegraph and Telephone is the International organization responsible for the development ofcommunications standards Now called 1 the International Telecommunication Union Telecommunication Standardization Sector
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Elettronfc Industries As~odatlon (EIA) A group that specifies eJectrical transmission standards The Electronic Jndustries Association and Telecommunications Induslry I Association have developed numerous well-bown communications standards including l Electronic Industries Association and Telecommunications IndusfIy Association 232 and I Electronic Induslrles Association and Telecommunications Induslly Aosoclaion -449 I
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l International Telecommunication Union Telecommunkation Standardization ~ lSedor (lTV-T) International body that develops worldwide standards for
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Office of the Secretary ofDefense
11 Under Secretary ofDefense for Acquisition Technology and Logistics Under Secretary ofDefense (Comptroller) Under Secretary ofDefense for Intelligence
11 Assistant Secretary ofDefense for Netwerks and Infonnation Integration
11 Other Defense Organization
Director National Security Agency Inspector GeneraJ Natienal Security Agency1] Inspector General Defense Intelligence Agency Inspector General National Geospaual-Intelligence Agency Inspector General Natienal Reconnaissance Office
II Congressional Committees and Subcommittees Chairman and
Ranking Minority Member] Senate Subcommittee onDefense Committee en Appropriations Senate Committee on Anned Services] Senate Select Committee on Intelligence House Subcommittee on Defense Committee on Appropriations House Committee on Armed Services House Permanent Select Committee on Intelligence]
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1
SECURITY CLASSIFICATION f(FiJ ( Cl 1 ] 1NSA STAFF PROCESSING FORM
TO
IKCC CONTROL NUMBERCoS DC09-017-05 THRU ACTION eXREQ SUSPENSE
~=-c=---------------------l 0 APPROVALSUBJECT KCC SUSPENSE (U) (COP liJIiCRSlIIGOMUffl Office of the IG of the Department of IX] SIGNATURE
ELEMENT SUSPENSEDefense Report on TRAILBLAZER and THINTHREAD Systems 0 INfORMATION
DISTRIBUTION
SUMMARY (u)
PIJRPOSE (GONFIDENFfAIoS202911pound3) Attached for your review and signature is the NSA consolidated response to the report from the DoD OIG on requirements for TRAILBLAZER and TIDNTHREAD systems
End als
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OFFIce NAME AND DATE OFFICE NAME AND OAlE
ORG PHONE (Secure OATE PREPARED
DC09 963-5021 11 February 2005
SECURITY CLASSIfICATIONDerived from NSAlCSSM 1-52
DATED 23 November 2004 Declassify On 20291123
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NATIONAL SECURITY AGENCY FORT GEORGE G MEADE JiARY~AND 20755-6000
11 February 2005
MEMORANDUM FOR DEPUTY ASSISTANT INSPECTOR GENERAL FOR INTELLIGENCE AUDITS
SUBJECT (UIFOUO) DoD OIG Audit Report Requirements for the TRAILBLAZER and THINTHREAD Systems1 dated December 15 2004 (Report OS-INTELshy03 Project No D2003AL-OlOO) - INFORMATION MEMORANDUM
(UIFtJtJ9+In response to the DoD OIG request for additional information on the TRAILBLAZER and THINTHREAD report NSACSS provides consolidated corporate comments from our Signals Intelligence Directorate Acquisition Organization and Information Technology Infrastructure Services Organization (now the Infalmation Technology Directorate)
NSAlCSS Resllonse
-teTSubsequent to the DoD OIG report the TRAILBLAZER Milestone has been I scheduled for late in the fourth quarter of FYOS from the previously scheduled earlyenr MS B Accordingly this now allows sufficient time for the conduct of the assessmeftt recommended by the DoD OIG
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MARIA N OCONNOR Chief ofStaff
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CONFfDENJfAIffS9291123
NSA STAFF PRO ESSING FORM EXflEG CONTROl NUMBER J(CC CONTROl NUMBER
DA4-04-05 ACTION EXAEG SUSPENSE
-------~_______________I fi] APPROVAL SUBJECT KCC SUSPENse (U~THINTHREAD I TRAILBLAZER 1G [iJ SIGNATURE
ELEMENT SUSPENSEAUDIT REPORT 0 INFORMATION
DISTRI8UTION
SUMMARV
PURPOSE (UtFeYO) To provide the recommended PEO input to the consolidated NSA response regarding actions requested by the final Department of Defense (DoD) Office ofInspector General (OIG) report 05-INTEL-03 Requirements for TRAlLBLAZER and THINTHREAD Systems of 15 December 2004
-tarIn response to ~hidraft7 in August the Agency concurred with comments ~-Tpe following is an excerpt fr9mthose comments laquo The Program Executive Office (PEO) is ta1tingmiddotth~ lead in estab1ishin~an independent review teruv- for Derforming this assessment with the intentiqn that itsJesuIts will be completed in timet I
f IMilestone B documentationraquo
~At the time of this statement (Aug (04) the TRAILBLAZER Milestone B (MSB) was scheduled for December (04 When the final report was published the PEO Assessment had not yet begun Concerned that the assessment could not be completed in time to support a December milestone the DoD OIG requested via the final report that they be provided NSA plans to eliminate the cost and schedule risks for completing the assessment
(GtSince release of the final Audit Report a DIRNSA-Chartered Transformational Advisory Panel (TAP) recommended TRAILBLAZER be rebaselined The MBB is now planned for late Fourth Quarter FY05
COOROINAilONIAPPROVAl
OFFICE NAME AND DATE OFFICE NAME AND DATE sg~degtt~tii
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~ RECOMMENDATION
1 (UJFeiffe1 A form~lRfsk Mitigation Plan is not recommended The PEO is committed to cogducting the assessment The team is currently being fOlriled a kick-offm~gjsj)Ianned for March and the team is expected to report to MrJ II INLT May 31st The cost and schedule impact ofconducting the assessment pose very low risk to the Transformational Programs
2 (UIF8YGl Recommend the response provided as an attachment be forwarded to the DoD OIa as part of the Agencys consolidated response to the Final Report
DOCIDe 3253346
1 1 Team Members (U)
(U) The Office of the Deputy Inspector General for Intelligence ofthe Department ofDefense Intelligence-Audit prepared this report Personnel ofthe Office ofthe Inspector General ofthe Department ofDefense who contributed to the report are listed below
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o (U) Background e l (3J -PL 86-36Q
Q ~otlineAllegations A letter to the Defense Hotline requ ~ centat the
Inspector General ofthe Department ofDeferise audit and investi f the acquisition of the TRAILBLAZER and THlNTHREAD programsThemiddotmiddotcpmplaint charged the NSA with fraud waste abuse and a disr ent
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(U) National Security Agency Mission and Planning Guidance The mission of the National Security AgencyCentral Security Service (NSAlCSS) is to
J ] provide actionable Signals Intelligence to US decisionmakers from the national
to the tactical level while protectin~ the nations vital infonnation from attacks The urgency ofthe NSA CSS miSSIon is greater than ever since the September middot11til attacks and the Global Wax on Terrorism
(U~ addition defense planning guidance and the Director ofCentral
J Intelligence guidance stipulate the need for St globally vigilant intelligence system that can provide early strategic warning ofcrisis and det~ threats that is supported by capabmti~ such as an information superiority backbone
J _____ ___ _____ ~BLAZERis-~ Fm)or acq~sition p~~which fblTi j--- started in FY 2000 and 18 schedUled for tnltial operating capablhty m FY 2009 to (b) (3) -5 0 USC 403 acquire an integrated system that is composed largely ofcommercial technology (b I (3)- L 86-36 to provide the much-needed mission capability against the global networlc through
1 a series ofspiral developments The TRAILBLAZER system will deliver hardware and software system integration and program integration services toJ include
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cqubitfon Guidance for l - rz~~~SI---r~UlS~lti~O~nls~pro=V1=-r111~middot D Directive 50001
on bull an the Clinger Cohen Act of 1996 Specifically these regulations provide the framework for the acquisition ofmajor automated l information systems
(U) DoD Dlreettve 50001 The Defense Acquisition System May 12 2003 lDoD Directive 50001 establishes the management process by which the DoD provides effective affordable and timely systems to the users DoD Directive 50001 states that all acquisition professionals shall continuously develol and implement initiatives to streamline and improve the Defense l AcquisItion System Specifically this directive states that military decision authorities and program managers shall examine and as appropriate adopt innovative practices that reduce cycle time and cost and encourage teamwork l
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(U) DoD Instruction 50002 Operation oftbe Defense Acqulsit10n System May 12 2003 DoD Instruction 50002 establishes a management framework for translating mission requirements into stable affordable and well managed acquisition programs that include weapon systems and automated infonnation systems and bighly sensitive classified cryptologict and intelligence projects and programs Instruction 50002 states thatt during the initial concept design DoD Components should examine mUltiple concepts and material approaches to optimize the way that DoD provides these capabilities That approach sha1I include robust analyses that consider affordability technology maturity and responsiveness
(U) CIingermiddotCohen (Information Technology Management Reform) Act of 1996 This act requires that heads of executive agencies develop and use best pmctices in the acquisition ofinfonnation technology The process ofan flxecutive agency shaH include minimum criteria to be applied in considering whether to undertake a particular investment in infonnation systems including criteria related to the quantitatively expressed projected net risk-adjusted return on investment and specific quantitative and qualitative criteria for comparing and prioritizing alternative information systems inveshnent projects
(U) NSA1CSS Circular 5000R Acquisition Management January 9 2001 The circular implements the principles ofDoD Directive 50001 and DoD Regulation SOOO2-R within the NSAfCSS It establishes basic objectives policies procedures and responsihilities for acquisition management The circular states that for acquisition management within the Defense Cryptologic Frogram NSA should address interoperability between existing and future Service tactical Signals Intelligence systems oonneotivity between tactipal and national systems oonsider applicable technology that may satisfy the requirement and possible duplication ofongoing effort
(U) Objectives
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l (SlfSf) NSA Modernization Studies Thefirst NSA Modernization Stu4Y July 200It was conducted by The National Technology Alliance National penterfor Applied Technology after a thorough review ofon1roin~ activities withfu the TRAILBLAZER Program Management Officq 1
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(U) The NSA Modernization Study recommended that
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(U7FOYQ) The National Center for Applied Technology issued a second report a quick-Iooklt follow-on to the first report in December 2001 The Chie-4 Signals Intelligence Programs invited the original study team to conduct a foI1ow- OD study to evaluate progress within the TRAlLBLAZER Program Management Office Despite noting some changes made in NSA management and the TRAILBLAZER Programs acqUisition strategy that promised to address the conflicts and issues DOted in the first report the study team found that
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(TSltsI)Studies Prior to THINTHREAD deployment the Technology Test and-I Evaluation Assessment Mar~ 25 2002 advised that the f~1Qwingj I 1 IactIOns be ~~~t------middotmiddot-middot-middot-~middot-
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(U)Summary
(U) Management Comments on the Finding and Audit Response
(UJIIOtiO) ~ementComments The NSA management stated that the draft report did not mclude significant information or included wrong or misleading information The tomplete list ofmanagement tomments is in the Management Comments section ofthis report
23
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(U~Audit Response We obtained revieweG and analyzed many documents and we interviewed several NSA and contractor personnel to form the conclusions in this report We included all infonnation relevant to support the report findings and rCCQmmendatlons Many people we interviewed asked not to be identified fur fear ofmanagement reprisal We gathered information from many sources to support the finding Paragraphs frequently contain information from several sources to reinforce conclusions Based on management comments we made various editorial changes to the draft report See Appendix J for a completed audit responSe to each management comment
(U) Recommendations Management Comments and Audit Response
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(U) A We recommend that the Director National Seurity AgencyChief Central Security Service
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J (U) The National Defense Authorization Act for FY 2002 stated that
J (b) (l) (b) (3)-50 USC 403 ftfSlISij The NSA has clearly Ill8de great strides in seeking to
J bl (3)-PL 86-36 uansform itself in many areas However the NSA appeaIB to have
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J J (SNSI) en March 24 2000 the Director NSA signed the TRAlLBLAZER 1
charter to~te a new Signals Intelligence enterprise to exploit the global network ~~~with an estimated development cost Dfapproximatel as to respond to the opportunities and challenges provided by logies to design new operational practices for on-time delivery ofproducts and services in the manner that best met customer
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1 S7tsQneeds-unrestrained by past practices or past technologies TRAILBLAZER 1 had the following key responsibilities 1
bull (UtfiOOO) Ensure the execution ofa new NSA program transfonning the us Cryptologic System exploitation ofthe global network Map detailed digital network exploitation mission requirements to a cryptologic architecture and implement them and 1
bull (U~Act as the catalyst for transforming customer interaction and operational practices Begin the retooling ofNSA 1programmatically technologically and culturally to provide mission services and capabilities that are responsive to the emerging technology and customer needs 1
____- ___-----middot(lJ)IL--_____----I~RAILBLAZER (1) 1
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J - middot-middotmiddotmiddotmiddot middotmiddot middot-WhtNSAlfOderntzanOIl Study The House Permanent Select Committee - onlnteligence directed-th~ first NSA Mod~tion Study July 2001 which
was ~nauct~ by The NatiottalT~ologyAlliance 1lati0Jl1l ~enter fo Applied TechiiolQW After a thorough--re-lew rfommmg 8ctifjes Wltbm tbeJ TRAILBLAZER Pro~Management OffiCe_ __
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The NSA Modernization Study recommlen~tM1ar------------I
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-(SSf) Seeolld NSA Modernization Study A second National Center for Applied Technology report a quick-look follow-on report was completed inJ
December 2001 The Chief Signals Intelligence Programs invited the original
study team to conduct a follow-on study to evaluate progress within the] TRAILBLAZER Program Management Office Despite noting some changes
J made in NSA management and the TRAlLBLAZER Program acquisition strategy that promised to address the conflicts and issues noted in the fust report the study team found that
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(U) TRAILBLAZER Acquisition
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J J ] (U) Summary ofManagement Comments on the Audit Finding
and Audit Response
J (UIFOlJet Management Comments NSA management referred to several statements in the report that did not include all referenced documents and that some paragraphs contained wrong or misleading information The complete listJ ofmanagement comments is located in the Management Comments section of this report
J (UJIiOff6) Audit Response We obtained reviewed and analyzed many documents to form the basis for the conclusions in this report We also interviewed several NSA and contractor personnel many ofwhom asked not to be identified for fear ofmanagement reprisal We ga~ered infonnation from
J J many sources to support the finding Paragraphs frequently contain infonnation
from several sources to reinforce conclusions See Appendix] for a complete audit response to each IDlUlagement comment
J (U) Recommendations Management Comments and Audit
Response lIb) (l (b) (3)-PL 86-36
j (b) (5)
(~RevisedRetommendatlon As a result ofmanagement cdmmei~ we
J IreV1sed Recommendations Bt and B3 to ctarlfythe intend1Use of
1 (UI1FOUQlYe recommeDd that the Director National Security J AgencyChlef Central Security Service ----------------------~~I (QDesJmatea team to 1 IJ
J (UIFOUO) Manlgement Comments The Director National Security AgencyChief Central Security Service partially concurred with the intent ofthe recommendation but was waiting for the results ofa cost and schedule impact J study before fully concurring The Program Executive Office is establishing an
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(U~) independent review team to complete the study before Milestone B scheduled for December 2004 because the study win have an effect en both the cost and schedule fer Milestone B
-(eT~~IitJlesponse Based on management comments we revised this l IrecommendatiQn The Director National Security AgencyChief Central
Security Servicecomments were responsive and the proposed actions meet the intent ofthe recomTneIJdation The immediate actions taken to designate an independent review teamt~ perfonn the assessment are commendable JMilestone B has slipped to Feb ~~maumu~wmiddotstJmiddotruamamJllSl~illJilmllL- time to com 1ete the assessmeii
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] 2 (UIFtYffOtprovide the results of the external assessment to the
TRAILBLAZER Teclmology Demonstration Platform Milestone Decision Authority (or use in making the ~estoneB decision J (Uf~Management Comments The Director National Security AgencyChief Central Security Service concurred The completion ofthe independent assessment is currently scheduled fer December 2004 J (U~AuditResponse Although the Director National Security AgencyChief Central Security Service concurred the concurrence is based on ]completing the assessment requested in Recommendation B1 We request that the National Security Agency management provide additional comments in response to the final report identifying NSA plans to eliminate the cost and ]schedule risks for completing the assessment
J (U~ _gemeat 6mments Tho Director National Security ]
- Ag~cy~ef-Gentrals~tyB~1~t~_~115urredt andjWtil that the assessment middotmiddot~middot -___teQuired m Recommendation B1 WIll De mcludedm-thL_______--
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Appendix A Scope and Methodology (U) ~ ~ 1 1 -
(UitFooo-We reviewed documentation dating from November 200Qlu~~gh October 2003 including background infonnation mission and operatiQUat ri~ statements concepts and operational requirements and contracting ana budget 1 documents Also we conducted interview
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(U) We performed this audit from Apri12003 through May 2004 in accoid~ce with generally accepted government auditing standards
(UffFOUQ-Umitation to Scope Because our objective was limited to
1
evaluating a Defense Hotline allegation relatingto the acquisition ofthe TRAILBLAZER and THINTIlREAD nrolttatns we did not review the roanalement control nroenunl i 1
1 ~
l (U) Use of Computer-Processed Data We did not use computer-processed data to perform this audit
1 1 (UfPOUO) Use ofTechnical Assistance Audit Follow-up and Teehnical Support Personnel assisted us during the audit The Technical Assessment Division assisted in the analysis ofNSA acquisition I l (V) General Accounting Office High-Rlsk Area The General Accounting Office has identified several high-risk areas in DoD Thisreport provides l coverage ofthe Infrastructure Inefficiencies and Infonnation Technology Investments high-risk areas l
(U) Prior Coverage
(UIFOE1OlDuring the last 5 years the Inspector General ofthe NSA issued one l report on TRAILBLAZER that discussed improperly based contract ~st increases non-eonfonnance in the management ofthe Statement ofWark and excessive labor rates for contractor personnel No prior coverage has been l conducted on the NSA THINTHRJAD Program during the last Syears
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Q (U~eportNo ST~03middot0014 TRAILBLAZER lISIGINTPrograms Systems Engineering and Te()1mica1 Assistance Contract September 30 2004 o
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(U) Objectives of TRAILBLAZER and the Technical Demonstration Platform
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i~______________________________~______________~ i
06 Finding 3 Discussion
iii (U) There was minimal user system technical or programmatic documentation
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difficult to communicate infonnation about THINTImEAD at a
1 pmogrwrrunaticleveL
bull (U) A deqilled schedule including all activities related to the system and it deliverables before during and after deployment was not available A
J high-level schedule containing the chronology ofdeployment was if developed but a detailed schedule was essential for proper resource middot1i~1~~~t~ L 86-36 management costing and prediction
bullbullbullbullbull~_ ~~b~ ~~-~_bullbull
~_o_ -~ c-~gt (U) No installation and maintenance documentation was completed for -~~ -- lt=Jit~rtpersonnel although the team was working with the pilot site
~~- to ~evelOpinstald~atiQ1 dOC~rtation ad ofinstallatioD and --lt- mampntenanceOj-entatio
~ltj- ---t~----------- I _ ---- -- -- _-
bull (U) There~unQoperational support documtanonl - Lack ofsupport documIDtation could adversely affect timely correction or - Inrohtems and CQUll1eadtcf I
(U) The effects ofminimal documentation could be overcome ifan integrated team accomplished the development and deployment ofTHINTHREAD
76 TOP SRCHTIeuroOiHNlf1l28291123
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bullbullo o
(U1F9OO) Recommendations Develop necessary docwnentation ni4t would
o Q necessitate an increase in the personnel devoted to documenting the systerh but is
essential to the successfuJ deployment and operation ofTIIINTHREAD The lack of this documentation presented a serious risk to the successful deployment Of THINTIIREAD
(U) Finding 4 Discussion ~
o AMiJOlO) Deg10wenl pJinwas slow to ~
J bull (UFf3UOlHi8toricaUy~ the TIIINTHREAD Program Team focused on
J the Drototvoe demonstration at the Dilot site The s scone did not
bull
J ]
~ IJ J bull (UIfIOUO) O~ ent and operation
were not identified The relationsbips between work roles throu out e system s life cycle were not defined The authorities for each work role bad not been identifiedJ The organizational structure set forth by the THINIHREAD Program Team focused on system development and did not address system
]
J 77 TOP SBCRRTApoundOAHNTlllN911a3J
noelD 325334
W~) dw1oymentl I A ]ThemmTHRBAD Program Team was defiriirig the
_l~-~~~~~~~~~l a~iionalwork roles necessary for deployuienl activities I
(bj (3) - P L 86-3 6 bull (U) THlNTHREAD did not identifY all the organizations requiring coordination through the various stages ofdeployment
(UiifofJoLRecommendations The findings presented a serious risk to successful deployment ofTHINTHREAD To mitigate those risks the following recommendations were suggested
-bull
(b) (3)-P bull L 66-36 bull (b) (5)
---_ bull shybull
(U) Finding 5 Discnssion l (UIFOY~ Xhe customer service and user support processes for THlNTHREAD weremanualIy in~ensive and directly involved the technical staff l
bull UJ1i10U~ The quality Ofservi~_aqg~IbeCeiv----Psing ________ -==-TIUNJlIREADwmnoonsistnt SomC1I1teiVieWedby
(b(3j-=P ~ i---6636 --- TeSiTechnology and Evaluati~Jl ~eam VIewed tlie T4ITHRBAr l --==--_--0___ ~oram Tea~ to b~ unresponsIve mg~eral customa support while-----=+--- __ )xEI1enced good responsIveness to then- requests for
ttions or mOOifi~tions1 I l bull (UIIPOUQ) There was no formal trouble ticket mechanism in place Ifa
user or operator had a problem with TIiIN1HRBADs he contacted someone on the THINTHRBAD Program Team This contact depends on l personal acquaintance because no list ofTHINTHREAD personnel was readily available and there was no mechanism to locate the proper TIflNTHRBAD contact Similarly the status ofthe response to a request l could only be leamed by personal contact
bull (UllFOf167 There was no formal mechanism for managing externally lgenemted requirements to include submitting a new requirement to THINTHREAD or for following the progress ofthe work
l78 FOP SHCREfNCOMINTIl29991123
l
rrC1D 3253346
fOP SECREfeuroiOlfHrff1129291123
o bull (U~ team was in charge of
maintainin itb just a few userso _ middotmiddot--ihafpemon was a e to_~jer_orc ang ccording to user - - ______ requests-middotreceived (il1Ule telephone or by e-nw owever as more users
3) _PmiddotmiddotmiddotL---8middot~~ are added one person may have difficulty meeting the increased demand o - ------n-ThelackofperBQll~~~y become a problem as =INJHREAD was scaled to handle an lOcreas-eduserlo~ _ I
o o o bull (UFeYQ) A list ofWeb interface functionalities p~~pose4
was not incorporated into TIIINTHREAD 1-----1
o o
(UtfPOBe) There was nomiddot ptOQeSs for controllin~ and measuring operational programmatic and technical performance effectiveness ofTHINTIIREADJ once deployed
bull (UJlI6ttQ) TIIINTHREAD did not have a clearly stated set ofsystem specifications or a method to validate the THINTHREAD concept or perfonnance results Thus there was no way to determine ifthe system
79
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DOCIDe 6253346
TOP SECRSTltCO~HfflllQl9111~ 1 1
(euroUIFOOS] was successful or ifit failed which may lead to confusion in stakeholders understanding ofthe success ofTHINTHREAD 1bull (Uf~INTHREAD bad mechanisms for assessing progress and status within the system development phase However there were no systematic consistent mecbanisms for overall program measurement which included identifying test criteria establishing program schedules 1 and documenting a system baseline to address progress No feedback mechanisms had been identified such as risk management or contingency planning 1
bull (UIfffit6) Aside from schedule control there were no tools to measure progress towards program objectives because there were no formalized program objectives 1
bull (UFeuroffJe) THINTHREAD did not have Standards ofPerfonnance established for personnel developing THINTHREAD Iffuture 1TIlINTHREADdevelopment crosses organizational groups a common set ofStandards ofPerfonnance for personnel may become necessary
bull (UIfeOO) There was no configuration management process which could 1 pose a~sk when reporting system ~ro~lems and correcting tt~ I In addition the lack ofa configuration management prtl~ cOwa cause difficulty w~en upgrading or deploying versio~_and-aIso make rollback 1extremely nsky
bull (U17P6t1Q) Th~ fault or w~Jlgdet~on wt a~omated h necessary reactions and ~nseswere l-ot- _ _ __ l software provided ~sirtipIe wayo-ooeck sta1=-o=v=an=o=us==s==----- parameters through a W~jntefface However when an operatorrecowizcSmiddota prolemne must actively initiate conective measures l $omeumes-thafaction is a simple matter such as restarting a process At
- Qilierfifues physical hardware must be changed No corrective action bull- -- -- middotmiddotmiddotCould be executed ifan operator was not present to initiate a corrective l lt~-~~~~~gt bull a_cti_middoto_n_____________________--
i~~~p~ B~36--~--~I~_~__~_~_~~_____~~__~_~ l -
middotmiddot-middotmiddot----Q1IFOUO 1HINTHREAD had no established process for managing 1 reqUiremen~
(UfFOtJO) Reonu~dtioiis~--Thefindings that led to the recommendations l would not have revented the successfuIaepJoYment ofTIIINTHRBAD to
~ e recommendations weremadetQmP2ve=tb=e__--- e ency ofTHINTHREAD after it was deploYedll____--
The follOwing is a list ofrecommendations l L-_~--
bull (P(FQafjJ Develop processes and acquire automated tools based on cIearIx stated specifications for controlling and measuring the l ~=hfc ntipn8tand technical performance ofTHINTHREAD
80
TOP SECRBINC01ltIlHpoundl289113
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bull (UIfOUO) Acquire ~ ~mmercia1ly available conij~tioK~ntro system to enable verstorung rollback and configuration management0 The system should interface with the trouble ficketing systeM aitd the requirements management system to Provi9CfulJ traceabilitY
1 o bull (UiAFeUOjDevelop Stand~ ofP~6imance(iffutWeTIinfrHREADdevelopment crosses orgaruzationlUmiddotgroups) i
1 bull (UnO~A~tomate reactiqns and responses to the existin~ fulfIt ando warmng detection systemL ~ J - 1o
bull (U~ 1stBblish a requirements management process for
o uWAD that is linked tol---__~______---I
(U) Finding 7 Discussiono e number and skill mix ofTHINTHREAD nnel was
o ~1iI~~~~=~nnel required for
13 H L Seuro-36---planning-and executing-installatio so there was a lack of --cfocumentatioDtPIQviding the necessary mam anoo and help desk supporto oonfigurapon managemen~-and planningYlg~~~u1ing CpUectively thyse
o ~_ shortoommgs jeated a senous nsk to successful comp1eti0nL _ J 1 ~_ _ 1-_--I
(UlFOtJ~ Recommendations The finding presented serious risk to successful deployment ofTHINTHREAD It was recommended to continue to identify and o I=~lhord~ofsdll~=-= ired fur
ij ~~lt~~-
a i~~~-PL 86-36 (bJ (5)
ru
81
TOP SBCHETlJC9MINTHa~llla
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DOCID 3253346
TOP 8ECRlSTACQlHNTl19l91113
AppendixH (b) [l) (b) (3) -PL 86-36 i
~
~ (U) Introduction
i
(U) Needs Analysis Revisited i
1 82
TOI SBCRETlJCOIUIfIllIaga911a3
1Hb1 (3)- E bull L 86-36 H
1 1 i
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(b) (3)-PL 86-36 (U) System Capabilities Overviews
~ The followin section outlines the strenJ
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DOCID 3253346 1 1
(b) (1)
(b~ (3)-PL 86-36
Jmiddotmiddottbl (3)-PL 66-36
J
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ifoC1D 3253346 (b) (1) (b) (3)-PL 86-36
TOP SECRETeO~IINTl~911J~
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1 (U) Optimal System
J
1 J J J J ]
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TOP S~euroRB1lf8fftNflliampll3]
DOCID 325334 (b) (1) (b) (3)-PL 86-36
f0f SECREfeuro8lHNfHamp911~3 ~
(U) Cost Analysis middotmiddot(lJ-3JFbull L 86-36
IThotlblwiJfiiinhetica1 soenariiuiiaiiidliowr--------- ay produce a more effective result in terms ofigtOth complexity and cost
A ew assumptions apply
-
86 ft)p SECItEf88Mffft7t2991123
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(U) Conclusion o
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87
Q TOP SGCRBTh09]11IHrl1939113a
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1 NCLASSIFIEDJlFOR OFFleb~l uscAppendix I Glossary (U) BY COMPILATON WHEN ASSO
WITH REST OF D-OCU=t=~IE=N--T__---J 1 (U) r------------------------7b)-(3~)--ampP 86middot36 1
1 l 1 1 1 1
Consultative Committee for International Telegraph and Telephone (CCIT1) 1Consultative Committee for International Telegraph and Telephone is the International organization responsible for the development ofcommunications standards Now called 1 the International Telecommunication Union Telecommunication Standardization Sector
(b)(3) PL 86middot36
1 1 1 1
(U)
1
88 1
lOP iECRampTllemtlNTl~Q2ttt13 1
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TOP SISCUTlC9ltHNTll28291l23
(U)
lb)(3)-P 86-36 I
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1
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Elettronfc Industries As~odatlon (EIA) A group that specifies eJectrical transmission standards The Electronic Jndustries Association and Telecommunications Induslry I Association have developed numerous well-bown communications standards including l Electronic Industries Association and Telecommunications IndusfIy Association 232 and I Electronic Induslrles Association and Telecommunications Induslly Aosoclaion -449 I
(U)
89 TOP 8JpoundCMT~I~9]911aa
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noeID 3253346
TOP 8ECRETzcOMlNllIl29291123 1 1
(U)
1 1
1 ~b)(3)middotP 86middot36
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l International Telecommunication Union Telecommunkation Standardization ~ lSedor (lTV-T) International body that develops worldwide standards for
i
telecommunications teclmologies The International Telecommunication Union Telecommunication Standardization Sector carries out the functions ofthe former Consultative Committee for International Telegraph and Telephone l
i
International Organization for Standardization (ISO) International organization that is responsible for awide range ofstaruiards including those relevant to networking The l International Organization for Standardization developed the Open System Interconnection reference model a popular networking reference model
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I (b) (3) -T Institute of Electrical and Electronics Engineers (IEEE) 8023 Institute ofEIectrical and Electronics Engineers LAN protocol that specifies an implementation ofthe physical layer and the MAC sublayer ofthe data link layer Institute afElectrical and Electronics Engineers 8023 uses Carrier Sense Multiple Access Collision Detect access at a variety ofspeeds over a variety of physical media Extensions to the I Institute ofElectrical and Electronics Engineers 8023 standard specify implementations for Fast Ethernet
(b)3)-P L 86-36
Open System Interconnedion (OSI) International standard~tion program created by International Organization for Standardization and International Telecommunication Union Telecommunication Standardization Sector to develop standards for data networking that facilitate multimiddotvendor equipment interoperability
b)(3)-PL Se-S6
(U)
91
WP SlpoundCJHijT1euro9HNT1I2921123
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Telecommunications Industry Associlltfon (IIA) Organization that developsstandards relating to telecommunications technologies Together the TelecommWlications Industry Association and the Electronic Industries Association have fOlDlalized standards such as Electronic Industries Association and Telecommunications Industry Association M232 for the electrical characteristics ofdata transmission
(b)(3)-PL ~6-36
(U)
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1 --_~(U~)----~---------(b(braquo)(3(3F)P1-1 186-36
1 1 1 1 1 1 1 1 1 l
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-DOGID aaSaa46
Appendix J ~esponse to Management Comments (U)
bullbullbullbullbull
bullbullbullbullbullbullbullbullbullbullbullbull
bullbull
- ~gt~
~ -
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~)l) [bl (3)
~
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NSA will a ee to conduct an independent e believe that it will validate all of the assertions niMein our reSpons--egoeImiddotmiddot tOf General recommendations
F=~criedd~~fffl it~ th~~~~nH1p nlan~uA wad dl Iill Iwhich was conaucteaIn an openmiddot ~on1o proVlae ffi~esl oenent lor Agency mISSIOn and customers More Importantly tfiere h~ been no eVldence
documented during this Office ofInspector General investigauQl1 that supports that complaint -~ lib) [3J-lL 86-36 ~
(8181) Audit Response The report doi ~l million e TRAILBLAZE
9S
FOP SfiCRBtYICOMlN1Yli92911la
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96 TOP SBCRJITIIC8f1fBUTIl29291123
DOCID 3253346 b) (1) fp) (3)-PL 86-36
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98
tOP SECRfi~4Ie8rHNfl891123
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i
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1
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(U~anagement Comments NSA recommended that the audit report emphasis NSAs cooperation and responsiveness to Congress
i
i
(UIFOU8) Management Comments NSA recommended that the audit report emphasis that the THINTHRBAD capability is valued by NSA
99
TOP SRCHTllC8M1ftT1I299tt3
--------------~--------~---- shy
(b) (1)DOCID 326334i (b (3-PL 86-36
TOP SF3CRET-C~ifHTJ292911a3
100 TOP SKCImTfCOlUPftV29291123
--------_-------------------------- shy
_DOCID 325334amp (b) 1 J (b) (3)-PL 86-36TOP poundECImTIfCOJIItIlW19291123
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101
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(b) (1) tb) 3) -so usc 403DOOID 3253346 (1) (3)-PL 86-36
TOP SIECRFiFILC01BNTflO~9111J l
102
TOP SRCREfllCOrHftllQlllllll
f)OCID 326334 (b) (1) (b) (3)-PL 86-36
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103
TOP SECRIlTHeuro8ltIRiTll9l91113
DOCID 3253346
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~-
~Management Comments TRAILBLAZER welcomes an open revi~Qf
~
~--------------------------------------------------~~--~(Sf51) Management Comments NSAj~~~~en~t~d~o~es~n~ot~a~~w~ithlAllth~eDfIoD~~___ Office cfIns etor Generars assessmen
(SSij Audit Response We acknowledge the fact that the current scope ofthe TRAILBLAZER is to provide the infonnation technology ftamework for the entire
104
TOP 81SCBETIIC91HHfW29l9111iJ
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DOOID 3253346 (p) (1) bl (3)-PL 86-36
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(b) (1)DeeID 3aS334e (b) (3) -50 USC 403 b) (3)-PL B6-36
1
TOP SpoundCRSIlIC811tl1l11lJDltll13
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rOC1D 3253346 lib) (1) Kb) (3) -50 USC 403 ihl (3)-PL 66-36TOP SECRET1euro9MINT1I29291123
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~ t - S ~
i
1
1
(euro) Management Comments NSA managements stated that TRAILBLAZER and ~e Technology Demonstration Platfonn have invested considerable effort to build a signal intelligence architecture that is open and scaleable applies DoQ commercial and NSA
s 1
107
TOP SKCUTMG~IltWGa911l3
DOC)]) 3253J4i TOP SECREThCOlflNTlllOlsn 12 3
Ldelines oDoD Directive 50002~
bull
(Sl8I)Management Comments NSA management comments stated that the Executive ~f
Summarys assertion that NSA disregarded solutions to Uf2ent national security needs ~) (1) is not accurate ~p) (3) -50 USC 40 (1lt) (3)-PL 86-3
j
t~
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middotL__------------------------------------------~------------~
(SNSI) Audit Response NSA comments are inaccurate Major issues raised in the manaSement comments are addressed in the reoort sneciftcallvthe issue of
i
108
fOP SECRBlEi1QAHNYl~91911la
-middotDOCID 3253346 ~--~-l (b) (1)
~ lib) (3)-50 USC 403TOP SKCKK171C()AtltIflOloJIllb) (3) -PL 86-36
-tetMngmntco_t8-~anag~t sta~tI1a11Jl~ilJ~~ltJj~-tyen~~ll~fi~lt~~r~-alltcI~aJ~~ r--lt1eDonsclraI1poundlJ+ oJthe~TA Studys rmiddot~mnlmll1lI1middot0IlL_--_4_~-+---~_middotmiddotmiddotmiddotmiddot~
also needs clarification j
I
I I
~
i
(UJ~anagementComments NSAmanag~ent comments stated th~t fue TRAILBLAZER has long-established plans for external assessment ofthe Techlology Demonstration Platfonn for prepamtion for IfliJestone B The Independent Veri1jcAtion and Validation (JVampV) of29 Evaluation Criteria is being conducted by NSAs independent Office ofCorporate Assessmmits Test and Technical Evaluation eleimthlt (TIE) The Early Operational Assessmentiand Operational Assessment will be perfonned by JlTC which had establisheda presence in TRAILBLAZER spaces ~y November 2003 Results ofboth activitieS will be provided to the Milestone Deciaio4 Authority before Milestone B
i (U~ Audit Response TRAILBLAZER postponed Milestone B schedul~ Ifor December 2004 because of technical issues with the Technology Demonstration Platfonn February 200S is the earllest date that TRAILBLAZER will be readr fr MILESTONE B I ~
i
~anagementComments NSA manaampmlmn ~mts staled thatJhe )
I==lYbeprov1a~Mtlone
(8ffSf Management Comments NSA management comments ~tated that the EXecUtile Summarys statement that TRAILBLAZER development wasted I--_____J
109
TOP ~CmTeuroJ9~IINT1Ql911aa
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BOCIB 326334amp middotmiddotmiddotpl (1) thl (3) -50 USC 403
OP SJBCRETC01tnNTl~9~1123 (~)( 3 - P L 86-36 -~ftt t
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~ofdollars is not accurate As the middottlJlModemizanon Study obseni~ TRAILBLAZER is pot only about di~ptnietwork 7~ploitation but also encqIi7nasSs cultural transformation Ie pt9cesses and pohCles) --i ~~J
And although TRAILBLAZER is currently 11 tl1e L-re~v~erop=m=enr1-=ptas=-=elr-tr~-_-a~ dy delivered significant capabilities ~
~- ~ (SfJSl) Audit Response The NSA management comments are inacturate ~r Executive Sunmiary does not claim that TRAILBLAZER development wast
I Iofdollars Instead this phrase is only used to accurately describe p specific liotline complaint allegation that initiated this audit
~
l
110 1OP 8PCBlSTlIeuro1lDfTlIl(tl9111~
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~anagement C~mments NSA management comments also qhestions the ~~=====z-=-~~==~=-~=~~~~essed=rstudies and
d stated that the
(s) Audit Response We have documented infonnation to support this statement
however because of fear ofreprlsru we agreed to keep the sources anonymous
111
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~l ~
I ~Audit Response Our wording reflects information received from our so~ces We reviewed all ofthe comments below and checked our sources and made adjustlpents as required
112
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TI Appendix K Report Distribution (U)f[]
r[] (U)
Office of the Secretary ofDefense
11 Under Secretary ofDefense for Acquisition Technology and Logistics Under Secretary ofDefense (Comptroller) Under Secretary ofDefense for Intelligence
11 Assistant Secretary ofDefense for Netwerks and Infonnation Integration
11 Other Defense Organization
Director National Security Agency Inspector GeneraJ Natienal Security Agency1] Inspector General Defense Intelligence Agency Inspector General National Geospaual-Intelligence Agency Inspector General Natienal Reconnaissance Office
II Congressional Committees and Subcommittees Chairman and
Ranking Minority Member] Senate Subcommittee onDefense Committee en Appropriations Senate Committee on Anned Services] Senate Select Committee on Intelligence House Subcommittee on Defense Committee on Appropriations House Committee on Armed Services House Permanent Select Committee on Intelligence]
(11)]
]
]
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J 113
crop SHCRfifflUOMfNTIl28i91123]
neOID 3gS3346 neuroRnnooIJCorHNfl2829112J~ ________~T~O~P~S~D~~T~===________________
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3253346
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National Security AgencyCentral Security Service Comments (U)
bull lampPIBatiflJJee1BftHD
NATIONAL SECURITY AGENCI CENTRAL SECURITV SERVtCI
OiIf ~amp II JUHt tuInlJlHO IOTSshyltIgt l~ AUgust 2004
StmJBCT (ll) Audit ofthe ~ for tbo TRiULlUAZBR ud 1HlNIHRBAD SYma dampbed 111llO 182004 (Projec No D2OO3AL-OlOO)
Deputy ChiefofStaff
raatNt-s__n IN bull D It
115 TOP SECRGTlJ(JQltlHT1I1CJ291123
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(ejTllls paper tonIaini respolllCS to ~OODS~ by tile DoD oro Audit of tile ~ or tile IRAUBLAZER and 1lUNmRBAD S)1tem5 (Projct No DlOO3AIA)lOO) It tho Inclwleamp ~Il of by I10mmema from the rnG report that NSA fte14 oblJampamplcd to tddress
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1
SECURITY CLASSIFICATION f(FiJ ( Cl 1 ] 1NSA STAFF PROCESSING FORM
TO
IKCC CONTROL NUMBERCoS DC09-017-05 THRU ACTION eXREQ SUSPENSE
~=-c=---------------------l 0 APPROVALSUBJECT KCC SUSPENSE (U) (COP liJIiCRSlIIGOMUffl Office of the IG of the Department of IX] SIGNATURE
ELEMENT SUSPENSEDefense Report on TRAILBLAZER and THINTHREAD Systems 0 INfORMATION
DISTRIBUTION
SUMMARY (u)
PIJRPOSE (GONFIDENFfAIoS202911pound3) Attached for your review and signature is the NSA consolidated response to the report from the DoD OIG on requirements for TRAILBLAZER and TIDNTHREAD systems
End als
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OFFIce NAME AND DATE OFFICE NAME AND OAlE
ORG PHONE (Secure OATE PREPARED
DC09 963-5021 11 February 2005
SECURITY CLASSIfICATIONDerived from NSAlCSSM 1-52
DATED 23 November 2004 Declassify On 20291123
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NATIONAL SECURITY AGENCY FORT GEORGE G MEADE JiARY~AND 20755-6000
11 February 2005
MEMORANDUM FOR DEPUTY ASSISTANT INSPECTOR GENERAL FOR INTELLIGENCE AUDITS
SUBJECT (UIFOUO) DoD OIG Audit Report Requirements for the TRAILBLAZER and THINTHREAD Systems1 dated December 15 2004 (Report OS-INTELshy03 Project No D2003AL-OlOO) - INFORMATION MEMORANDUM
(UIFtJtJ9+In response to the DoD OIG request for additional information on the TRAILBLAZER and THINTHREAD report NSACSS provides consolidated corporate comments from our Signals Intelligence Directorate Acquisition Organization and Information Technology Infrastructure Services Organization (now the Infalmation Technology Directorate)
NSAlCSS Resllonse
-teTSubsequent to the DoD OIG report the TRAILBLAZER Milestone has been I scheduled for late in the fourth quarter of FYOS from the previously scheduled earlyenr MS B Accordingly this now allows sufficient time for the conduct of the assessmeftt recommended by the DoD OIG
e lIla ze r
b M 2005 Y ay - i
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If_ bave anY QUestiODrr need additional information Pbgt6~~t
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MARIA N OCONNOR Chief ofStaff
(b) (3)-PL 86-36 elIoed Piwu lfStz6SSft 1 52 amptted 3 4oembe ~04 Beclass) Oti~ pound8281115
CONFfDENJfAIffS9291123
NSA STAFF PRO ESSING FORM EXflEG CONTROl NUMBER J(CC CONTROl NUMBER
DA4-04-05 ACTION EXAEG SUSPENSE
-------~_______________I fi] APPROVAL SUBJECT KCC SUSPENse (U~THINTHREAD I TRAILBLAZER 1G [iJ SIGNATURE
ELEMENT SUSPENSEAUDIT REPORT 0 INFORMATION
DISTRI8UTION
SUMMARV
PURPOSE (UtFeYO) To provide the recommended PEO input to the consolidated NSA response regarding actions requested by the final Department of Defense (DoD) Office ofInspector General (OIG) report 05-INTEL-03 Requirements for TRAlLBLAZER and THINTHREAD Systems of 15 December 2004
-tarIn response to ~hidraft7 in August the Agency concurred with comments ~-Tpe following is an excerpt fr9mthose comments laquo The Program Executive Office (PEO) is ta1tingmiddotth~ lead in estab1ishin~an independent review teruv- for Derforming this assessment with the intentiqn that itsJesuIts will be completed in timet I
f IMilestone B documentationraquo
~At the time of this statement (Aug (04) the TRAILBLAZER Milestone B (MSB) was scheduled for December (04 When the final report was published the PEO Assessment had not yet begun Concerned that the assessment could not be completed in time to support a December milestone the DoD OIG requested via the final report that they be provided NSA plans to eliminate the cost and schedule risks for completing the assessment
(GtSince release of the final Audit Report a DIRNSA-Chartered Transformational Advisory Panel (TAP) recommended TRAILBLAZER be rebaselined The MBB is now planned for late Fourth Quarter FY05
COOROINAilONIAPPROVAl
OFFICE NAME AND DATE OFFICE NAME AND DATE sg~degtt~tii
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DATE PREPAREO ~~
l)A4 963-7368 - 8 February 2005 -~---
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FORM Aamps6 REV NOV 1)$ SECURlt ~SSlFI~ilON Oerlved From ($upe~ A8796FE894 =gt l- _COtfFfBENHtu whfch is OOS()feco Declassify On ~~ - of bullmiddotmiddotmiddotmiddotfi bullNSN 754(-FMQOt-5485 - l - _ (b )()3 -Po L bull 8 6-36
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~ (U~he development of this resP~98en~~en coordinated Wit~r-----lmd the TRAILBLAZER Program Manag~m~nt Office
~ RECOMMENDATION
1 (UJFeiffe1 A form~lRfsk Mitigation Plan is not recommended The PEO is committed to cogducting the assessment The team is currently being fOlriled a kick-offm~gjsj)Ianned for March and the team is expected to report to MrJ II INLT May 31st The cost and schedule impact ofconducting the assessment pose very low risk to the Transformational Programs
2 (UIF8YGl Recommend the response provided as an attachment be forwarded to the DoD OIa as part of the Agencys consolidated response to the Final Report
DOCIDe 3253346
1 1 Team Members (U)
(U) The Office of the Deputy Inspector General for Intelligence ofthe Department ofDefense Intelligence-Audit prepared this report Personnel ofthe Office ofthe Inspector General ofthe Department ofDefense who contributed to the report are listed below
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cqubitfon Guidance for l - rz~~~SI---r~UlS~lti~O~nls~pro=V1=-r111~middot D Directive 50001
on bull an the Clinger Cohen Act of 1996 Specifically these regulations provide the framework for the acquisition ofmajor automated l information systems
(U) DoD Dlreettve 50001 The Defense Acquisition System May 12 2003 lDoD Directive 50001 establishes the management process by which the DoD provides effective affordable and timely systems to the users DoD Directive 50001 states that all acquisition professionals shall continuously develol and implement initiatives to streamline and improve the Defense l AcquisItion System Specifically this directive states that military decision authorities and program managers shall examine and as appropriate adopt innovative practices that reduce cycle time and cost and encourage teamwork l
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(U) DoD Instruction 50002 Operation oftbe Defense Acqulsit10n System May 12 2003 DoD Instruction 50002 establishes a management framework for translating mission requirements into stable affordable and well managed acquisition programs that include weapon systems and automated infonnation systems and bighly sensitive classified cryptologict and intelligence projects and programs Instruction 50002 states thatt during the initial concept design DoD Components should examine mUltiple concepts and material approaches to optimize the way that DoD provides these capabilities That approach sha1I include robust analyses that consider affordability technology maturity and responsiveness
(U) CIingermiddotCohen (Information Technology Management Reform) Act of 1996 This act requires that heads of executive agencies develop and use best pmctices in the acquisition ofinfonnation technology The process ofan flxecutive agency shaH include minimum criteria to be applied in considering whether to undertake a particular investment in infonnation systems including criteria related to the quantitatively expressed projected net risk-adjusted return on investment and specific quantitative and qualitative criteria for comparing and prioritizing alternative information systems inveshnent projects
(U) NSA1CSS Circular 5000R Acquisition Management January 9 2001 The circular implements the principles ofDoD Directive 50001 and DoD Regulation SOOO2-R within the NSAfCSS It establishes basic objectives policies procedures and responsihilities for acquisition management The circular states that for acquisition management within the Defense Cryptologic Frogram NSA should address interoperability between existing and future Service tactical Signals Intelligence systems oonneotivity between tactipal and national systems oonsider applicable technology that may satisfy the requirement and possible duplication ofongoing effort
(U) Objectives
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l (SlfSf) NSA Modernization Studies Thefirst NSA Modernization Stu4Y July 200It was conducted by The National Technology Alliance National penterfor Applied Technology after a thorough review ofon1roin~ activities withfu the TRAILBLAZER Program Management Officq 1
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(U)Summary
(U) Management Comments on the Finding and Audit Response
(UJIIOtiO) ~ementComments The NSA management stated that the draft report did not mclude significant information or included wrong or misleading information The tomplete list ofmanagement tomments is in the Management Comments section ofthis report
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(U~Audit Response We obtained revieweG and analyzed many documents and we interviewed several NSA and contractor personnel to form the conclusions in this report We included all infonnation relevant to support the report findings and rCCQmmendatlons Many people we interviewed asked not to be identified fur fear ofmanagement reprisal We gathered information from many sources to support the finding Paragraphs frequently contain information from several sources to reinforce conclusions Based on management comments we made various editorial changes to the draft report See Appendix J for a completed audit responSe to each management comment
(U) Recommendations Management Comments and Audit Response
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bull (U~Act as the catalyst for transforming customer interaction and operational practices Begin the retooling ofNSA 1programmatically technologically and culturally to provide mission services and capabilities that are responsive to the emerging technology and customer needs 1
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was ~nauct~ by The NatiottalT~ologyAlliance 1lati0Jl1l ~enter fo Applied TechiiolQW After a thorough--re-lew rfommmg 8ctifjes Wltbm tbeJ TRAILBLAZER Pro~Management OffiCe_ __
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December 2001 The Chief Signals Intelligence Programs invited the original
study team to conduct a follow-on study to evaluate progress within the] TRAILBLAZER Program Management Office Despite noting some changes
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J (UIFOlJet Management Comments NSA management referred to several statements in the report that did not include all referenced documents and that some paragraphs contained wrong or misleading information The complete listJ ofmanagement comments is located in the Management Comments section of this report
J (UJIiOff6) Audit Response We obtained reviewed and analyzed many documents to form the basis for the conclusions in this report We also interviewed several NSA and contractor personnel many ofwhom asked not to be identified for fear ofmanagement reprisal We ga~ered infonnation from
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1 (UI1FOUQlYe recommeDd that the Director National Security J AgencyChlef Central Security Service ----------------------~~I (QDesJmatea team to 1 IJ
J (UIFOUO) Manlgement Comments The Director National Security AgencyChief Central Security Service partially concurred with the intent ofthe recommendation but was waiting for the results ofa cost and schedule impact J study before fully concurring The Program Executive Office is establishing an
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(U~) independent review team to complete the study before Milestone B scheduled for December 2004 because the study win have an effect en both the cost and schedule fer Milestone B
-(eT~~IitJlesponse Based on management comments we revised this l IrecommendatiQn The Director National Security AgencyChief Central
Security Servicecomments were responsive and the proposed actions meet the intent ofthe recomTneIJdation The immediate actions taken to designate an independent review teamt~ perfonn the assessment are commendable JMilestone B has slipped to Feb ~~maumu~wmiddotstJmiddotruamamJllSl~illJilmllL- time to com 1ete the assessmeii
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TRAILBLAZER Teclmology Demonstration Platform Milestone Decision Authority (or use in making the ~estoneB decision J (Uf~Management Comments The Director National Security AgencyChief Central Security Service concurred The completion ofthe independent assessment is currently scheduled fer December 2004 J (U~AuditResponse Although the Director National Security AgencyChief Central Security Service concurred the concurrence is based on ]completing the assessment requested in Recommendation B1 We request that the National Security Agency management provide additional comments in response to the final report identifying NSA plans to eliminate the cost and ]schedule risks for completing the assessment
J (U~ _gemeat 6mments Tho Director National Security ]
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Appendix A Scope and Methodology (U) ~ ~ 1 1 -
(UitFooo-We reviewed documentation dating from November 200Qlu~~gh October 2003 including background infonnation mission and operatiQUat ri~ statements concepts and operational requirements and contracting ana budget 1 documents Also we conducted interview
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(UffFOUQ-Umitation to Scope Because our objective was limited to
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l (U) Use of Computer-Processed Data We did not use computer-processed data to perform this audit
1 1 (UfPOUO) Use ofTechnical Assistance Audit Follow-up and Teehnical Support Personnel assisted us during the audit The Technical Assessment Division assisted in the analysis ofNSA acquisition I l (V) General Accounting Office High-Rlsk Area The General Accounting Office has identified several high-risk areas in DoD Thisreport provides l coverage ofthe Infrastructure Inefficiencies and Infonnation Technology Investments high-risk areas l
(U) Prior Coverage
(UIFOE1OlDuring the last 5 years the Inspector General ofthe NSA issued one l report on TRAILBLAZER that discussed improperly based contract ~st increases non-eonfonnance in the management ofthe Statement ofWark and excessive labor rates for contractor personnel No prior coverage has been l conducted on the NSA THINTHRJAD Program during the last Syears
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(U) Objectives of TRAILBLAZER and the Technical Demonstration Platform
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Appendix E TIDNTHREAD (U) 1 1 1 1 1 1 1 1 1 1
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Appendix F Technical Studies (U) 1
~fflou~~1~____________~~~NTHREAD Technical Review l
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(UffFOUO Summary ofStudy Recommendations The following is complete list ofrecommendations ofth~ rnINTHREAD Technical Review ~ -
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1 ~------------------------------------------------~ (tJ) NSA Modernization Follow-Up Study
lS1fSI1be NSA Modernization Study July 13 2001 AfWnn-JLlithAN~~LClAt-___- Modernization Follow Up StudytJ Dece1nbet 2oo1 t stat~1
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(U) Preliminary r~hoP THINTIIREAD was performed by the Test Technology and Evaluatiordeam in February 2002 but the formal evaluation was
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(U) Summary of TBINT~nI1 J
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1 (U) General Recommendations
1(UFet1t1) Thd IAssessment Study made the followingrecommendati-bdsimr------
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rsc~=t~~1~UmiOV91 ksectxfind~nted 1 U) Finding 1 Discussion 1
U~There _eno technical issues that would prevent THlNTIIREAD 1~~ I 1
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bull (U) Current THINTHREAD system develo~entprocedures were effective and a cooperative development effort was proceeding smoothly 1 with the pilot site
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Q (U) Recommendations There were no reconunendations
(U) Finding 2 Discussion Q
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(ulP6OO) Recommendations The issues previously mentioned would not
i~______________________________~______________~ i
06 Finding 3 Discussion
iii (U) There was minimal user system technical or programmatic documentation
The existing documentation was insufficient to support the planned deployments
bull (U) There was no user documentation on how to use the tool That was inefficient and could lead to a significant increase in user error
Difficulties using the tool can also lead to an increase in support calls that
l drained project resources
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bull (U) TIUNTHREAD did not have a clearly stated documented set of ~ mission goals or objectives There was no program plan making it
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difficult to communicate infonnation about THINTImEAD at a
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bull (U) A deqilled schedule including all activities related to the system and it deliverables before during and after deployment was not available A
J high-level schedule containing the chronology ofdeployment was if developed but a detailed schedule was essential for proper resource middot1i~1~~~t~ L 86-36 management costing and prediction
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~_o_ -~ c-~gt (U) No installation and maintenance documentation was completed for -~~ -- lt=Jit~rtpersonnel although the team was working with the pilot site
~~- to ~evelOpinstald~atiQ1 dOC~rtation ad ofinstallatioD and --lt- mampntenanceOj-entatio
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bull (U) There~unQoperational support documtanonl - Lack ofsupport documIDtation could adversely affect timely correction or - Inrohtems and CQUll1eadtcf I
(U) The effects ofminimal documentation could be overcome ifan integrated team accomplished the development and deployment ofTHINTHREAD
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(U1F9OO) Recommendations Develop necessary docwnentation ni4t would
o Q necessitate an increase in the personnel devoted to documenting the systerh but is
essential to the successfuJ deployment and operation ofTIIINTHREAD The lack of this documentation presented a serious risk to the successful deployment Of THINTIIREAD
(U) Finding 4 Discussion ~
o AMiJOlO) Deg10wenl pJinwas slow to ~
J bull (UFf3UOlHi8toricaUy~ the TIIINTHREAD Program Team focused on
J the Drototvoe demonstration at the Dilot site The s scone did not
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were not identified The relationsbips between work roles throu out e system s life cycle were not defined The authorities for each work role bad not been identifiedJ The organizational structure set forth by the THINIHREAD Program Team focused on system development and did not address system
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_l~-~~~~~~~~~l a~iionalwork roles necessary for deployuienl activities I
(bj (3) - P L 86-3 6 bull (U) THlNTHREAD did not identifY all the organizations requiring coordination through the various stages ofdeployment
(UiifofJoLRecommendations The findings presented a serious risk to successful deployment ofTHINTHREAD To mitigate those risks the following recommendations were suggested
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(U) Finding 5 Discnssion l (UIFOY~ Xhe customer service and user support processes for THlNTHREAD weremanualIy in~ensive and directly involved the technical staff l
bull UJ1i10U~ The quality Ofservi~_aqg~IbeCeiv----Psing ________ -==-TIUNJlIREADwmnoonsistnt SomC1I1teiVieWedby
(b(3j-=P ~ i---6636 --- TeSiTechnology and Evaluati~Jl ~eam VIewed tlie T4ITHRBAr l --==--_--0___ ~oram Tea~ to b~ unresponsIve mg~eral customa support while-----=+--- __ )xEI1enced good responsIveness to then- requests for
ttions or mOOifi~tions1 I l bull (UIIPOUQ) There was no formal trouble ticket mechanism in place Ifa
user or operator had a problem with TIiIN1HRBADs he contacted someone on the THINTHRBAD Program Team This contact depends on l personal acquaintance because no list ofTHINTHREAD personnel was readily available and there was no mechanism to locate the proper TIflNTHRBAD contact Similarly the status ofthe response to a request l could only be leamed by personal contact
bull (UllFOf167 There was no formal mechanism for managing externally lgenemted requirements to include submitting a new requirement to THINTHREAD or for following the progress ofthe work
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maintainin itb just a few userso _ middotmiddot--ihafpemon was a e to_~jer_orc ang ccording to user - - ______ requests-middotreceived (il1Ule telephone or by e-nw owever as more users
3) _PmiddotmiddotmiddotL---8middot~~ are added one person may have difficulty meeting the increased demand o - ------n-ThelackofperBQll~~~y become a problem as =INJHREAD was scaled to handle an lOcreas-eduserlo~ _ I
o o o bull (UFeYQ) A list ofWeb interface functionalities p~~pose4
was not incorporated into TIIINTHREAD 1-----1
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(UtfPOBe) There was nomiddot ptOQeSs for controllin~ and measuring operational programmatic and technical performance effectiveness ofTHINTIIREADJ once deployed
bull (UJlI6ttQ) TIIINTHREAD did not have a clearly stated set ofsystem specifications or a method to validate the THINTHREAD concept or perfonnance results Thus there was no way to determine ifthe system
79
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(euroUIFOOS] was successful or ifit failed which may lead to confusion in stakeholders understanding ofthe success ofTHINTHREAD 1bull (Uf~INTHREAD bad mechanisms for assessing progress and status within the system development phase However there were no systematic consistent mecbanisms for overall program measurement which included identifying test criteria establishing program schedules 1 and documenting a system baseline to address progress No feedback mechanisms had been identified such as risk management or contingency planning 1
bull (UIfffit6) Aside from schedule control there were no tools to measure progress towards program objectives because there were no formalized program objectives 1
bull (UFeuroffJe) THINTHREAD did not have Standards ofPerfonnance established for personnel developing THINTHREAD Iffuture 1TIlINTHREADdevelopment crosses organizational groups a common set ofStandards ofPerfonnance for personnel may become necessary
bull (UIfeOO) There was no configuration management process which could 1 pose a~sk when reporting system ~ro~lems and correcting tt~ I In addition the lack ofa configuration management prtl~ cOwa cause difficulty w~en upgrading or deploying versio~_and-aIso make rollback 1extremely nsky
bull (U17P6t1Q) Th~ fault or w~Jlgdet~on wt a~omated h necessary reactions and ~nseswere l-ot- _ _ __ l software provided ~sirtipIe wayo-ooeck sta1=-o=v=an=o=us==s==----- parameters through a W~jntefface However when an operatorrecowizcSmiddota prolemne must actively initiate conective measures l $omeumes-thafaction is a simple matter such as restarting a process At
- Qilierfifues physical hardware must be changed No corrective action bull- -- -- middotmiddotmiddotCould be executed ifan operator was not present to initiate a corrective l lt~-~~~~~gt bull a_cti_middoto_n_____________________--
i~~~p~ B~36--~--~I~_~__~_~_~~_____~~__~_~ l -
middotmiddot-middotmiddot----Q1IFOUO 1HINTHREAD had no established process for managing 1 reqUiremen~
(UfFOtJO) Reonu~dtioiis~--Thefindings that led to the recommendations l would not have revented the successfuIaepJoYment ofTIIINTHRBAD to
~ e recommendations weremadetQmP2ve=tb=e__--- e ency ofTHINTHREAD after it was deploYedll____--
The follOwing is a list ofrecommendations l L-_~--
bull (P(FQafjJ Develop processes and acquire automated tools based on cIearIx stated specifications for controlling and measuring the l ~=hfc ntipn8tand technical performance ofTHINTHREAD
80
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bull (UIfOUO) Acquire ~ ~mmercia1ly available conij~tioK~ntro system to enable verstorung rollback and configuration management0 The system should interface with the trouble ficketing systeM aitd the requirements management system to Provi9CfulJ traceabilitY
1 o bull (UiAFeUOjDevelop Stand~ ofP~6imance(iffutWeTIinfrHREADdevelopment crosses orgaruzationlUmiddotgroups) i
1 bull (UnO~A~tomate reactiqns and responses to the existin~ fulfIt ando warmng detection systemL ~ J - 1o
bull (U~ 1stBblish a requirements management process for
o uWAD that is linked tol---__~______---I
(U) Finding 7 Discussiono e number and skill mix ofTHINTHREAD nnel was
o ~1iI~~~~=~nnel required for
13 H L Seuro-36---planning-and executing-installatio so there was a lack of --cfocumentatioDtPIQviding the necessary mam anoo and help desk supporto oonfigurapon managemen~-and planningYlg~~~u1ing CpUectively thyse
o ~_ shortoommgs jeated a senous nsk to successful comp1eti0nL _ J 1 ~_ _ 1-_--I
(UlFOtJ~ Recommendations The finding presented serious risk to successful deployment ofTHINTHREAD It was recommended to continue to identify and o I=~lhord~ofsdll~=-= ired fur
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81
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~ (U) Introduction
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(U) Needs Analysis Revisited i
1 82
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~ The followin section outlines the strenJ
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IThotlblwiJfiiinhetica1 soenariiuiiaiiidliowr--------- ay produce a more effective result in terms ofigtOth complexity and cost
A ew assumptions apply
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1 NCLASSIFIEDJlFOR OFFleb~l uscAppendix I Glossary (U) BY COMPILATON WHEN ASSO
WITH REST OF D-OCU=t=~IE=N--T__---J 1 (U) r------------------------7b)-(3~)--ampP 86middot36 1
1 l 1 1 1 1
Consultative Committee for International Telegraph and Telephone (CCIT1) 1Consultative Committee for International Telegraph and Telephone is the International organization responsible for the development ofcommunications standards Now called 1 the International Telecommunication Union Telecommunication Standardization Sector
(b)(3) PL 86middot36
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Elettronfc Industries As~odatlon (EIA) A group that specifies eJectrical transmission standards The Electronic Jndustries Association and Telecommunications Induslry I Association have developed numerous well-bown communications standards including l Electronic Industries Association and Telecommunications IndusfIy Association 232 and I Electronic Induslrles Association and Telecommunications Induslly Aosoclaion -449 I
(U)
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l International Telecommunication Union Telecommunkation Standardization ~ lSedor (lTV-T) International body that develops worldwide standards for
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telecommunications teclmologies The International Telecommunication Union Telecommunication Standardization Sector carries out the functions ofthe former Consultative Committee for International Telegraph and Telephone l
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International Organization for Standardization (ISO) International organization that is responsible for awide range ofstaruiards including those relevant to networking The l International Organization for Standardization developed the Open System Interconnection reference model a popular networking reference model
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I (b) (3) -T Institute of Electrical and Electronics Engineers (IEEE) 8023 Institute ofEIectrical and Electronics Engineers LAN protocol that specifies an implementation ofthe physical layer and the MAC sublayer ofthe data link layer Institute afElectrical and Electronics Engineers 8023 uses Carrier Sense Multiple Access Collision Detect access at a variety ofspeeds over a variety of physical media Extensions to the I Institute ofElectrical and Electronics Engineers 8023 standard specify implementations for Fast Ethernet
(b)3)-P L 86-36
Open System Interconnedion (OSI) International standard~tion program created by International Organization for Standardization and International Telecommunication Union Telecommunication Standardization Sector to develop standards for data networking that facilitate multimiddotvendor equipment interoperability
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Telecommunications Industry Associlltfon (IIA) Organization that developsstandards relating to telecommunications technologies Together the TelecommWlications Industry Association and the Electronic Industries Association have fOlDlalized standards such as Electronic Industries Association and Telecommunications Industry Association M232 for the electrical characteristics ofdata transmission
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Appendix J ~esponse to Management Comments (U)
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NSA will a ee to conduct an independent e believe that it will validate all of the assertions niMein our reSpons--egoeImiddotmiddot tOf General recommendations
F=~criedd~~fffl it~ th~~~~nH1p nlan~uA wad dl Iill Iwhich was conaucteaIn an openmiddot ~on1o proVlae ffi~esl oenent lor Agency mISSIOn and customers More Importantly tfiere h~ been no eVldence
documented during this Office ofInspector General investigauQl1 that supports that complaint -~ lib) [3J-lL 86-36 ~
(8181) Audit Response The report doi ~l million e TRAILBLAZE
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(U~anagement Comments NSA recommended that the audit report emphasis NSAs cooperation and responsiveness to Congress
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(UIFOU8) Management Comments NSA recommended that the audit report emphasis that the THINTHRBAD capability is valued by NSA
99
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(SSij Audit Response We acknowledge the fact that the current scope ofthe TRAILBLAZER is to provide the infonnation technology ftamework for the entire
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i (U~ Audit Response TRAILBLAZER postponed Milestone B schedul~ Ifor December 2004 because of technical issues with the Technology Demonstration Platfonn February 200S is the earllest date that TRAILBLAZER will be readr fr MILESTONE B I ~
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~- ~ (SfJSl) Audit Response The NSA management comments are inacturate ~r Executive Sunmiary does not claim that TRAILBLAZER development wast
I Iofdollars Instead this phrase is only used to accurately describe p specific liotline complaint allegation that initiated this audit
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TI Appendix K Report Distribution (U)f[]
r[] (U)
Office of the Secretary ofDefense
11 Under Secretary ofDefense for Acquisition Technology and Logistics Under Secretary ofDefense (Comptroller) Under Secretary ofDefense for Intelligence
11 Assistant Secretary ofDefense for Netwerks and Infonnation Integration
11 Other Defense Organization
Director National Security Agency Inspector GeneraJ Natienal Security Agency1] Inspector General Defense Intelligence Agency Inspector General National Geospaual-Intelligence Agency Inspector General Natienal Reconnaissance Office
II Congressional Committees and Subcommittees Chairman and
Ranking Minority Member] Senate Subcommittee onDefense Committee en Appropriations Senate Committee on Anned Services] Senate Select Committee on Intelligence House Subcommittee on Defense Committee on Appropriations House Committee on Armed Services House Permanent Select Committee on Intelligence]
(11)]
]
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1
SECURITY CLASSIFICATION f(FiJ ( Cl 1 ] 1NSA STAFF PROCESSING FORM
TO
IKCC CONTROL NUMBERCoS DC09-017-05 THRU ACTION eXREQ SUSPENSE
~=-c=---------------------l 0 APPROVALSUBJECT KCC SUSPENSE (U) (COP liJIiCRSlIIGOMUffl Office of the IG of the Department of IX] SIGNATURE
ELEMENT SUSPENSEDefense Report on TRAILBLAZER and THINTHREAD Systems 0 INfORMATION
DISTRIBUTION
SUMMARY (u)
PIJRPOSE (GONFIDENFfAIoS202911pound3) Attached for your review and signature is the NSA consolidated response to the report from the DoD OIG on requirements for TRAILBLAZER and TIDNTHREAD systems
End als
Alb) 13l-PL lj
86-36
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OFFIce NAME AND DATE OFFICE NAME AND OAlE
ORG PHONE (Secure OATE PREPARED
DC09 963-5021 11 February 2005
SECURITY CLASSIfICATIONDerived from NSAlCSSM 1-52
DATED 23 November 2004 Declassify On 20291123
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NATIONAL SECURITY AGENCY FORT GEORGE G MEADE JiARY~AND 20755-6000
11 February 2005
MEMORANDUM FOR DEPUTY ASSISTANT INSPECTOR GENERAL FOR INTELLIGENCE AUDITS
SUBJECT (UIFOUO) DoD OIG Audit Report Requirements for the TRAILBLAZER and THINTHREAD Systems1 dated December 15 2004 (Report OS-INTELshy03 Project No D2003AL-OlOO) - INFORMATION MEMORANDUM
(UIFtJtJ9+In response to the DoD OIG request for additional information on the TRAILBLAZER and THINTHREAD report NSACSS provides consolidated corporate comments from our Signals Intelligence Directorate Acquisition Organization and Information Technology Infrastructure Services Organization (now the Infalmation Technology Directorate)
NSAlCSS Resllonse
-teTSubsequent to the DoD OIG report the TRAILBLAZER Milestone has been I scheduled for late in the fourth quarter of FYOS from the previously scheduled earlyenr MS B Accordingly this now allows sufficient time for the conduct of the assessmeftt recommended by the DoD OIG
e lIla ze r
b M 2005 Y ay - i
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If_ bave anY QUestiODrr need additional information Pbgt6~~t
(b) (l)
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MARIA N OCONNOR Chief ofStaff
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NSA STAFF PRO ESSING FORM EXflEG CONTROl NUMBER J(CC CONTROl NUMBER
DA4-04-05 ACTION EXAEG SUSPENSE
-------~_______________I fi] APPROVAL SUBJECT KCC SUSPENse (U~THINTHREAD I TRAILBLAZER 1G [iJ SIGNATURE
ELEMENT SUSPENSEAUDIT REPORT 0 INFORMATION
DISTRI8UTION
SUMMARV
PURPOSE (UtFeYO) To provide the recommended PEO input to the consolidated NSA response regarding actions requested by the final Department of Defense (DoD) Office ofInspector General (OIG) report 05-INTEL-03 Requirements for TRAlLBLAZER and THINTHREAD Systems of 15 December 2004
-tarIn response to ~hidraft7 in August the Agency concurred with comments ~-Tpe following is an excerpt fr9mthose comments laquo The Program Executive Office (PEO) is ta1tingmiddotth~ lead in estab1ishin~an independent review teruv- for Derforming this assessment with the intentiqn that itsJesuIts will be completed in timet I
f IMilestone B documentationraquo
~At the time of this statement (Aug (04) the TRAILBLAZER Milestone B (MSB) was scheduled for December (04 When the final report was published the PEO Assessment had not yet begun Concerned that the assessment could not be completed in time to support a December milestone the DoD OIG requested via the final report that they be provided NSA plans to eliminate the cost and schedule risks for completing the assessment
(GtSince release of the final Audit Report a DIRNSA-Chartered Transformational Advisory Panel (TAP) recommended TRAILBLAZER be rebaselined The MBB is now planned for late Fourth Quarter FY05
COOROINAilONIAPPROVAl
OFFICE NAME AND DATE OFFICE NAME AND DATE sg~degtt~tii
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~ RECOMMENDATION
1 (UJFeiffe1 A form~lRfsk Mitigation Plan is not recommended The PEO is committed to cogducting the assessment The team is currently being fOlriled a kick-offm~gjsj)Ianned for March and the team is expected to report to MrJ II INLT May 31st The cost and schedule impact ofconducting the assessment pose very low risk to the Transformational Programs
2 (UIF8YGl Recommend the response provided as an attachment be forwarded to the DoD OIa as part of the Agencys consolidated response to the Final Report
DOCIDe 3253346
1 1 Team Members (U)
(U) The Office of the Deputy Inspector General for Intelligence ofthe Department ofDefense Intelligence-Audit prepared this report Personnel ofthe Office ofthe Inspector General ofthe Department ofDefense who contributed to the report are listed below
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(U) DoD Instruction 50002 Operation oftbe Defense Acqulsit10n System May 12 2003 DoD Instruction 50002 establishes a management framework for translating mission requirements into stable affordable and well managed acquisition programs that include weapon systems and automated infonnation systems and bighly sensitive classified cryptologict and intelligence projects and programs Instruction 50002 states thatt during the initial concept design DoD Components should examine mUltiple concepts and material approaches to optimize the way that DoD provides these capabilities That approach sha1I include robust analyses that consider affordability technology maturity and responsiveness
(U) CIingermiddotCohen (Information Technology Management Reform) Act of 1996 This act requires that heads of executive agencies develop and use best pmctices in the acquisition ofinfonnation technology The process ofan flxecutive agency shaH include minimum criteria to be applied in considering whether to undertake a particular investment in infonnation systems including criteria related to the quantitatively expressed projected net risk-adjusted return on investment and specific quantitative and qualitative criteria for comparing and prioritizing alternative information systems inveshnent projects
(U) NSA1CSS Circular 5000R Acquisition Management January 9 2001 The circular implements the principles ofDoD Directive 50001 and DoD Regulation SOOO2-R within the NSAfCSS It establishes basic objectives policies procedures and responsihilities for acquisition management The circular states that for acquisition management within the Defense Cryptologic Frogram NSA should address interoperability between existing and future Service tactical Signals Intelligence systems oonneotivity between tactipal and national systems oonsider applicable technology that may satisfy the requirement and possible duplication ofongoing effort
(U) Objectives
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l (SlfSf) NSA Modernization Studies Thefirst NSA Modernization Stu4Y July 200It was conducted by The National Technology Alliance National penterfor Applied Technology after a thorough review ofon1roin~ activities withfu the TRAILBLAZER Program Management Officq 1
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(U) The NSA Modernization Study recommended that
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(U)Summary
(U) Management Comments on the Finding and Audit Response
(UJIIOtiO) ~ementComments The NSA management stated that the draft report did not mclude significant information or included wrong or misleading information The tomplete list ofmanagement tomments is in the Management Comments section ofthis report
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(U~Audit Response We obtained revieweG and analyzed many documents and we interviewed several NSA and contractor personnel to form the conclusions in this report We included all infonnation relevant to support the report findings and rCCQmmendatlons Many people we interviewed asked not to be identified fur fear ofmanagement reprisal We gathered information from many sources to support the finding Paragraphs frequently contain information from several sources to reinforce conclusions Based on management comments we made various editorial changes to the draft report See Appendix J for a completed audit responSe to each management comment
(U) Recommendations Management Comments and Audit Response
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(U) A We recommend that the Director National Seurity AgencyChief Central Security Service
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(U) Congressional Concerns on Digital Network Exploitation
J (U) The National Defense Authorization Act for FY 2002 stated that
J (b) (l) (b) (3)-50 USC 403 ftfSlISij The NSA has clearly Ill8de great strides in seeking to
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(U) T~LBLAZER
J J (SNSI) en March 24 2000 the Director NSA signed the TRAlLBLAZER 1
charter to~te a new Signals Intelligence enterprise to exploit the global network ~~~with an estimated development cost Dfapproximatel as to respond to the opportunities and challenges provided by logies to design new operational practices for on-time delivery ofproducts and services in the manner that best met customer
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1 S7tsQneeds-unrestrained by past practices or past technologies TRAILBLAZER 1 had the following key responsibilities 1
bull (UtfiOOO) Ensure the execution ofa new NSA program transfonning the us Cryptologic System exploitation ofthe global network Map detailed digital network exploitation mission requirements to a cryptologic architecture and implement them and 1
bull (U~Act as the catalyst for transforming customer interaction and operational practices Begin the retooling ofNSA 1programmatically technologically and culturally to provide mission services and capabilities that are responsive to the emerging technology and customer needs 1
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was ~nauct~ by The NatiottalT~ologyAlliance 1lati0Jl1l ~enter fo Applied TechiiolQW After a thorough--re-lew rfommmg 8ctifjes Wltbm tbeJ TRAILBLAZER Pro~Management OffiCe_ __
r---lmd interviews withk~yprogram personnLebull1--th7e--NOa-=timiddoto-n--Cen--ter~fi-or---l ~ Techno1ogy team observe4~at fh~TBLAZER was noortvJ executed and bad an overly expenslv~ ______
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-(SSf) Seeolld NSA Modernization Study A second National Center for Applied Technology report a quick-look follow-on report was completed inJ
December 2001 The Chief Signals Intelligence Programs invited the original
study team to conduct a follow-on study to evaluate progress within the] TRAILBLAZER Program Management Office Despite noting some changes
J made in NSA management and the TRAlLBLAZER Program acquisition strategy that promised to address the conflicts and issues noted in the fust report the study team found that
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J J ] (U) Summary ofManagement Comments on the Audit Finding
and Audit Response
J (UIFOlJet Management Comments NSA management referred to several statements in the report that did not include all referenced documents and that some paragraphs contained wrong or misleading information The complete listJ ofmanagement comments is located in the Management Comments section of this report
J (UJIiOff6) Audit Response We obtained reviewed and analyzed many documents to form the basis for the conclusions in this report We also interviewed several NSA and contractor personnel many ofwhom asked not to be identified for fear ofmanagement reprisal We ga~ered infonnation from
J J many sources to support the finding Paragraphs frequently contain infonnation
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J (U) Recommendations Management Comments and Audit
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(~RevisedRetommendatlon As a result ofmanagement cdmmei~ we
J IreV1sed Recommendations Bt and B3 to ctarlfythe intend1Use of
1 (UI1FOUQlYe recommeDd that the Director National Security J AgencyChlef Central Security Service ----------------------~~I (QDesJmatea team to 1 IJ
J (UIFOUO) Manlgement Comments The Director National Security AgencyChief Central Security Service partially concurred with the intent ofthe recommendation but was waiting for the results ofa cost and schedule impact J study before fully concurring The Program Executive Office is establishing an
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(U~) independent review team to complete the study before Milestone B scheduled for December 2004 because the study win have an effect en both the cost and schedule fer Milestone B
-(eT~~IitJlesponse Based on management comments we revised this l IrecommendatiQn The Director National Security AgencyChief Central
Security Servicecomments were responsive and the proposed actions meet the intent ofthe recomTneIJdation The immediate actions taken to designate an independent review teamt~ perfonn the assessment are commendable JMilestone B has slipped to Feb ~~maumu~wmiddotstJmiddotruamamJllSl~illJilmllL- time to com 1ete the assessmeii
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TRAILBLAZER Teclmology Demonstration Platform Milestone Decision Authority (or use in making the ~estoneB decision J (Uf~Management Comments The Director National Security AgencyChief Central Security Service concurred The completion ofthe independent assessment is currently scheduled fer December 2004 J (U~AuditResponse Although the Director National Security AgencyChief Central Security Service concurred the concurrence is based on ]completing the assessment requested in Recommendation B1 We request that the National Security Agency management provide additional comments in response to the final report identifying NSA plans to eliminate the cost and ]schedule risks for completing the assessment
J (U~ _gemeat 6mments Tho Director National Security ]
- Ag~cy~ef-Gentrals~tyB~1~t~_~115urredt andjWtil that the assessment middotmiddot~middot -___teQuired m Recommendation B1 WIll De mcludedm-thL_______--
PmMilestone B scheduled for December 2004 ]- __shy
(BIfSI) Audit RDii~-Altho~gh the Director National Security AgencyChief Central Security Service concurredthe-COllcurrence is blSed on completing the assessment requested in Recommendation alBased on 1981WemClltcmmIlCllts J to Recommendation B2 this recommendation was reVis
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Appendix A Scope and Methodology (U) ~ ~ 1 1 -
(UitFooo-We reviewed documentation dating from November 200Qlu~~gh October 2003 including background infonnation mission and operatiQUat ri~ statements concepts and operational requirements and contracting ana budget 1 documents Also we conducted interview
I 1
1 t 1
(U) We performed this audit from Apri12003 through May 2004 in accoid~ce with generally accepted government auditing standards
(UffFOUQ-Umitation to Scope Because our objective was limited to
1
evaluating a Defense Hotline allegation relatingto the acquisition ofthe TRAILBLAZER and THINTIlREAD nrolttatns we did not review the roanalement control nroenunl i 1
1 ~
l (U) Use of Computer-Processed Data We did not use computer-processed data to perform this audit
1 1 (UfPOUO) Use ofTechnical Assistance Audit Follow-up and Teehnical Support Personnel assisted us during the audit The Technical Assessment Division assisted in the analysis ofNSA acquisition I l (V) General Accounting Office High-Rlsk Area The General Accounting Office has identified several high-risk areas in DoD Thisreport provides l coverage ofthe Infrastructure Inefficiencies and Infonnation Technology Investments high-risk areas l
(U) Prior Coverage
(UIFOE1OlDuring the last 5 years the Inspector General ofthe NSA issued one l report on TRAILBLAZER that discussed improperly based contract ~st increases non-eonfonnance in the management ofthe Statement ofWark and excessive labor rates for contractor personnel No prior coverage has been l conducted on the NSA THINTHRJAD Program during the last Syears
l l
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o (U) Inspector General NSA
Q (U~eportNo ST~03middot0014 TRAILBLAZER lISIGINTPrograms Systems Engineering and Te()1mica1 Assistance Contract September 30 2004 o
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Appendix B TRAILBLAZER (U) ~
(U) Objectives of TRAILBLAZER and the Technical Demonstration Platform
I i
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bull (UIFSYO) Common standards and interfaces throughout th~ NSA Reference Model
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(SlI8I) Specifically the TRAILBLAZER framework must leverage the best
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Appendix F Technical Studies (U) 1
~fflou~~1~____________~~~NTHREAD Technical Review l
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(UffFOUO Summary ofStudy Recommendations The following is complete list ofrecommendations ofth~ rnINTHREAD Technical Review ~ -
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1 ~------------------------------------------------~ (tJ) NSA Modernization Follow-Up Study
lS1fSI1be NSA Modernization Study July 13 2001 AfWnn-JLlithAN~~LClAt-___- Modernization Follow Up StudytJ Dece1nbet 2oo1 t stat~1
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(U) Preliminary r~hoP THINTIIREAD was performed by the Test Technology and Evaluatiordeam in February 2002 but the formal evaluation was
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(U) Summary of TBINT~nI1 J
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1(UFet1t1) Thd IAssessment Study made the followingrecommendati-bdsimr------
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bull (U) Current THINTHREAD system develo~entprocedures were effective and a cooperative development effort was proceeding smoothly 1 with the pilot site
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(U) Finding 2 Discussion Q
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i~______________________________~______________~ i
06 Finding 3 Discussion
iii (U) There was minimal user system technical or programmatic documentation
The existing documentation was insufficient to support the planned deployments
bull (U) There was no user documentation on how to use the tool That was inefficient and could lead to a significant increase in user error
Difficulties using the tool can also lead to an increase in support calls that
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bull (U) TIUNTHREAD did not have a clearly stated documented set of ~ mission goals or objectives There was no program plan making it
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difficult to communicate infonnation about THINTImEAD at a
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bull (U) A deqilled schedule including all activities related to the system and it deliverables before during and after deployment was not available A
J high-level schedule containing the chronology ofdeployment was if developed but a detailed schedule was essential for proper resource middot1i~1~~~t~ L 86-36 management costing and prediction
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~_o_ -~ c-~gt (U) No installation and maintenance documentation was completed for -~~ -- lt=Jit~rtpersonnel although the team was working with the pilot site
~~- to ~evelOpinstald~atiQ1 dOC~rtation ad ofinstallatioD and --lt- mampntenanceOj-entatio
~ltj- ---t~----------- I _ ---- -- -- _-
bull (U) There~unQoperational support documtanonl - Lack ofsupport documIDtation could adversely affect timely correction or - Inrohtems and CQUll1eadtcf I
(U) The effects ofminimal documentation could be overcome ifan integrated team accomplished the development and deployment ofTHINTHREAD
76 TOP SRCHTIeuroOiHNlf1l28291123
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(U1F9OO) Recommendations Develop necessary docwnentation ni4t would
o Q necessitate an increase in the personnel devoted to documenting the systerh but is
essential to the successfuJ deployment and operation ofTIIINTHREAD The lack of this documentation presented a serious risk to the successful deployment Of THINTIIREAD
(U) Finding 4 Discussion ~
o AMiJOlO) Deg10wenl pJinwas slow to ~
J bull (UFf3UOlHi8toricaUy~ the TIIINTHREAD Program Team focused on
J the Drototvoe demonstration at the Dilot site The s scone did not
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were not identified The relationsbips between work roles throu out e system s life cycle were not defined The authorities for each work role bad not been identifiedJ The organizational structure set forth by the THINIHREAD Program Team focused on system development and did not address system
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(bj (3) - P L 86-3 6 bull (U) THlNTHREAD did not identifY all the organizations requiring coordination through the various stages ofdeployment
(UiifofJoLRecommendations The findings presented a serious risk to successful deployment ofTHINTHREAD To mitigate those risks the following recommendations were suggested
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(U) Finding 5 Discnssion l (UIFOY~ Xhe customer service and user support processes for THlNTHREAD weremanualIy in~ensive and directly involved the technical staff l
bull UJ1i10U~ The quality Ofservi~_aqg~IbeCeiv----Psing ________ -==-TIUNJlIREADwmnoonsistnt SomC1I1teiVieWedby
(b(3j-=P ~ i---6636 --- TeSiTechnology and Evaluati~Jl ~eam VIewed tlie T4ITHRBAr l --==--_--0___ ~oram Tea~ to b~ unresponsIve mg~eral customa support while-----=+--- __ )xEI1enced good responsIveness to then- requests for
ttions or mOOifi~tions1 I l bull (UIIPOUQ) There was no formal trouble ticket mechanism in place Ifa
user or operator had a problem with TIiIN1HRBADs he contacted someone on the THINTHRBAD Program Team This contact depends on l personal acquaintance because no list ofTHINTHREAD personnel was readily available and there was no mechanism to locate the proper TIflNTHRBAD contact Similarly the status ofthe response to a request l could only be leamed by personal contact
bull (UllFOf167 There was no formal mechanism for managing externally lgenemted requirements to include submitting a new requirement to THINTHREAD or for following the progress ofthe work
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maintainin itb just a few userso _ middotmiddot--ihafpemon was a e to_~jer_orc ang ccording to user - - ______ requests-middotreceived (il1Ule telephone or by e-nw owever as more users
3) _PmiddotmiddotmiddotL---8middot~~ are added one person may have difficulty meeting the increased demand o - ------n-ThelackofperBQll~~~y become a problem as =INJHREAD was scaled to handle an lOcreas-eduserlo~ _ I
o o o bull (UFeYQ) A list ofWeb interface functionalities p~~pose4
was not incorporated into TIIINTHREAD 1-----1
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(UtfPOBe) There was nomiddot ptOQeSs for controllin~ and measuring operational programmatic and technical performance effectiveness ofTHINTIIREADJ once deployed
bull (UJlI6ttQ) TIIINTHREAD did not have a clearly stated set ofsystem specifications or a method to validate the THINTHREAD concept or perfonnance results Thus there was no way to determine ifthe system
79
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(euroUIFOOS] was successful or ifit failed which may lead to confusion in stakeholders understanding ofthe success ofTHINTHREAD 1bull (Uf~INTHREAD bad mechanisms for assessing progress and status within the system development phase However there were no systematic consistent mecbanisms for overall program measurement which included identifying test criteria establishing program schedules 1 and documenting a system baseline to address progress No feedback mechanisms had been identified such as risk management or contingency planning 1
bull (UIfffit6) Aside from schedule control there were no tools to measure progress towards program objectives because there were no formalized program objectives 1
bull (UFeuroffJe) THINTHREAD did not have Standards ofPerfonnance established for personnel developing THINTHREAD Iffuture 1TIlINTHREADdevelopment crosses organizational groups a common set ofStandards ofPerfonnance for personnel may become necessary
bull (UIfeOO) There was no configuration management process which could 1 pose a~sk when reporting system ~ro~lems and correcting tt~ I In addition the lack ofa configuration management prtl~ cOwa cause difficulty w~en upgrading or deploying versio~_and-aIso make rollback 1extremely nsky
bull (U17P6t1Q) Th~ fault or w~Jlgdet~on wt a~omated h necessary reactions and ~nseswere l-ot- _ _ __ l software provided ~sirtipIe wayo-ooeck sta1=-o=v=an=o=us==s==----- parameters through a W~jntefface However when an operatorrecowizcSmiddota prolemne must actively initiate conective measures l $omeumes-thafaction is a simple matter such as restarting a process At
- Qilierfifues physical hardware must be changed No corrective action bull- -- -- middotmiddotmiddotCould be executed ifan operator was not present to initiate a corrective l lt~-~~~~~gt bull a_cti_middoto_n_____________________--
i~~~p~ B~36--~--~I~_~__~_~_~~_____~~__~_~ l -
middotmiddot-middotmiddot----Q1IFOUO 1HINTHREAD had no established process for managing 1 reqUiremen~
(UfFOtJO) Reonu~dtioiis~--Thefindings that led to the recommendations l would not have revented the successfuIaepJoYment ofTIIINTHRBAD to
~ e recommendations weremadetQmP2ve=tb=e__--- e ency ofTHINTHREAD after it was deploYedll____--
The follOwing is a list ofrecommendations l L-_~--
bull (P(FQafjJ Develop processes and acquire automated tools based on cIearIx stated specifications for controlling and measuring the l ~=hfc ntipn8tand technical performance ofTHINTHREAD
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bull (UIfOUO) Acquire ~ ~mmercia1ly available conij~tioK~ntro system to enable verstorung rollback and configuration management0 The system should interface with the trouble ficketing systeM aitd the requirements management system to Provi9CfulJ traceabilitY
1 o bull (UiAFeUOjDevelop Stand~ ofP~6imance(iffutWeTIinfrHREADdevelopment crosses orgaruzationlUmiddotgroups) i
1 bull (UnO~A~tomate reactiqns and responses to the existin~ fulfIt ando warmng detection systemL ~ J - 1o
bull (U~ 1stBblish a requirements management process for
o uWAD that is linked tol---__~______---I
(U) Finding 7 Discussiono e number and skill mix ofTHINTHREAD nnel was
o ~1iI~~~~=~nnel required for
13 H L Seuro-36---planning-and executing-installatio so there was a lack of --cfocumentatioDtPIQviding the necessary mam anoo and help desk supporto oonfigurapon managemen~-and planningYlg~~~u1ing CpUectively thyse
o ~_ shortoommgs jeated a senous nsk to successful comp1eti0nL _ J 1 ~_ _ 1-_--I
(UlFOtJ~ Recommendations The finding presented serious risk to successful deployment ofTHINTHREAD It was recommended to continue to identify and o I=~lhord~ofsdll~=-= ired fur
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~ (U) Introduction
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(U) Needs Analysis Revisited i
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Consultative Committee for International Telegraph and Telephone (CCIT1) 1Consultative Committee for International Telegraph and Telephone is the International organization responsible for the development ofcommunications standards Now called 1 the International Telecommunication Union Telecommunication Standardization Sector
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Elettronfc Industries As~odatlon (EIA) A group that specifies eJectrical transmission standards The Electronic Jndustries Association and Telecommunications Induslry I Association have developed numerous well-bown communications standards including l Electronic Industries Association and Telecommunications IndusfIy Association 232 and I Electronic Induslrles Association and Telecommunications Induslly Aosoclaion -449 I
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l International Telecommunication Union Telecommunkation Standardization ~ lSedor (lTV-T) International body that develops worldwide standards for
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Office of the Secretary ofDefense
11 Under Secretary ofDefense for Acquisition Technology and Logistics Under Secretary ofDefense (Comptroller) Under Secretary ofDefense for Intelligence
11 Assistant Secretary ofDefense for Netwerks and Infonnation Integration
11 Other Defense Organization
Director National Security Agency Inspector GeneraJ Natienal Security Agency1] Inspector General Defense Intelligence Agency Inspector General National Geospaual-Intelligence Agency Inspector General Natienal Reconnaissance Office
II Congressional Committees and Subcommittees Chairman and
Ranking Minority Member] Senate Subcommittee onDefense Committee en Appropriations Senate Committee on Anned Services] Senate Select Committee on Intelligence House Subcommittee on Defense Committee on Appropriations House Committee on Armed Services House Permanent Select Committee on Intelligence]
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1
SECURITY CLASSIFICATION f(FiJ ( Cl 1 ] 1NSA STAFF PROCESSING FORM
TO
IKCC CONTROL NUMBERCoS DC09-017-05 THRU ACTION eXREQ SUSPENSE
~=-c=---------------------l 0 APPROVALSUBJECT KCC SUSPENSE (U) (COP liJIiCRSlIIGOMUffl Office of the IG of the Department of IX] SIGNATURE
ELEMENT SUSPENSEDefense Report on TRAILBLAZER and THINTHREAD Systems 0 INfORMATION
DISTRIBUTION
SUMMARY (u)
PIJRPOSE (GONFIDENFfAIoS202911pound3) Attached for your review and signature is the NSA consolidated response to the report from the DoD OIG on requirements for TRAILBLAZER and TIDNTHREAD systems
End als
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86-36
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OFFIce NAME AND DATE OFFICE NAME AND OAlE
ORG PHONE (Secure OATE PREPARED
DC09 963-5021 11 February 2005
SECURITY CLASSIfICATIONDerived from NSAlCSSM 1-52
DATED 23 November 2004 Declassify On 20291123
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NATIONAL SECURITY AGENCY FORT GEORGE G MEADE JiARY~AND 20755-6000
11 February 2005
MEMORANDUM FOR DEPUTY ASSISTANT INSPECTOR GENERAL FOR INTELLIGENCE AUDITS
SUBJECT (UIFOUO) DoD OIG Audit Report Requirements for the TRAILBLAZER and THINTHREAD Systems1 dated December 15 2004 (Report OS-INTELshy03 Project No D2003AL-OlOO) - INFORMATION MEMORANDUM
(UIFtJtJ9+In response to the DoD OIG request for additional information on the TRAILBLAZER and THINTHREAD report NSACSS provides consolidated corporate comments from our Signals Intelligence Directorate Acquisition Organization and Information Technology Infrastructure Services Organization (now the Infalmation Technology Directorate)
NSAlCSS Resllonse
-teTSubsequent to the DoD OIG report the TRAILBLAZER Milestone has been I scheduled for late in the fourth quarter of FYOS from the previously scheduled earlyenr MS B Accordingly this now allows sufficient time for the conduct of the assessmeftt recommended by the DoD OIG
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MARIA N OCONNOR Chief ofStaff
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CONFfDENJfAIffS9291123
NSA STAFF PRO ESSING FORM EXflEG CONTROl NUMBER J(CC CONTROl NUMBER
DA4-04-05 ACTION EXAEG SUSPENSE
-------~_______________I fi] APPROVAL SUBJECT KCC SUSPENse (U~THINTHREAD I TRAILBLAZER 1G [iJ SIGNATURE
ELEMENT SUSPENSEAUDIT REPORT 0 INFORMATION
DISTRI8UTION
SUMMARV
PURPOSE (UtFeYO) To provide the recommended PEO input to the consolidated NSA response regarding actions requested by the final Department of Defense (DoD) Office ofInspector General (OIG) report 05-INTEL-03 Requirements for TRAlLBLAZER and THINTHREAD Systems of 15 December 2004
-tarIn response to ~hidraft7 in August the Agency concurred with comments ~-Tpe following is an excerpt fr9mthose comments laquo The Program Executive Office (PEO) is ta1tingmiddotth~ lead in estab1ishin~an independent review teruv- for Derforming this assessment with the intentiqn that itsJesuIts will be completed in timet I
f IMilestone B documentationraquo
~At the time of this statement (Aug (04) the TRAILBLAZER Milestone B (MSB) was scheduled for December (04 When the final report was published the PEO Assessment had not yet begun Concerned that the assessment could not be completed in time to support a December milestone the DoD OIG requested via the final report that they be provided NSA plans to eliminate the cost and schedule risks for completing the assessment
(GtSince release of the final Audit Report a DIRNSA-Chartered Transformational Advisory Panel (TAP) recommended TRAILBLAZER be rebaselined The MBB is now planned for late Fourth Quarter FY05
COOROINAilONIAPPROVAl
OFFICE NAME AND DATE OFFICE NAME AND DATE sg~degtt~tii
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~ RECOMMENDATION
1 (UJFeiffe1 A form~lRfsk Mitigation Plan is not recommended The PEO is committed to cogducting the assessment The team is currently being fOlriled a kick-offm~gjsj)Ianned for March and the team is expected to report to MrJ II INLT May 31st The cost and schedule impact ofconducting the assessment pose very low risk to the Transformational Programs
2 (UIF8YGl Recommend the response provided as an attachment be forwarded to the DoD OIa as part of the Agencys consolidated response to the Final Report
DOCIDe 3253346
1 1 Team Members (U)
(U) The Office of the Deputy Inspector General for Intelligence ofthe Department ofDefense Intelligence-Audit prepared this report Personnel ofthe Office ofthe Inspector General ofthe Department ofDefense who contributed to the report are listed below
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l (SlfSf) NSA Modernization Studies Thefirst NSA Modernization Stu4Y July 200It was conducted by The National Technology Alliance National penterfor Applied Technology after a thorough review ofon1roin~ activities withfu the TRAILBLAZER Program Management Officq 1
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(U)Summary
(U) Management Comments on the Finding and Audit Response
(UJIIOtiO) ~ementComments The NSA management stated that the draft report did not mclude significant information or included wrong or misleading information The tomplete list ofmanagement tomments is in the Management Comments section ofthis report
23
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(U~Audit Response We obtained revieweG and analyzed many documents and we interviewed several NSA and contractor personnel to form the conclusions in this report We included all infonnation relevant to support the report findings and rCCQmmendatlons Many people we interviewed asked not to be identified fur fear ofmanagement reprisal We gathered information from many sources to support the finding Paragraphs frequently contain information from several sources to reinforce conclusions Based on management comments we made various editorial changes to the draft report See Appendix J for a completed audit responSe to each management comment
(U) Recommendations Management Comments and Audit Response
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(U) A We recommend that the Director National Seurity AgencyChief Central Security Service
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1 S7tsQneeds-unrestrained by past practices or past technologies TRAILBLAZER 1 had the following key responsibilities 1
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The NSA Modernization Study recommlen~tM1ar------------I
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-(SSf) Seeolld NSA Modernization Study A second National Center for Applied Technology report a quick-look follow-on report was completed inJ
December 2001 The Chief Signals Intelligence Programs invited the original
study team to conduct a follow-on study to evaluate progress within the] TRAILBLAZER Program Management Office Despite noting some changes
J made in NSA management and the TRAlLBLAZER Program acquisition strategy that promised to address the conflicts and issues noted in the fust report the study team found that
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~~Durin FY 2901 NSA initial and fo110 internal teclmicalreviews(b) (1) (bl (3)-50 USC 403 l
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(U) TRAILBLAZER Acquisition
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(SHS~ rRAILBLAZER was deyelope~UooUii~gwltlaIILlUI~IIIUoLIIWoIIIoltl-_- enterprise to exploit the global network l
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[J
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J J ] (U) Summary ofManagement Comments on the Audit Finding
and Audit Response
J (UIFOlJet Management Comments NSA management referred to several statements in the report that did not include all referenced documents and that some paragraphs contained wrong or misleading information The complete listJ ofmanagement comments is located in the Management Comments section of this report
J (UJIiOff6) Audit Response We obtained reviewed and analyzed many documents to form the basis for the conclusions in this report We also interviewed several NSA and contractor personnel many ofwhom asked not to be identified for fear ofmanagement reprisal We ga~ered infonnation from
J J many sources to support the finding Paragraphs frequently contain infonnation
from several sources to reinforce conclusions See Appendix] for a complete audit response to each IDlUlagement comment
J (U) Recommendations Management Comments and Audit
Response lIb) (l (b) (3)-PL 86-36
j (b) (5)
(~RevisedRetommendatlon As a result ofmanagement cdmmei~ we
J IreV1sed Recommendations Bt and B3 to ctarlfythe intend1Use of
1 (UI1FOUQlYe recommeDd that the Director National Security J AgencyChlef Central Security Service ----------------------~~I (QDesJmatea team to 1 IJ
J (UIFOUO) Manlgement Comments The Director National Security AgencyChief Central Security Service partially concurred with the intent ofthe recommendation but was waiting for the results ofa cost and schedule impact J study before fully concurring The Program Executive Office is establishing an
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(U~) independent review team to complete the study before Milestone B scheduled for December 2004 because the study win have an effect en both the cost and schedule fer Milestone B
-(eT~~IitJlesponse Based on management comments we revised this l IrecommendatiQn The Director National Security AgencyChief Central
Security Servicecomments were responsive and the proposed actions meet the intent ofthe recomTneIJdation The immediate actions taken to designate an independent review teamt~ perfonn the assessment are commendable JMilestone B has slipped to Feb ~~maumu~wmiddotstJmiddotruamamJllSl~illJilmllL- time to com 1ete the assessmeii
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] 2 (UIFtYffOtprovide the results of the external assessment to the
TRAILBLAZER Teclmology Demonstration Platform Milestone Decision Authority (or use in making the ~estoneB decision J (Uf~Management Comments The Director National Security AgencyChief Central Security Service concurred The completion ofthe independent assessment is currently scheduled fer December 2004 J (U~AuditResponse Although the Director National Security AgencyChief Central Security Service concurred the concurrence is based on ]completing the assessment requested in Recommendation B1 We request that the National Security Agency management provide additional comments in response to the final report identifying NSA plans to eliminate the cost and ]schedule risks for completing the assessment
J (U~ _gemeat 6mments Tho Director National Security ]
- Ag~cy~ef-Gentrals~tyB~1~t~_~115urredt andjWtil that the assessment middotmiddot~middot -___teQuired m Recommendation B1 WIll De mcludedm-thL_______--
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(BIfSI) Audit RDii~-Altho~gh the Director National Security AgencyChief Central Security Service concurredthe-COllcurrence is blSed on completing the assessment requested in Recommendation alBased on 1981WemClltcmmIlCllts J to Recommendation B2 this recommendation was reVis
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1 ~ twe request additional comments in response to the firuit report identitYiIig NSA pans to eliminate the1 cost and schedule risks for completing the assessment l
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Appendix A Scope and Methodology (U) ~ ~ 1 1 -
(UitFooo-We reviewed documentation dating from November 200Qlu~~gh October 2003 including background infonnation mission and operatiQUat ri~ statements concepts and operational requirements and contracting ana budget 1 documents Also we conducted interview
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(U) We performed this audit from Apri12003 through May 2004 in accoid~ce with generally accepted government auditing standards
(UffFOUQ-Umitation to Scope Because our objective was limited to
1
evaluating a Defense Hotline allegation relatingto the acquisition ofthe TRAILBLAZER and THINTIlREAD nrolttatns we did not review the roanalement control nroenunl i 1
1 ~
l (U) Use of Computer-Processed Data We did not use computer-processed data to perform this audit
1 1 (UfPOUO) Use ofTechnical Assistance Audit Follow-up and Teehnical Support Personnel assisted us during the audit The Technical Assessment Division assisted in the analysis ofNSA acquisition I l (V) General Accounting Office High-Rlsk Area The General Accounting Office has identified several high-risk areas in DoD Thisreport provides l coverage ofthe Infrastructure Inefficiencies and Infonnation Technology Investments high-risk areas l
(U) Prior Coverage
(UIFOE1OlDuring the last 5 years the Inspector General ofthe NSA issued one l report on TRAILBLAZER that discussed improperly based contract ~st increases non-eonfonnance in the management ofthe Statement ofWark and excessive labor rates for contractor personnel No prior coverage has been l conducted on the NSA THINTHRJAD Program during the last Syears
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o (U) Inspector General NSA
Q (U~eportNo ST~03middot0014 TRAILBLAZER lISIGINTPrograms Systems Engineering and Te()1mica1 Assistance Contract September 30 2004 o
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Appendix B TRAILBLAZER (U) ~
(U) Objectives of TRAILBLAZER and the Technical Demonstration Platform
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I (U) The Tiger Team m~e the following recommendation
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lS1fSI1be NSA Modernization Study July 13 2001 AfWnn-JLlithAN~~LClAt-___- Modernization Follow Up StudytJ Dece1nbet 2oo1 t stat~1
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i~______________________________~______________~ i
06 Finding 3 Discussion
iii (U) There was minimal user system technical or programmatic documentation
The existing documentation was insufficient to support the planned deployments
bull (U) There was no user documentation on how to use the tool That was inefficient and could lead to a significant increase in user error
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bull (U) A deqilled schedule including all activities related to the system and it deliverables before during and after deployment was not available A
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~_o_ -~ c-~gt (U) No installation and maintenance documentation was completed for -~~ -- lt=Jit~rtpersonnel although the team was working with the pilot site
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bull (U) There~unQoperational support documtanonl - Lack ofsupport documIDtation could adversely affect timely correction or - Inrohtems and CQUll1eadtcf I
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(U1F9OO) Recommendations Develop necessary docwnentation ni4t would
o Q necessitate an increase in the personnel devoted to documenting the systerh but is
essential to the successfuJ deployment and operation ofTIIINTHREAD The lack of this documentation presented a serious risk to the successful deployment Of THINTIIREAD
(U) Finding 4 Discussion ~
o AMiJOlO) Deg10wenl pJinwas slow to ~
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(UiifofJoLRecommendations The findings presented a serious risk to successful deployment ofTHINTHREAD To mitigate those risks the following recommendations were suggested
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ttions or mOOifi~tions1 I l bull (UIIPOUQ) There was no formal trouble ticket mechanism in place Ifa
user or operator had a problem with TIiIN1HRBADs he contacted someone on the THINTHRBAD Program Team This contact depends on l personal acquaintance because no list ofTHINTHREAD personnel was readily available and there was no mechanism to locate the proper TIflNTHRBAD contact Similarly the status ofthe response to a request l could only be leamed by personal contact
bull (UllFOf167 There was no formal mechanism for managing externally lgenemted requirements to include submitting a new requirement to THINTHREAD or for following the progress ofthe work
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maintainin itb just a few userso _ middotmiddot--ihafpemon was a e to_~jer_orc ang ccording to user - - ______ requests-middotreceived (il1Ule telephone or by e-nw owever as more users
3) _PmiddotmiddotmiddotL---8middot~~ are added one person may have difficulty meeting the increased demand o - ------n-ThelackofperBQll~~~y become a problem as =INJHREAD was scaled to handle an lOcreas-eduserlo~ _ I
o o o bull (UFeYQ) A list ofWeb interface functionalities p~~pose4
was not incorporated into TIIINTHREAD 1-----1
o o
(UtfPOBe) There was nomiddot ptOQeSs for controllin~ and measuring operational programmatic and technical performance effectiveness ofTHINTIIREADJ once deployed
bull (UJlI6ttQ) TIIINTHREAD did not have a clearly stated set ofsystem specifications or a method to validate the THINTHREAD concept or perfonnance results Thus there was no way to determine ifthe system
79
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DOCIDe 6253346
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(euroUIFOOS] was successful or ifit failed which may lead to confusion in stakeholders understanding ofthe success ofTHINTHREAD 1bull (Uf~INTHREAD bad mechanisms for assessing progress and status within the system development phase However there were no systematic consistent mecbanisms for overall program measurement which included identifying test criteria establishing program schedules 1 and documenting a system baseline to address progress No feedback mechanisms had been identified such as risk management or contingency planning 1
bull (UIfffit6) Aside from schedule control there were no tools to measure progress towards program objectives because there were no formalized program objectives 1
bull (UFeuroffJe) THINTHREAD did not have Standards ofPerfonnance established for personnel developing THINTHREAD Iffuture 1TIlINTHREADdevelopment crosses organizational groups a common set ofStandards ofPerfonnance for personnel may become necessary
bull (UIfeOO) There was no configuration management process which could 1 pose a~sk when reporting system ~ro~lems and correcting tt~ I In addition the lack ofa configuration management prtl~ cOwa cause difficulty w~en upgrading or deploying versio~_and-aIso make rollback 1extremely nsky
bull (U17P6t1Q) Th~ fault or w~Jlgdet~on wt a~omated h necessary reactions and ~nseswere l-ot- _ _ __ l software provided ~sirtipIe wayo-ooeck sta1=-o=v=an=o=us==s==----- parameters through a W~jntefface However when an operatorrecowizcSmiddota prolemne must actively initiate conective measures l $omeumes-thafaction is a simple matter such as restarting a process At
- Qilierfifues physical hardware must be changed No corrective action bull- -- -- middotmiddotmiddotCould be executed ifan operator was not present to initiate a corrective l lt~-~~~~~gt bull a_cti_middoto_n_____________________--
i~~~p~ B~36--~--~I~_~__~_~_~~_____~~__~_~ l -
middotmiddot-middotmiddot----Q1IFOUO 1HINTHREAD had no established process for managing 1 reqUiremen~
(UfFOtJO) Reonu~dtioiis~--Thefindings that led to the recommendations l would not have revented the successfuIaepJoYment ofTIIINTHRBAD to
~ e recommendations weremadetQmP2ve=tb=e__--- e ency ofTHINTHREAD after it was deploYedll____--
The follOwing is a list ofrecommendations l L-_~--
bull (P(FQafjJ Develop processes and acquire automated tools based on cIearIx stated specifications for controlling and measuring the l ~=hfc ntipn8tand technical performance ofTHINTHREAD
80
TOP SECRBINC01ltIlHpoundl289113
rlCID 3253346bull TOP SIiCRETIJCOltHNTll29191123
Omiddot (b) 3J-PL 86-36
bull (UIfOUO) Acquire ~ ~mmercia1ly available conij~tioK~ntro system to enable verstorung rollback and configuration management0 The system should interface with the trouble ficketing systeM aitd the requirements management system to Provi9CfulJ traceabilitY
1 o bull (UiAFeUOjDevelop Stand~ ofP~6imance(iffutWeTIinfrHREADdevelopment crosses orgaruzationlUmiddotgroups) i
1 bull (UnO~A~tomate reactiqns and responses to the existin~ fulfIt ando warmng detection systemL ~ J - 1o
bull (U~ 1stBblish a requirements management process for
o uWAD that is linked tol---__~______---I
(U) Finding 7 Discussiono e number and skill mix ofTHINTHREAD nnel was
o ~1iI~~~~=~nnel required for
13 H L Seuro-36---planning-and executing-installatio so there was a lack of --cfocumentatioDtPIQviding the necessary mam anoo and help desk supporto oonfigurapon managemen~-and planningYlg~~~u1ing CpUectively thyse
o ~_ shortoommgs jeated a senous nsk to successful comp1eti0nL _ J 1 ~_ _ 1-_--I
(UlFOtJ~ Recommendations The finding presented serious risk to successful deployment ofTHINTHREAD It was recommended to continue to identify and o I=~lhord~ofsdll~=-= ired fur
ij ~~lt~~-
a i~~~-PL 86-36 (bJ (5)
ru
81
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DOCID 3253346
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AppendixH (b) [l) (b) (3) -PL 86-36 i
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~ (U) Introduction
i
(U) Needs Analysis Revisited i
1 82
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(b) (3)-PL 86-36 (U) System Capabilities Overviews
~ The followin section outlines the strenJ
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(U) Cost Analysis middotmiddot(lJ-3JFbull L 86-36
IThotlblwiJfiiinhetica1 soenariiuiiaiiidliowr--------- ay produce a more effective result in terms ofigtOth complexity and cost
A ew assumptions apply
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1 NCLASSIFIEDJlFOR OFFleb~l uscAppendix I Glossary (U) BY COMPILATON WHEN ASSO
WITH REST OF D-OCU=t=~IE=N--T__---J 1 (U) r------------------------7b)-(3~)--ampP 86middot36 1
1 l 1 1 1 1
Consultative Committee for International Telegraph and Telephone (CCIT1) 1Consultative Committee for International Telegraph and Telephone is the International organization responsible for the development ofcommunications standards Now called 1 the International Telecommunication Union Telecommunication Standardization Sector
(b)(3) PL 86middot36
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Elettronfc Industries As~odatlon (EIA) A group that specifies eJectrical transmission standards The Electronic Jndustries Association and Telecommunications Induslry I Association have developed numerous well-bown communications standards including l Electronic Industries Association and Telecommunications IndusfIy Association 232 and I Electronic Induslrles Association and Telecommunications Induslly Aosoclaion -449 I
(U)
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l International Telecommunication Union Telecommunkation Standardization ~ lSedor (lTV-T) International body that develops worldwide standards for
i
telecommunications teclmologies The International Telecommunication Union Telecommunication Standardization Sector carries out the functions ofthe former Consultative Committee for International Telegraph and Telephone l
i
International Organization for Standardization (ISO) International organization that is responsible for awide range ofstaruiards including those relevant to networking The l International Organization for Standardization developed the Open System Interconnection reference model a popular networking reference model
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I (b) (3) -T Institute of Electrical and Electronics Engineers (IEEE) 8023 Institute ofEIectrical and Electronics Engineers LAN protocol that specifies an implementation ofthe physical layer and the MAC sublayer ofthe data link layer Institute afElectrical and Electronics Engineers 8023 uses Carrier Sense Multiple Access Collision Detect access at a variety ofspeeds over a variety of physical media Extensions to the I Institute ofElectrical and Electronics Engineers 8023 standard specify implementations for Fast Ethernet
(b)3)-P L 86-36
Open System Interconnedion (OSI) International standard~tion program created by International Organization for Standardization and International Telecommunication Union Telecommunication Standardization Sector to develop standards for data networking that facilitate multimiddotvendor equipment interoperability
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Telecommunications Industry Associlltfon (IIA) Organization that developsstandards relating to telecommunications technologies Together the TelecommWlications Industry Association and the Electronic Industries Association have fOlDlalized standards such as Electronic Industries Association and Telecommunications Industry Association M232 for the electrical characteristics ofdata transmission
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Appendix J ~esponse to Management Comments (U)
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NSA will a ee to conduct an independent e believe that it will validate all of the assertions niMein our reSpons--egoeImiddotmiddot tOf General recommendations
F=~criedd~~fffl it~ th~~~~nH1p nlan~uA wad dl Iill Iwhich was conaucteaIn an openmiddot ~on1o proVlae ffi~esl oenent lor Agency mISSIOn and customers More Importantly tfiere h~ been no eVldence
documented during this Office ofInspector General investigauQl1 that supports that complaint -~ lib) [3J-lL 86-36 ~
(8181) Audit Response The report doi ~l million e TRAILBLAZE
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(U~anagement Comments NSA recommended that the audit report emphasis NSAs cooperation and responsiveness to Congress
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(UIFOU8) Management Comments NSA recommended that the audit report emphasis that the THINTHRBAD capability is valued by NSA
99
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102
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~--------------------------------------------------~~--~(Sf51) Management Comments NSAj~~~~en~t~d~o~es~n~ot~a~~w~ithlAllth~eDfIoD~~___ Office cfIns etor Generars assessmen
(SSij Audit Response We acknowledge the fact that the current scope ofthe TRAILBLAZER is to provide the infonnation technology ftamework for the entire
104
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(euro) Management Comments NSA managements stated that TRAILBLAZER and ~e Technology Demonstration Platfonn have invested considerable effort to build a signal intelligence architecture that is open and scaleable applies DoQ commercial and NSA
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107
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(Sl8I)Management Comments NSA management comments stated that the Executive ~f
Summarys assertion that NSA disregarded solutions to Uf2ent national security needs ~) (1) is not accurate ~p) (3) -50 USC 40 (1lt) (3)-PL 86-3
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(SNSI) Audit Response NSA comments are inaccurate Major issues raised in the manaSement comments are addressed in the reoort sneciftcallvthe issue of
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108
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also needs clarification j
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(UJ~anagementComments NSAmanag~ent comments stated th~t fue TRAILBLAZER has long-established plans for external assessment ofthe Techlology Demonstration Platfonn for prepamtion for IfliJestone B The Independent Veri1jcAtion and Validation (JVampV) of29 Evaluation Criteria is being conducted by NSAs independent Office ofCorporate Assessmmits Test and Technical Evaluation eleimthlt (TIE) The Early Operational Assessmentiand Operational Assessment will be perfonned by JlTC which had establisheda presence in TRAILBLAZER spaces ~y November 2003 Results ofboth activitieS will be provided to the Milestone Deciaio4 Authority before Milestone B
i (U~ Audit Response TRAILBLAZER postponed Milestone B schedul~ Ifor December 2004 because of technical issues with the Technology Demonstration Platfonn February 200S is the earllest date that TRAILBLAZER will be readr fr MILESTONE B I ~
i
~anagementComments NSA manaampmlmn ~mts staled thatJhe )
I==lYbeprov1a~Mtlone
(8ffSf Management Comments NSA management comments ~tated that the EXecUtile Summarys statement that TRAILBLAZER development wasted I--_____J
109
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~ofdollars is not accurate As the middottlJlModemizanon Study obseni~ TRAILBLAZER is pot only about di~ptnietwork 7~ploitation but also encqIi7nasSs cultural transformation Ie pt9cesses and pohCles) --i ~~J
And although TRAILBLAZER is currently 11 tl1e L-re~v~erop=m=enr1-=ptas=-=elr-tr~-_-a~ dy delivered significant capabilities ~
~- ~ (SfJSl) Audit Response The NSA management comments are inacturate ~r Executive Sunmiary does not claim that TRAILBLAZER development wast
I Iofdollars Instead this phrase is only used to accurately describe p specific liotline complaint allegation that initiated this audit
~
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d stated that the
(s) Audit Response We have documented infonnation to support this statement
however because of fear ofreprlsru we agreed to keep the sources anonymous
111
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I ~Audit Response Our wording reflects information received from our so~ces We reviewed all ofthe comments below and checked our sources and made adjustlpents as required
112
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TI Appendix K Report Distribution (U)f[]
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Office of the Secretary ofDefense
11 Under Secretary ofDefense for Acquisition Technology and Logistics Under Secretary ofDefense (Comptroller) Under Secretary ofDefense for Intelligence
11 Assistant Secretary ofDefense for Netwerks and Infonnation Integration
11 Other Defense Organization
Director National Security Agency Inspector GeneraJ Natienal Security Agency1] Inspector General Defense Intelligence Agency Inspector General National Geospaual-Intelligence Agency Inspector General Natienal Reconnaissance Office
II Congressional Committees and Subcommittees Chairman and
Ranking Minority Member] Senate Subcommittee onDefense Committee en Appropriations Senate Committee on Anned Services] Senate Select Committee on Intelligence House Subcommittee on Defense Committee on Appropriations House Committee on Armed Services House Permanent Select Committee on Intelligence]
(11)]
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NATIONAL SECURITY AGENCI CENTRAL SECURITV SERVtCI
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StmJBCT (ll) Audit ofthe ~ for tbo TRiULlUAZBR ud 1HlNIHRBAD SYma dampbed 111llO 182004 (Projec No D2OO3AL-OlOO)
Deputy ChiefofStaff
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1
SECURITY CLASSIFICATION f(FiJ ( Cl 1 ] 1NSA STAFF PROCESSING FORM
TO
IKCC CONTROL NUMBERCoS DC09-017-05 THRU ACTION eXREQ SUSPENSE
~=-c=---------------------l 0 APPROVALSUBJECT KCC SUSPENSE (U) (COP liJIiCRSlIIGOMUffl Office of the IG of the Department of IX] SIGNATURE
ELEMENT SUSPENSEDefense Report on TRAILBLAZER and THINTHREAD Systems 0 INfORMATION
DISTRIBUTION
SUMMARY (u)
PIJRPOSE (GONFIDENFfAIoS202911pound3) Attached for your review and signature is the NSA consolidated response to the report from the DoD OIG on requirements for TRAILBLAZER and TIDNTHREAD systems
End als
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OFFIce NAME AND DATE OFFICE NAME AND OAlE
ORG PHONE (Secure OATE PREPARED
DC09 963-5021 11 February 2005
SECURITY CLASSIfICATIONDerived from NSAlCSSM 1-52
DATED 23 November 2004 Declassify On 20291123
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NATIONAL SECURITY AGENCY FORT GEORGE G MEADE JiARY~AND 20755-6000
11 February 2005
MEMORANDUM FOR DEPUTY ASSISTANT INSPECTOR GENERAL FOR INTELLIGENCE AUDITS
SUBJECT (UIFOUO) DoD OIG Audit Report Requirements for the TRAILBLAZER and THINTHREAD Systems1 dated December 15 2004 (Report OS-INTELshy03 Project No D2003AL-OlOO) - INFORMATION MEMORANDUM
(UIFtJtJ9+In response to the DoD OIG request for additional information on the TRAILBLAZER and THINTHREAD report NSACSS provides consolidated corporate comments from our Signals Intelligence Directorate Acquisition Organization and Information Technology Infrastructure Services Organization (now the Infalmation Technology Directorate)
NSAlCSS Resllonse
-teTSubsequent to the DoD OIG report the TRAILBLAZER Milestone has been I scheduled for late in the fourth quarter of FYOS from the previously scheduled earlyenr MS B Accordingly this now allows sufficient time for the conduct of the assessmeftt recommended by the DoD OIG
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MARIA N OCONNOR Chief ofStaff
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NSA STAFF PRO ESSING FORM EXflEG CONTROl NUMBER J(CC CONTROl NUMBER
DA4-04-05 ACTION EXAEG SUSPENSE
-------~_______________I fi] APPROVAL SUBJECT KCC SUSPENse (U~THINTHREAD I TRAILBLAZER 1G [iJ SIGNATURE
ELEMENT SUSPENSEAUDIT REPORT 0 INFORMATION
DISTRI8UTION
SUMMARV
PURPOSE (UtFeYO) To provide the recommended PEO input to the consolidated NSA response regarding actions requested by the final Department of Defense (DoD) Office ofInspector General (OIG) report 05-INTEL-03 Requirements for TRAlLBLAZER and THINTHREAD Systems of 15 December 2004
-tarIn response to ~hidraft7 in August the Agency concurred with comments ~-Tpe following is an excerpt fr9mthose comments laquo The Program Executive Office (PEO) is ta1tingmiddotth~ lead in estab1ishin~an independent review teruv- for Derforming this assessment with the intentiqn that itsJesuIts will be completed in timet I
f IMilestone B documentationraquo
~At the time of this statement (Aug (04) the TRAILBLAZER Milestone B (MSB) was scheduled for December (04 When the final report was published the PEO Assessment had not yet begun Concerned that the assessment could not be completed in time to support a December milestone the DoD OIG requested via the final report that they be provided NSA plans to eliminate the cost and schedule risks for completing the assessment
(GtSince release of the final Audit Report a DIRNSA-Chartered Transformational Advisory Panel (TAP) recommended TRAILBLAZER be rebaselined The MBB is now planned for late Fourth Quarter FY05
COOROINAilONIAPPROVAl
OFFICE NAME AND DATE OFFICE NAME AND DATE sg~degtt~tii
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~ RECOMMENDATION
1 (UJFeiffe1 A form~lRfsk Mitigation Plan is not recommended The PEO is committed to cogducting the assessment The team is currently being fOlriled a kick-offm~gjsj)Ianned for March and the team is expected to report to MrJ II INLT May 31st The cost and schedule impact ofconducting the assessment pose very low risk to the Transformational Programs
2 (UIF8YGl Recommend the response provided as an attachment be forwarded to the DoD OIa as part of the Agencys consolidated response to the Final Report
DOCIDe 3253346
1 1 Team Members (U)
(U) The Office of the Deputy Inspector General for Intelligence ofthe Department ofDefense Intelligence-Audit prepared this report Personnel ofthe Office ofthe Inspector General ofthe Department ofDefense who contributed to the report are listed below
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l (SlfSf) NSA Modernization Studies Thefirst NSA Modernization Stu4Y July 200It was conducted by The National Technology Alliance National penterfor Applied Technology after a thorough review ofon1roin~ activities withfu the TRAILBLAZER Program Management Officq 1
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(U)Summary
(U) Management Comments on the Finding and Audit Response
(UJIIOtiO) ~ementComments The NSA management stated that the draft report did not mclude significant information or included wrong or misleading information The tomplete list ofmanagement tomments is in the Management Comments section ofthis report
23
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(U~Audit Response We obtained revieweG and analyzed many documents and we interviewed several NSA and contractor personnel to form the conclusions in this report We included all infonnation relevant to support the report findings and rCCQmmendatlons Many people we interviewed asked not to be identified fur fear ofmanagement reprisal We gathered information from many sources to support the finding Paragraphs frequently contain information from several sources to reinforce conclusions Based on management comments we made various editorial changes to the draft report See Appendix J for a completed audit responSe to each management comment
(U) Recommendations Management Comments and Audit Response
_middotmiddotmiddotmiddotmiddotmiddot1 __ L_______________________-1
(U) A We recommend that the Director National Seurity AgencyChief Central Security Service
(~(ll r--------------------------------------------------~ (b) (3)-PL 86-36 1 (bl (5) L-_______________________________________-J
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J (U) The National Defense Authorization Act for FY 2002 stated that
J (b) (l) (b) (3)-50 USC 403 ftfSlISij The NSA has clearly Ill8de great strides in seeking to
J bl (3)-PL 86-36 uansform itself in many areas However the NSA appeaIB to have
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J J (SNSI) en March 24 2000 the Director NSA signed the TRAlLBLAZER 1
charter to~te a new Signals Intelligence enterprise to exploit the global network ~~~with an estimated development cost Dfapproximatel as to respond to the opportunities and challenges provided by logies to design new operational practices for on-time delivery ofproducts and services in the manner that best met customer
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1 S7tsQneeds-unrestrained by past practices or past technologies TRAILBLAZER 1 had the following key responsibilities 1
bull (UtfiOOO) Ensure the execution ofa new NSA program transfonning the us Cryptologic System exploitation ofthe global network Map detailed digital network exploitation mission requirements to a cryptologic architecture and implement them and 1
bull (U~Act as the catalyst for transforming customer interaction and operational practices Begin the retooling ofNSA 1programmatically technologically and culturally to provide mission services and capabilities that are responsive to the emerging technology and customer needs 1
____- ___-----middot(lJ)IL--_____----I~RAILBLAZER (1) 1
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was ~nauct~ by The NatiottalT~ologyAlliance 1lati0Jl1l ~enter fo Applied TechiiolQW After a thorough--re-lew rfommmg 8ctifjes Wltbm tbeJ TRAILBLAZER Pro~Management OffiCe_ __
r---lmd interviews withk~yprogram personnLebull1--th7e--NOa-=timiddoto-n--Cen--ter~fi-or---l ~ Techno1ogy team observe4~at fh~TBLAZER was noortvJ executed and bad an overly expenslv~ ______
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-(SSf) Seeolld NSA Modernization Study A second National Center for Applied Technology report a quick-look follow-on report was completed inJ
December 2001 The Chief Signals Intelligence Programs invited the original
study team to conduct a follow-on study to evaluate progress within the] TRAILBLAZER Program Management Office Despite noting some changes
J made in NSA management and the TRAlLBLAZER Program acquisition strategy that promised to address the conflicts and issues noted in the fust report the study team found that
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J J ] (U) Summary ofManagement Comments on the Audit Finding
and Audit Response
J (UIFOlJet Management Comments NSA management referred to several statements in the report that did not include all referenced documents and that some paragraphs contained wrong or misleading information The complete listJ ofmanagement comments is located in the Management Comments section of this report
J (UJIiOff6) Audit Response We obtained reviewed and analyzed many documents to form the basis for the conclusions in this report We also interviewed several NSA and contractor personnel many ofwhom asked not to be identified for fear ofmanagement reprisal We ga~ered infonnation from
J J many sources to support the finding Paragraphs frequently contain infonnation
from several sources to reinforce conclusions See Appendix] for a complete audit response to each IDlUlagement comment
J (U) Recommendations Management Comments and Audit
Response lIb) (l (b) (3)-PL 86-36
j (b) (5)
(~RevisedRetommendatlon As a result ofmanagement cdmmei~ we
J IreV1sed Recommendations Bt and B3 to ctarlfythe intend1Use of
1 (UI1FOUQlYe recommeDd that the Director National Security J AgencyChlef Central Security Service ----------------------~~I (QDesJmatea team to 1 IJ
J (UIFOUO) Manlgement Comments The Director National Security AgencyChief Central Security Service partially concurred with the intent ofthe recommendation but was waiting for the results ofa cost and schedule impact J study before fully concurring The Program Executive Office is establishing an
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(U~) independent review team to complete the study before Milestone B scheduled for December 2004 because the study win have an effect en both the cost and schedule fer Milestone B
-(eT~~IitJlesponse Based on management comments we revised this l IrecommendatiQn The Director National Security AgencyChief Central
Security Servicecomments were responsive and the proposed actions meet the intent ofthe recomTneIJdation The immediate actions taken to designate an independent review teamt~ perfonn the assessment are commendable JMilestone B has slipped to Feb ~~maumu~wmiddotstJmiddotruamamJllSl~illJilmllL- time to com 1ete the assessmeii
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TRAILBLAZER Teclmology Demonstration Platform Milestone Decision Authority (or use in making the ~estoneB decision J (Uf~Management Comments The Director National Security AgencyChief Central Security Service concurred The completion ofthe independent assessment is currently scheduled fer December 2004 J (U~AuditResponse Although the Director National Security AgencyChief Central Security Service concurred the concurrence is based on ]completing the assessment requested in Recommendation B1 We request that the National Security Agency management provide additional comments in response to the final report identifying NSA plans to eliminate the cost and ]schedule risks for completing the assessment
J (U~ _gemeat 6mments Tho Director National Security ]
- Ag~cy~ef-Gentrals~tyB~1~t~_~115urredt andjWtil that the assessment middotmiddot~middot -___teQuired m Recommendation B1 WIll De mcludedm-thL_______--
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Appendix A Scope and Methodology (U) ~ ~ 1 1 -
(UitFooo-We reviewed documentation dating from November 200Qlu~~gh October 2003 including background infonnation mission and operatiQUat ri~ statements concepts and operational requirements and contracting ana budget 1 documents Also we conducted interview
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(U) We performed this audit from Apri12003 through May 2004 in accoid~ce with generally accepted government auditing standards
(UffFOUQ-Umitation to Scope Because our objective was limited to
1
evaluating a Defense Hotline allegation relatingto the acquisition ofthe TRAILBLAZER and THINTIlREAD nrolttatns we did not review the roanalement control nroenunl i 1
1 ~
l (U) Use of Computer-Processed Data We did not use computer-processed data to perform this audit
1 1 (UfPOUO) Use ofTechnical Assistance Audit Follow-up and Teehnical Support Personnel assisted us during the audit The Technical Assessment Division assisted in the analysis ofNSA acquisition I l (V) General Accounting Office High-Rlsk Area The General Accounting Office has identified several high-risk areas in DoD Thisreport provides l coverage ofthe Infrastructure Inefficiencies and Infonnation Technology Investments high-risk areas l
(U) Prior Coverage
(UIFOE1OlDuring the last 5 years the Inspector General ofthe NSA issued one l report on TRAILBLAZER that discussed improperly based contract ~st increases non-eonfonnance in the management ofthe Statement ofWark and excessive labor rates for contractor personnel No prior coverage has been l conducted on the NSA THINTHRJAD Program during the last Syears
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Q (U~eportNo ST~03middot0014 TRAILBLAZER lISIGINTPrograms Systems Engineering and Te()1mica1 Assistance Contract September 30 2004 o
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(U) Objectives of TRAILBLAZER and the Technical Demonstration Platform
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lS1fSI1be NSA Modernization Study July 13 2001 AfWnn-JLlithAN~~LClAt-___- Modernization Follow Up StudytJ Dece1nbet 2oo1 t stat~1
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TOP SeCRBfIlCOllIMfi82911D J
DOCID 3253346 1TOP SECRITI1euro9Hffflll9191123
1 (U) General Recommendations
1(UFet1t1) Thd IAssessment Study made the followingrecommendati-bdsimr------
1 1 1 1 1 1
bullbull
rsc~=t~~1~UmiOV91 ksectxfind~nted 1 U) Finding 1 Discussion 1
U~There _eno technical issues that would prevent THlNTIIREAD 1~~ I 1
1 1 1 1
bull (U) Current THINTHREAD system develo~entprocedures were effective and a cooperative development effort was proceeding smoothly 1 with the pilot site
174
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3253346JOC ) (b) (3) -p L 86-36
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Q Q
Q (U) Recommendations There were no reconunendations
(U) Finding 2 Discussion Q
bull
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(U) Recommendations See the recommendations for rnlNTHRBAD Findings I 3 through 7 to address these risks
J I 1
J J bull
) bull
bull J bull
J bull
J bull (U) some THINTHREAD files could not be viewed to pursue ooaective actions
J 75 TOP SBCRBTtJC91HNTll29191133
J -~~---------------------------------
BOGID 329334
TOP SBCRETlaquotSOMJl5ITJl1019111J
(ulP6OO) Recommendations The issues previously mentioned would not
i~______________________________~______________~ i
06 Finding 3 Discussion
iii (U) There was minimal user system technical or programmatic documentation
The existing documentation was insufficient to support the planned deployments
bull (U) There was no user documentation on how to use the tool That was inefficient and could lead to a significant increase in user error
Difficulties using the tool can also lead to an increase in support calls that
l drained project resources
i l
bull (U) TIUNTHREAD did not have a clearly stated documented set of ~ mission goals or objectives There was no program plan making it
l
difficult to communicate infonnation about THINTImEAD at a
1 pmogrwrrunaticleveL
bull (U) A deqilled schedule including all activities related to the system and it deliverables before during and after deployment was not available A
J high-level schedule containing the chronology ofdeployment was if developed but a detailed schedule was essential for proper resource middot1i~1~~~t~ L 86-36 management costing and prediction
bullbullbullbullbull~_ ~~b~ ~~-~_bullbull
~_o_ -~ c-~gt (U) No installation and maintenance documentation was completed for -~~ -- lt=Jit~rtpersonnel although the team was working with the pilot site
~~- to ~evelOpinstald~atiQ1 dOC~rtation ad ofinstallatioD and --lt- mampntenanceOj-entatio
~ltj- ---t~----------- I _ ---- -- -- _-
bull (U) There~unQoperational support documtanonl - Lack ofsupport documIDtation could adversely affect timely correction or - Inrohtems and CQUll1eadtcf I
(U) The effects ofminimal documentation could be overcome ifan integrated team accomplished the development and deployment ofTHINTHREAD
76 TOP SRCHTIeuroOiHNlf1l28291123
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bullbullo o
(U1F9OO) Recommendations Develop necessary docwnentation ni4t would
o Q necessitate an increase in the personnel devoted to documenting the systerh but is
essential to the successfuJ deployment and operation ofTIIINTHREAD The lack of this documentation presented a serious risk to the successful deployment Of THINTIIREAD
(U) Finding 4 Discussion ~
o AMiJOlO) Deg10wenl pJinwas slow to ~
J bull (UFf3UOlHi8toricaUy~ the TIIINTHREAD Program Team focused on
J the Drototvoe demonstration at the Dilot site The s scone did not
bull
J ]
~ IJ J bull (UIfIOUO) O~ ent and operation
were not identified The relationsbips between work roles throu out e system s life cycle were not defined The authorities for each work role bad not been identifiedJ The organizational structure set forth by the THINIHREAD Program Team focused on system development and did not address system
]
J 77 TOP SBCRRTApoundOAHNTlllN911a3J
noelD 325334
W~) dw1oymentl I A ]ThemmTHRBAD Program Team was defiriirig the
_l~-~~~~~~~~~l a~iionalwork roles necessary for deployuienl activities I
(bj (3) - P L 86-3 6 bull (U) THlNTHREAD did not identifY all the organizations requiring coordination through the various stages ofdeployment
(UiifofJoLRecommendations The findings presented a serious risk to successful deployment ofTHINTHREAD To mitigate those risks the following recommendations were suggested
-bull
(b) (3)-P bull L 66-36 bull (b) (5)
---_ bull shybull
(U) Finding 5 Discnssion l (UIFOY~ Xhe customer service and user support processes for THlNTHREAD weremanualIy in~ensive and directly involved the technical staff l
bull UJ1i10U~ The quality Ofservi~_aqg~IbeCeiv----Psing ________ -==-TIUNJlIREADwmnoonsistnt SomC1I1teiVieWedby
(b(3j-=P ~ i---6636 --- TeSiTechnology and Evaluati~Jl ~eam VIewed tlie T4ITHRBAr l --==--_--0___ ~oram Tea~ to b~ unresponsIve mg~eral customa support while-----=+--- __ )xEI1enced good responsIveness to then- requests for
ttions or mOOifi~tions1 I l bull (UIIPOUQ) There was no formal trouble ticket mechanism in place Ifa
user or operator had a problem with TIiIN1HRBADs he contacted someone on the THINTHRBAD Program Team This contact depends on l personal acquaintance because no list ofTHINTHREAD personnel was readily available and there was no mechanism to locate the proper TIflNTHRBAD contact Similarly the status ofthe response to a request l could only be leamed by personal contact
bull (UllFOf167 There was no formal mechanism for managing externally lgenemted requirements to include submitting a new requirement to THINTHREAD or for following the progress ofthe work
l78 FOP SHCREfNCOMINTIl29991123
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rrC1D 3253346
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o bull (U~ team was in charge of
maintainin itb just a few userso _ middotmiddot--ihafpemon was a e to_~jer_orc ang ccording to user - - ______ requests-middotreceived (il1Ule telephone or by e-nw owever as more users
3) _PmiddotmiddotmiddotL---8middot~~ are added one person may have difficulty meeting the increased demand o - ------n-ThelackofperBQll~~~y become a problem as =INJHREAD was scaled to handle an lOcreas-eduserlo~ _ I
o o o bull (UFeYQ) A list ofWeb interface functionalities p~~pose4
was not incorporated into TIIINTHREAD 1-----1
o o
(UtfPOBe) There was nomiddot ptOQeSs for controllin~ and measuring operational programmatic and technical performance effectiveness ofTHINTIIREADJ once deployed
bull (UJlI6ttQ) TIIINTHREAD did not have a clearly stated set ofsystem specifications or a method to validate the THINTHREAD concept or perfonnance results Thus there was no way to determine ifthe system
79
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DOCIDe 6253346
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(euroUIFOOS] was successful or ifit failed which may lead to confusion in stakeholders understanding ofthe success ofTHINTHREAD 1bull (Uf~INTHREAD bad mechanisms for assessing progress and status within the system development phase However there were no systematic consistent mecbanisms for overall program measurement which included identifying test criteria establishing program schedules 1 and documenting a system baseline to address progress No feedback mechanisms had been identified such as risk management or contingency planning 1
bull (UIfffit6) Aside from schedule control there were no tools to measure progress towards program objectives because there were no formalized program objectives 1
bull (UFeuroffJe) THINTHREAD did not have Standards ofPerfonnance established for personnel developing THINTHREAD Iffuture 1TIlINTHREADdevelopment crosses organizational groups a common set ofStandards ofPerfonnance for personnel may become necessary
bull (UIfeOO) There was no configuration management process which could 1 pose a~sk when reporting system ~ro~lems and correcting tt~ I In addition the lack ofa configuration management prtl~ cOwa cause difficulty w~en upgrading or deploying versio~_and-aIso make rollback 1extremely nsky
bull (U17P6t1Q) Th~ fault or w~Jlgdet~on wt a~omated h necessary reactions and ~nseswere l-ot- _ _ __ l software provided ~sirtipIe wayo-ooeck sta1=-o=v=an=o=us==s==----- parameters through a W~jntefface However when an operatorrecowizcSmiddota prolemne must actively initiate conective measures l $omeumes-thafaction is a simple matter such as restarting a process At
- Qilierfifues physical hardware must be changed No corrective action bull- -- -- middotmiddotmiddotCould be executed ifan operator was not present to initiate a corrective l lt~-~~~~~gt bull a_cti_middoto_n_____________________--
i~~~p~ B~36--~--~I~_~__~_~_~~_____~~__~_~ l -
middotmiddot-middotmiddot----Q1IFOUO 1HINTHREAD had no established process for managing 1 reqUiremen~
(UfFOtJO) Reonu~dtioiis~--Thefindings that led to the recommendations l would not have revented the successfuIaepJoYment ofTIIINTHRBAD to
~ e recommendations weremadetQmP2ve=tb=e__--- e ency ofTHINTHREAD after it was deploYedll____--
The follOwing is a list ofrecommendations l L-_~--
bull (P(FQafjJ Develop processes and acquire automated tools based on cIearIx stated specifications for controlling and measuring the l ~=hfc ntipn8tand technical performance ofTHINTHREAD
80
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bull (UIfOUO) Acquire ~ ~mmercia1ly available conij~tioK~ntro system to enable verstorung rollback and configuration management0 The system should interface with the trouble ficketing systeM aitd the requirements management system to Provi9CfulJ traceabilitY
1 o bull (UiAFeUOjDevelop Stand~ ofP~6imance(iffutWeTIinfrHREADdevelopment crosses orgaruzationlUmiddotgroups) i
1 bull (UnO~A~tomate reactiqns and responses to the existin~ fulfIt ando warmng detection systemL ~ J - 1o
bull (U~ 1stBblish a requirements management process for
o uWAD that is linked tol---__~______---I
(U) Finding 7 Discussiono e number and skill mix ofTHINTHREAD nnel was
o ~1iI~~~~=~nnel required for
13 H L Seuro-36---planning-and executing-installatio so there was a lack of --cfocumentatioDtPIQviding the necessary mam anoo and help desk supporto oonfigurapon managemen~-and planningYlg~~~u1ing CpUectively thyse
o ~_ shortoommgs jeated a senous nsk to successful comp1eti0nL _ J 1 ~_ _ 1-_--I
(UlFOtJ~ Recommendations The finding presented serious risk to successful deployment ofTHINTHREAD It was recommended to continue to identify and o I=~lhord~ofsdll~=-= ired fur
ij ~~lt~~-
a i~~~-PL 86-36 (bJ (5)
ru
81
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DOCID 3253346
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AppendixH (b) [l) (b) (3) -PL 86-36 i
~
~ (U) Introduction
i
(U) Needs Analysis Revisited i
1 82
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1Hb1 (3)- E bull L 86-36 H
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(b) (3)-PL 86-36 (U) System Capabilities Overviews
~ The followin section outlines the strenJ
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DOCID 3253346 1 1
(b) (1)
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Jmiddotmiddottbl (3)-PL 66-36
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1 (U) Optimal System
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DOCID 325334 (b) (1) (b) (3)-PL 86-36
f0f SECREfeuro8lHNfHamp911~3 ~
(U) Cost Analysis middotmiddot(lJ-3JFbull L 86-36
IThotlblwiJfiiinhetica1 soenariiuiiaiiidliowr--------- ay produce a more effective result in terms ofigtOth complexity and cost
A ew assumptions apply
-
86 ft)p SECItEf88Mffft7t2991123
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(U) Conclusion o
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Q o Q o
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Q TOP SGCRBTh09]11IHrl1939113a
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1 NCLASSIFIEDJlFOR OFFleb~l uscAppendix I Glossary (U) BY COMPILATON WHEN ASSO
WITH REST OF D-OCU=t=~IE=N--T__---J 1 (U) r------------------------7b)-(3~)--ampP 86middot36 1
1 l 1 1 1 1
Consultative Committee for International Telegraph and Telephone (CCIT1) 1Consultative Committee for International Telegraph and Telephone is the International organization responsible for the development ofcommunications standards Now called 1 the International Telecommunication Union Telecommunication Standardization Sector
(b)(3) PL 86middot36
1 1 1 1
(U)
1
88 1
lOP iECRampTllemtlNTl~Q2ttt13 1
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(U)
lb)(3)-P 86-36 I
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Elettronfc Industries As~odatlon (EIA) A group that specifies eJectrical transmission standards The Electronic Jndustries Association and Telecommunications Induslry I Association have developed numerous well-bown communications standards including l Electronic Industries Association and Telecommunications IndusfIy Association 232 and I Electronic Induslrles Association and Telecommunications Induslly Aosoclaion -449 I
(U)
89 TOP 8JpoundCMT~I~9]911aa
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1 ~b)(3)middotP 86middot36
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l International Telecommunication Union Telecommunkation Standardization ~ lSedor (lTV-T) International body that develops worldwide standards for
i
telecommunications teclmologies The International Telecommunication Union Telecommunication Standardization Sector carries out the functions ofthe former Consultative Committee for International Telegraph and Telephone l
i
International Organization for Standardization (ISO) International organization that is responsible for awide range ofstaruiards including those relevant to networking The l International Organization for Standardization developed the Open System Interconnection reference model a popular networking reference model
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I (b) (3) -T Institute of Electrical and Electronics Engineers (IEEE) 8023 Institute ofEIectrical and Electronics Engineers LAN protocol that specifies an implementation ofthe physical layer and the MAC sublayer ofthe data link layer Institute afElectrical and Electronics Engineers 8023 uses Carrier Sense Multiple Access Collision Detect access at a variety ofspeeds over a variety of physical media Extensions to the I Institute ofElectrical and Electronics Engineers 8023 standard specify implementations for Fast Ethernet
(b)3)-P L 86-36
Open System Interconnedion (OSI) International standard~tion program created by International Organization for Standardization and International Telecommunication Union Telecommunication Standardization Sector to develop standards for data networking that facilitate multimiddotvendor equipment interoperability
b)(3)-PL Se-S6
(U)
91
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Telecommunications Industry Associlltfon (IIA) Organization that developsstandards relating to telecommunications technologies Together the TelecommWlications Industry Association and the Electronic Industries Association have fOlDlalized standards such as Electronic Industries Association and Telecommunications Industry Association M232 for the electrical characteristics ofdata transmission
(b)(3)-PL ~6-36
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1 1 1 1 1 1 1 1 1 l
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Appendix J ~esponse to Management Comments (U)
bullbullbullbullbull
bullbullbullbullbullbullbullbullbullbullbullbull
bullbull
- ~gt~
~ -
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~)l) [bl (3)
~
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NSA will a ee to conduct an independent e believe that it will validate all of the assertions niMein our reSpons--egoeImiddotmiddot tOf General recommendations
F=~criedd~~fffl it~ th~~~~nH1p nlan~uA wad dl Iill Iwhich was conaucteaIn an openmiddot ~on1o proVlae ffi~esl oenent lor Agency mISSIOn and customers More Importantly tfiere h~ been no eVldence
documented during this Office ofInspector General investigauQl1 that supports that complaint -~ lib) [3J-lL 86-36 ~
(8181) Audit Response The report doi ~l million e TRAILBLAZE
9S
FOP SfiCRBtYICOMlN1Yli92911la
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96 TOP SBCRJITIIC8f1fBUTIl29291123
DOCID 3253346 b) (1) fp) (3)-PL 86-36
--TOt SfJCRBThCO~IIN1l~Qa9111a
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tOP SECRfi~4Ie8rHNfl891123
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-DOCIDe 3253346 (b) (1) (b) (3)-PL 86-36
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(U~anagement Comments NSA recommended that the audit report emphasis NSAs cooperation and responsiveness to Congress
i
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(UIFOU8) Management Comments NSA recommended that the audit report emphasis that the THINTHRBAD capability is valued by NSA
99
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(b) (1)DOCID 326334i (b (3-PL 86-36
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_DOCID 325334amp (b) 1 J (b) (3)-PL 86-36TOP poundECImTIfCOJIItIlW19291123
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(b) (1) tb) 3) -so usc 403DOOID 3253346 (1) (3)-PL 86-36
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TOP SRCREfllCOrHftllQlllllll
f)OCID 326334 (b) (1) (b) (3)-PL 86-36
YOf SRCREfHe6J1fHNFl2929112~middot
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~-
~Management Comments TRAILBLAZER welcomes an open revi~Qf
~
~--------------------------------------------------~~--~(Sf51) Management Comments NSAj~~~~en~t~d~o~es~n~ot~a~~w~ithlAllth~eDfIoD~~___ Office cfIns etor Generars assessmen
(SSij Audit Response We acknowledge the fact that the current scope ofthe TRAILBLAZER is to provide the infonnation technology ftamework for the entire
104
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(b) (1)DeeID 3aS334e (b) (3) -50 USC 403 b) (3)-PL B6-36
1
TOP SpoundCRSIlIC811tl1l11lJDltll13
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rOC1D 3253346 lib) (1) Kb) (3) -50 USC 403 ihl (3)-PL 66-36TOP SECRET1euro9MINT1I29291123
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~ t - S ~
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(euro) Management Comments NSA managements stated that TRAILBLAZER and ~e Technology Demonstration Platfonn have invested considerable effort to build a signal intelligence architecture that is open and scaleable applies DoQ commercial and NSA
s 1
107
TOP SKCUTMG~IltWGa911l3
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Ldelines oDoD Directive 50002~
bull
(Sl8I)Management Comments NSA management comments stated that the Executive ~f
Summarys assertion that NSA disregarded solutions to Uf2ent national security needs ~) (1) is not accurate ~p) (3) -50 USC 40 (1lt) (3)-PL 86-3
j
t~
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middotL__------------------------------------------~------------~
(SNSI) Audit Response NSA comments are inaccurate Major issues raised in the manaSement comments are addressed in the reoort sneciftcallvthe issue of
i
108
fOP SECRBlEi1QAHNYl~91911la
-middotDOCID 3253346 ~--~-l (b) (1)
~ lib) (3)-50 USC 403TOP SKCKK171C()AtltIflOloJIllb) (3) -PL 86-36
-tetMngmntco_t8-~anag~t sta~tI1a11Jl~ilJ~~ltJj~-tyen~~ll~fi~lt~~r~-alltcI~aJ~~ r--lt1eDonsclraI1poundlJ+ oJthe~TA Studys rmiddot~mnlmll1lI1middot0IlL_--_4_~-+---~_middotmiddotmiddotmiddotmiddot~
also needs clarification j
I
I I
~
i
(UJ~anagementComments NSAmanag~ent comments stated th~t fue TRAILBLAZER has long-established plans for external assessment ofthe Techlology Demonstration Platfonn for prepamtion for IfliJestone B The Independent Veri1jcAtion and Validation (JVampV) of29 Evaluation Criteria is being conducted by NSAs independent Office ofCorporate Assessmmits Test and Technical Evaluation eleimthlt (TIE) The Early Operational Assessmentiand Operational Assessment will be perfonned by JlTC which had establisheda presence in TRAILBLAZER spaces ~y November 2003 Results ofboth activitieS will be provided to the Milestone Deciaio4 Authority before Milestone B
i (U~ Audit Response TRAILBLAZER postponed Milestone B schedul~ Ifor December 2004 because of technical issues with the Technology Demonstration Platfonn February 200S is the earllest date that TRAILBLAZER will be readr fr MILESTONE B I ~
i
~anagementComments NSA manaampmlmn ~mts staled thatJhe )
I==lYbeprov1a~Mtlone
(8ffSf Management Comments NSA management comments ~tated that the EXecUtile Summarys statement that TRAILBLAZER development wasted I--_____J
109
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OP SJBCRETC01tnNTl~9~1123 (~)( 3 - P L 86-36 -~ftt t
-$ -~ ~
~ofdollars is not accurate As the middottlJlModemizanon Study obseni~ TRAILBLAZER is pot only about di~ptnietwork 7~ploitation but also encqIi7nasSs cultural transformation Ie pt9cesses and pohCles) --i ~~J
And although TRAILBLAZER is currently 11 tl1e L-re~v~erop=m=enr1-=ptas=-=elr-tr~-_-a~ dy delivered significant capabilities ~
~- ~ (SfJSl) Audit Response The NSA management comments are inacturate ~r Executive Sunmiary does not claim that TRAILBLAZER development wast
I Iofdollars Instead this phrase is only used to accurately describe p specific liotline complaint allegation that initiated this audit
~
l
110 1OP 8PCBlSTlIeuro1lDfTlIl(tl9111~
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~anagement C~mments NSA management comments also qhestions the ~~=====z-=-~~==~=-~=~~~~essed=rstudies and
d stated that the
(s) Audit Response We have documented infonnation to support this statement
however because of fear ofreprlsru we agreed to keep the sources anonymous
111
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I ~Audit Response Our wording reflects information received from our so~ces We reviewed all ofthe comments below and checked our sources and made adjustlpents as required
112
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TI Appendix K Report Distribution (U)f[]
r[] (U)
Office of the Secretary ofDefense
11 Under Secretary ofDefense for Acquisition Technology and Logistics Under Secretary ofDefense (Comptroller) Under Secretary ofDefense for Intelligence
11 Assistant Secretary ofDefense for Netwerks and Infonnation Integration
11 Other Defense Organization
Director National Security Agency Inspector GeneraJ Natienal Security Agency1] Inspector General Defense Intelligence Agency Inspector General National Geospaual-Intelligence Agency Inspector General Natienal Reconnaissance Office
II Congressional Committees and Subcommittees Chairman and
Ranking Minority Member] Senate Subcommittee onDefense Committee en Appropriations Senate Committee on Anned Services] Senate Select Committee on Intelligence House Subcommittee on Defense Committee on Appropriations House Committee on Armed Services House Permanent Select Committee on Intelligence]
(11)]
]
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J 113
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National Security AgencyCentral Security Service Comments (U)
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NATIONAL SECURITY AGENCI CENTRAL SECURITV SERVtCI
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1
SECURITY CLASSIFICATION f(FiJ ( Cl 1 ] 1NSA STAFF PROCESSING FORM
TO
IKCC CONTROL NUMBERCoS DC09-017-05 THRU ACTION eXREQ SUSPENSE
~=-c=---------------------l 0 APPROVALSUBJECT KCC SUSPENSE (U) (COP liJIiCRSlIIGOMUffl Office of the IG of the Department of IX] SIGNATURE
ELEMENT SUSPENSEDefense Report on TRAILBLAZER and THINTHREAD Systems 0 INfORMATION
DISTRIBUTION
SUMMARY (u)
PIJRPOSE (GONFIDENFfAIoS202911pound3) Attached for your review and signature is the NSA consolidated response to the report from the DoD OIG on requirements for TRAILBLAZER and TIDNTHREAD systems
End als
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OFFIce NAME AND DATE OFFICE NAME AND OAlE
ORG PHONE (Secure OATE PREPARED
DC09 963-5021 11 February 2005
SECURITY CLASSIfICATIONDerived from NSAlCSSM 1-52
DATED 23 November 2004 Declassify On 20291123
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NATIONAL SECURITY AGENCY FORT GEORGE G MEADE JiARY~AND 20755-6000
11 February 2005
MEMORANDUM FOR DEPUTY ASSISTANT INSPECTOR GENERAL FOR INTELLIGENCE AUDITS
SUBJECT (UIFOUO) DoD OIG Audit Report Requirements for the TRAILBLAZER and THINTHREAD Systems1 dated December 15 2004 (Report OS-INTELshy03 Project No D2003AL-OlOO) - INFORMATION MEMORANDUM
(UIFtJtJ9+In response to the DoD OIG request for additional information on the TRAILBLAZER and THINTHREAD report NSACSS provides consolidated corporate comments from our Signals Intelligence Directorate Acquisition Organization and Information Technology Infrastructure Services Organization (now the Infalmation Technology Directorate)
NSAlCSS Resllonse
-teTSubsequent to the DoD OIG report the TRAILBLAZER Milestone has been I scheduled for late in the fourth quarter of FYOS from the previously scheduled earlyenr MS B Accordingly this now allows sufficient time for the conduct of the assessmeftt recommended by the DoD OIG
e lIla ze r
b M 2005 Y ay - i
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If_ bave anY QUestiODrr need additional information Pbgt6~~t
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MARIA N OCONNOR Chief ofStaff
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CONFfDENJfAIffS9291123
NSA STAFF PRO ESSING FORM EXflEG CONTROl NUMBER J(CC CONTROl NUMBER
DA4-04-05 ACTION EXAEG SUSPENSE
-------~_______________I fi] APPROVAL SUBJECT KCC SUSPENse (U~THINTHREAD I TRAILBLAZER 1G [iJ SIGNATURE
ELEMENT SUSPENSEAUDIT REPORT 0 INFORMATION
DISTRI8UTION
SUMMARV
PURPOSE (UtFeYO) To provide the recommended PEO input to the consolidated NSA response regarding actions requested by the final Department of Defense (DoD) Office ofInspector General (OIG) report 05-INTEL-03 Requirements for TRAlLBLAZER and THINTHREAD Systems of 15 December 2004
-tarIn response to ~hidraft7 in August the Agency concurred with comments ~-Tpe following is an excerpt fr9mthose comments laquo The Program Executive Office (PEO) is ta1tingmiddotth~ lead in estab1ishin~an independent review teruv- for Derforming this assessment with the intentiqn that itsJesuIts will be completed in timet I
f IMilestone B documentationraquo
~At the time of this statement (Aug (04) the TRAILBLAZER Milestone B (MSB) was scheduled for December (04 When the final report was published the PEO Assessment had not yet begun Concerned that the assessment could not be completed in time to support a December milestone the DoD OIG requested via the final report that they be provided NSA plans to eliminate the cost and schedule risks for completing the assessment
(GtSince release of the final Audit Report a DIRNSA-Chartered Transformational Advisory Panel (TAP) recommended TRAILBLAZER be rebaselined The MBB is now planned for late Fourth Quarter FY05
COOROINAilONIAPPROVAl
OFFICE NAME AND DATE OFFICE NAME AND DATE sg~degtt~tii
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DATE PREPAREO ~~
l)A4 963-7368 - 8 February 2005 -~---
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FORM Aamps6 REV NOV 1)$ SECURlt ~SSlFI~ilON Oerlved From ($upe~ A8796FE894 =gt l- _COtfFfBENHtu whfch is OOS()feco Declassify On ~~ - of bullmiddotmiddotmiddotmiddotfi bullNSN 754(-FMQOt-5485 - l - _ (b )()3 -Po L bull 8 6-36
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~ (U~he development of this resP~98en~~en coordinated Wit~r-----lmd the TRAILBLAZER Program Manag~m~nt Office
~ RECOMMENDATION
1 (UJFeiffe1 A form~lRfsk Mitigation Plan is not recommended The PEO is committed to cogducting the assessment The team is currently being fOlriled a kick-offm~gjsj)Ianned for March and the team is expected to report to MrJ II INLT May 31st The cost and schedule impact ofconducting the assessment pose very low risk to the Transformational Programs
2 (UIF8YGl Recommend the response provided as an attachment be forwarded to the DoD OIa as part of the Agencys consolidated response to the Final Report
DOCIDe 3253346
1 1 Team Members (U)
(U) The Office of the Deputy Inspector General for Intelligence ofthe Department ofDefense Intelligence-Audit prepared this report Personnel ofthe Office ofthe Inspector General ofthe Department ofDefense who contributed to the report are listed below
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l (SlfSf) NSA Modernization Studies Thefirst NSA Modernization Stu4Y July 200It was conducted by The National Technology Alliance National penterfor Applied Technology after a thorough review ofon1roin~ activities withfu the TRAILBLAZER Program Management Officq 1
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(U)Summary
(U) Management Comments on the Finding and Audit Response
(UJIIOtiO) ~ementComments The NSA management stated that the draft report did not mclude significant information or included wrong or misleading information The tomplete list ofmanagement tomments is in the Management Comments section ofthis report
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(U~Audit Response We obtained revieweG and analyzed many documents and we interviewed several NSA and contractor personnel to form the conclusions in this report We included all infonnation relevant to support the report findings and rCCQmmendatlons Many people we interviewed asked not to be identified fur fear ofmanagement reprisal We gathered information from many sources to support the finding Paragraphs frequently contain information from several sources to reinforce conclusions Based on management comments we made various editorial changes to the draft report See Appendix J for a completed audit responSe to each management comment
(U) Recommendations Management Comments and Audit Response
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bull (U~Act as the catalyst for transforming customer interaction and operational practices Begin the retooling ofNSA 1programmatically technologically and culturally to provide mission services and capabilities that are responsive to the emerging technology and customer needs 1
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December 2001 The Chief Signals Intelligence Programs invited the original
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J (UIFOlJet Management Comments NSA management referred to several statements in the report that did not include all referenced documents and that some paragraphs contained wrong or misleading information The complete listJ ofmanagement comments is located in the Management Comments section of this report
J (UJIiOff6) Audit Response We obtained reviewed and analyzed many documents to form the basis for the conclusions in this report We also interviewed several NSA and contractor personnel many ofwhom asked not to be identified for fear ofmanagement reprisal We ga~ered infonnation from
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J (UIFOUO) Manlgement Comments The Director National Security AgencyChief Central Security Service partially concurred with the intent ofthe recommendation but was waiting for the results ofa cost and schedule impact J study before fully concurring The Program Executive Office is establishing an
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(U~) independent review team to complete the study before Milestone B scheduled for December 2004 because the study win have an effect en both the cost and schedule fer Milestone B
-(eT~~IitJlesponse Based on management comments we revised this l IrecommendatiQn The Director National Security AgencyChief Central
Security Servicecomments were responsive and the proposed actions meet the intent ofthe recomTneIJdation The immediate actions taken to designate an independent review teamt~ perfonn the assessment are commendable JMilestone B has slipped to Feb ~~maumu~wmiddotstJmiddotruamamJllSl~illJilmllL- time to com 1ete the assessmeii
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TRAILBLAZER Teclmology Demonstration Platform Milestone Decision Authority (or use in making the ~estoneB decision J (Uf~Management Comments The Director National Security AgencyChief Central Security Service concurred The completion ofthe independent assessment is currently scheduled fer December 2004 J (U~AuditResponse Although the Director National Security AgencyChief Central Security Service concurred the concurrence is based on ]completing the assessment requested in Recommendation B1 We request that the National Security Agency management provide additional comments in response to the final report identifying NSA plans to eliminate the cost and ]schedule risks for completing the assessment
J (U~ _gemeat 6mments Tho Director National Security ]
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Appendix A Scope and Methodology (U) ~ ~ 1 1 -
(UitFooo-We reviewed documentation dating from November 200Qlu~~gh October 2003 including background infonnation mission and operatiQUat ri~ statements concepts and operational requirements and contracting ana budget 1 documents Also we conducted interview
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(UffFOUQ-Umitation to Scope Because our objective was limited to
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l (U) Use of Computer-Processed Data We did not use computer-processed data to perform this audit
1 1 (UfPOUO) Use ofTechnical Assistance Audit Follow-up and Teehnical Support Personnel assisted us during the audit The Technical Assessment Division assisted in the analysis ofNSA acquisition I l (V) General Accounting Office High-Rlsk Area The General Accounting Office has identified several high-risk areas in DoD Thisreport provides l coverage ofthe Infrastructure Inefficiencies and Infonnation Technology Investments high-risk areas l
(U) Prior Coverage
(UIFOE1OlDuring the last 5 years the Inspector General ofthe NSA issued one l report on TRAILBLAZER that discussed improperly based contract ~st increases non-eonfonnance in the management ofthe Statement ofWark and excessive labor rates for contractor personnel No prior coverage has been l conducted on the NSA THINTHRJAD Program during the last Syears
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(U) Objectives of TRAILBLAZER and the Technical Demonstration Platform
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Appendix F Technical Studies (U) 1
~fflou~~1~____________~~~NTHREAD Technical Review l
1 (b) (l) 1 (b (3-IL 8~-36
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(UffFOUO Summary ofStudy Recommendations The following is complete list ofrecommendations ofth~ rnINTHREAD Technical Review ~ -
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1 ~------------------------------------------------~ (tJ) NSA Modernization Follow-Up Study
lS1fSI1be NSA Modernization Study July 13 2001 AfWnn-JLlithAN~~LClAt-___- Modernization Follow Up StudytJ Dece1nbet 2oo1 t stat~1
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(U) Preliminary r~hoP THINTIIREAD was performed by the Test Technology and Evaluatiordeam in February 2002 but the formal evaluation was
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(U) Summary of TBINT~nI1 J
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1 (U) General Recommendations
1(UFet1t1) Thd IAssessment Study made the followingrecommendati-bdsimr------
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bull (U) Current THINTHREAD system develo~entprocedures were effective and a cooperative development effort was proceeding smoothly 1 with the pilot site
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Q (U) Recommendations There were no reconunendations
(U) Finding 2 Discussion Q
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(ulP6OO) Recommendations The issues previously mentioned would not
i~______________________________~______________~ i
06 Finding 3 Discussion
iii (U) There was minimal user system technical or programmatic documentation
The existing documentation was insufficient to support the planned deployments
bull (U) There was no user documentation on how to use the tool That was inefficient and could lead to a significant increase in user error
Difficulties using the tool can also lead to an increase in support calls that
l drained project resources
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bull (U) TIUNTHREAD did not have a clearly stated documented set of ~ mission goals or objectives There was no program plan making it
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difficult to communicate infonnation about THINTImEAD at a
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bull (U) A deqilled schedule including all activities related to the system and it deliverables before during and after deployment was not available A
J high-level schedule containing the chronology ofdeployment was if developed but a detailed schedule was essential for proper resource middot1i~1~~~t~ L 86-36 management costing and prediction
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~_o_ -~ c-~gt (U) No installation and maintenance documentation was completed for -~~ -- lt=Jit~rtpersonnel although the team was working with the pilot site
~~- to ~evelOpinstald~atiQ1 dOC~rtation ad ofinstallatioD and --lt- mampntenanceOj-entatio
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bull (U) There~unQoperational support documtanonl - Lack ofsupport documIDtation could adversely affect timely correction or - Inrohtems and CQUll1eadtcf I
(U) The effects ofminimal documentation could be overcome ifan integrated team accomplished the development and deployment ofTHINTHREAD
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(U1F9OO) Recommendations Develop necessary docwnentation ni4t would
o Q necessitate an increase in the personnel devoted to documenting the systerh but is
essential to the successfuJ deployment and operation ofTIIINTHREAD The lack of this documentation presented a serious risk to the successful deployment Of THINTIIREAD
(U) Finding 4 Discussion ~
o AMiJOlO) Deg10wenl pJinwas slow to ~
J bull (UFf3UOlHi8toricaUy~ the TIIINTHREAD Program Team focused on
J the Drototvoe demonstration at the Dilot site The s scone did not
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were not identified The relationsbips between work roles throu out e system s life cycle were not defined The authorities for each work role bad not been identifiedJ The organizational structure set forth by the THINIHREAD Program Team focused on system development and did not address system
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W~) dw1oymentl I A ]ThemmTHRBAD Program Team was defiriirig the
_l~-~~~~~~~~~l a~iionalwork roles necessary for deployuienl activities I
(bj (3) - P L 86-3 6 bull (U) THlNTHREAD did not identifY all the organizations requiring coordination through the various stages ofdeployment
(UiifofJoLRecommendations The findings presented a serious risk to successful deployment ofTHINTHREAD To mitigate those risks the following recommendations were suggested
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(U) Finding 5 Discnssion l (UIFOY~ Xhe customer service and user support processes for THlNTHREAD weremanualIy in~ensive and directly involved the technical staff l
bull UJ1i10U~ The quality Ofservi~_aqg~IbeCeiv----Psing ________ -==-TIUNJlIREADwmnoonsistnt SomC1I1teiVieWedby
(b(3j-=P ~ i---6636 --- TeSiTechnology and Evaluati~Jl ~eam VIewed tlie T4ITHRBAr l --==--_--0___ ~oram Tea~ to b~ unresponsIve mg~eral customa support while-----=+--- __ )xEI1enced good responsIveness to then- requests for
ttions or mOOifi~tions1 I l bull (UIIPOUQ) There was no formal trouble ticket mechanism in place Ifa
user or operator had a problem with TIiIN1HRBADs he contacted someone on the THINTHRBAD Program Team This contact depends on l personal acquaintance because no list ofTHINTHREAD personnel was readily available and there was no mechanism to locate the proper TIflNTHRBAD contact Similarly the status ofthe response to a request l could only be leamed by personal contact
bull (UllFOf167 There was no formal mechanism for managing externally lgenemted requirements to include submitting a new requirement to THINTHREAD or for following the progress ofthe work
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maintainin itb just a few userso _ middotmiddot--ihafpemon was a e to_~jer_orc ang ccording to user - - ______ requests-middotreceived (il1Ule telephone or by e-nw owever as more users
3) _PmiddotmiddotmiddotL---8middot~~ are added one person may have difficulty meeting the increased demand o - ------n-ThelackofperBQll~~~y become a problem as =INJHREAD was scaled to handle an lOcreas-eduserlo~ _ I
o o o bull (UFeYQ) A list ofWeb interface functionalities p~~pose4
was not incorporated into TIIINTHREAD 1-----1
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(UtfPOBe) There was nomiddot ptOQeSs for controllin~ and measuring operational programmatic and technical performance effectiveness ofTHINTIIREADJ once deployed
bull (UJlI6ttQ) TIIINTHREAD did not have a clearly stated set ofsystem specifications or a method to validate the THINTHREAD concept or perfonnance results Thus there was no way to determine ifthe system
79
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(euroUIFOOS] was successful or ifit failed which may lead to confusion in stakeholders understanding ofthe success ofTHINTHREAD 1bull (Uf~INTHREAD bad mechanisms for assessing progress and status within the system development phase However there were no systematic consistent mecbanisms for overall program measurement which included identifying test criteria establishing program schedules 1 and documenting a system baseline to address progress No feedback mechanisms had been identified such as risk management or contingency planning 1
bull (UIfffit6) Aside from schedule control there were no tools to measure progress towards program objectives because there were no formalized program objectives 1
bull (UFeuroffJe) THINTHREAD did not have Standards ofPerfonnance established for personnel developing THINTHREAD Iffuture 1TIlINTHREADdevelopment crosses organizational groups a common set ofStandards ofPerfonnance for personnel may become necessary
bull (UIfeOO) There was no configuration management process which could 1 pose a~sk when reporting system ~ro~lems and correcting tt~ I In addition the lack ofa configuration management prtl~ cOwa cause difficulty w~en upgrading or deploying versio~_and-aIso make rollback 1extremely nsky
bull (U17P6t1Q) Th~ fault or w~Jlgdet~on wt a~omated h necessary reactions and ~nseswere l-ot- _ _ __ l software provided ~sirtipIe wayo-ooeck sta1=-o=v=an=o=us==s==----- parameters through a W~jntefface However when an operatorrecowizcSmiddota prolemne must actively initiate conective measures l $omeumes-thafaction is a simple matter such as restarting a process At
- Qilierfifues physical hardware must be changed No corrective action bull- -- -- middotmiddotmiddotCould be executed ifan operator was not present to initiate a corrective l lt~-~~~~~gt bull a_cti_middoto_n_____________________--
i~~~p~ B~36--~--~I~_~__~_~_~~_____~~__~_~ l -
middotmiddot-middotmiddot----Q1IFOUO 1HINTHREAD had no established process for managing 1 reqUiremen~
(UfFOtJO) Reonu~dtioiis~--Thefindings that led to the recommendations l would not have revented the successfuIaepJoYment ofTIIINTHRBAD to
~ e recommendations weremadetQmP2ve=tb=e__--- e ency ofTHINTHREAD after it was deploYedll____--
The follOwing is a list ofrecommendations l L-_~--
bull (P(FQafjJ Develop processes and acquire automated tools based on cIearIx stated specifications for controlling and measuring the l ~=hfc ntipn8tand technical performance ofTHINTHREAD
80
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bull (UIfOUO) Acquire ~ ~mmercia1ly available conij~tioK~ntro system to enable verstorung rollback and configuration management0 The system should interface with the trouble ficketing systeM aitd the requirements management system to Provi9CfulJ traceabilitY
1 o bull (UiAFeUOjDevelop Stand~ ofP~6imance(iffutWeTIinfrHREADdevelopment crosses orgaruzationlUmiddotgroups) i
1 bull (UnO~A~tomate reactiqns and responses to the existin~ fulfIt ando warmng detection systemL ~ J - 1o
bull (U~ 1stBblish a requirements management process for
o uWAD that is linked tol---__~______---I
(U) Finding 7 Discussiono e number and skill mix ofTHINTHREAD nnel was
o ~1iI~~~~=~nnel required for
13 H L Seuro-36---planning-and executing-installatio so there was a lack of --cfocumentatioDtPIQviding the necessary mam anoo and help desk supporto oonfigurapon managemen~-and planningYlg~~~u1ing CpUectively thyse
o ~_ shortoommgs jeated a senous nsk to successful comp1eti0nL _ J 1 ~_ _ 1-_--I
(UlFOtJ~ Recommendations The finding presented serious risk to successful deployment ofTHINTHREAD It was recommended to continue to identify and o I=~lhord~ofsdll~=-= ired fur
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81
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~ (U) Introduction
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(U) Needs Analysis Revisited i
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~ The followin section outlines the strenJ
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IThotlblwiJfiiinhetica1 soenariiuiiaiiidliowr--------- ay produce a more effective result in terms ofigtOth complexity and cost
A ew assumptions apply
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1 NCLASSIFIEDJlFOR OFFleb~l uscAppendix I Glossary (U) BY COMPILATON WHEN ASSO
WITH REST OF D-OCU=t=~IE=N--T__---J 1 (U) r------------------------7b)-(3~)--ampP 86middot36 1
1 l 1 1 1 1
Consultative Committee for International Telegraph and Telephone (CCIT1) 1Consultative Committee for International Telegraph and Telephone is the International organization responsible for the development ofcommunications standards Now called 1 the International Telecommunication Union Telecommunication Standardization Sector
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Elettronfc Industries As~odatlon (EIA) A group that specifies eJectrical transmission standards The Electronic Jndustries Association and Telecommunications Induslry I Association have developed numerous well-bown communications standards including l Electronic Industries Association and Telecommunications IndusfIy Association 232 and I Electronic Induslrles Association and Telecommunications Induslly Aosoclaion -449 I
(U)
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l International Telecommunication Union Telecommunkation Standardization ~ lSedor (lTV-T) International body that develops worldwide standards for
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telecommunications teclmologies The International Telecommunication Union Telecommunication Standardization Sector carries out the functions ofthe former Consultative Committee for International Telegraph and Telephone l
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International Organization for Standardization (ISO) International organization that is responsible for awide range ofstaruiards including those relevant to networking The l International Organization for Standardization developed the Open System Interconnection reference model a popular networking reference model
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I (b) (3) -T Institute of Electrical and Electronics Engineers (IEEE) 8023 Institute ofEIectrical and Electronics Engineers LAN protocol that specifies an implementation ofthe physical layer and the MAC sublayer ofthe data link layer Institute afElectrical and Electronics Engineers 8023 uses Carrier Sense Multiple Access Collision Detect access at a variety ofspeeds over a variety of physical media Extensions to the I Institute ofElectrical and Electronics Engineers 8023 standard specify implementations for Fast Ethernet
(b)3)-P L 86-36
Open System Interconnedion (OSI) International standard~tion program created by International Organization for Standardization and International Telecommunication Union Telecommunication Standardization Sector to develop standards for data networking that facilitate multimiddotvendor equipment interoperability
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Telecommunications Industry Associlltfon (IIA) Organization that developsstandards relating to telecommunications technologies Together the TelecommWlications Industry Association and the Electronic Industries Association have fOlDlalized standards such as Electronic Industries Association and Telecommunications Industry Association M232 for the electrical characteristics ofdata transmission
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Appendix J ~esponse to Management Comments (U)
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NSA will a ee to conduct an independent e believe that it will validate all of the assertions niMein our reSpons--egoeImiddotmiddot tOf General recommendations
F=~criedd~~fffl it~ th~~~~nH1p nlan~uA wad dl Iill Iwhich was conaucteaIn an openmiddot ~on1o proVlae ffi~esl oenent lor Agency mISSIOn and customers More Importantly tfiere h~ been no eVldence
documented during this Office ofInspector General investigauQl1 that supports that complaint -~ lib) [3J-lL 86-36 ~
(8181) Audit Response The report doi ~l million e TRAILBLAZE
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(U~anagement Comments NSA recommended that the audit report emphasis NSAs cooperation and responsiveness to Congress
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(UIFOU8) Management Comments NSA recommended that the audit report emphasis that the THINTHRBAD capability is valued by NSA
99
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(SSij Audit Response We acknowledge the fact that the current scope ofthe TRAILBLAZER is to provide the infonnation technology ftamework for the entire
104
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(euro) Management Comments NSA managements stated that TRAILBLAZER and ~e Technology Demonstration Platfonn have invested considerable effort to build a signal intelligence architecture that is open and scaleable applies DoQ commercial and NSA
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(UJ~anagementComments NSAmanag~ent comments stated th~t fue TRAILBLAZER has long-established plans for external assessment ofthe Techlology Demonstration Platfonn for prepamtion for IfliJestone B The Independent Veri1jcAtion and Validation (JVampV) of29 Evaluation Criteria is being conducted by NSAs independent Office ofCorporate Assessmmits Test and Technical Evaluation eleimthlt (TIE) The Early Operational Assessmentiand Operational Assessment will be perfonned by JlTC which had establisheda presence in TRAILBLAZER spaces ~y November 2003 Results ofboth activitieS will be provided to the Milestone Deciaio4 Authority before Milestone B
i (U~ Audit Response TRAILBLAZER postponed Milestone B schedul~ Ifor December 2004 because of technical issues with the Technology Demonstration Platfonn February 200S is the earllest date that TRAILBLAZER will be readr fr MILESTONE B I ~
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112
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Office of the Secretary ofDefense
11 Under Secretary ofDefense for Acquisition Technology and Logistics Under Secretary ofDefense (Comptroller) Under Secretary ofDefense for Intelligence
11 Assistant Secretary ofDefense for Netwerks and Infonnation Integration
11 Other Defense Organization
Director National Security Agency Inspector GeneraJ Natienal Security Agency1] Inspector General Defense Intelligence Agency Inspector General National Geospaual-Intelligence Agency Inspector General Natienal Reconnaissance Office
II Congressional Committees and Subcommittees Chairman and
Ranking Minority Member] Senate Subcommittee onDefense Committee en Appropriations Senate Committee on Anned Services] Senate Select Committee on Intelligence House Subcommittee on Defense Committee on Appropriations House Committee on Armed Services House Permanent Select Committee on Intelligence]
(11)]
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1
SECURITY CLASSIFICATION f(FiJ ( Cl 1 ] 1NSA STAFF PROCESSING FORM
TO
IKCC CONTROL NUMBERCoS DC09-017-05 THRU ACTION eXREQ SUSPENSE
~=-c=---------------------l 0 APPROVALSUBJECT KCC SUSPENSE (U) (COP liJIiCRSlIIGOMUffl Office of the IG of the Department of IX] SIGNATURE
ELEMENT SUSPENSEDefense Report on TRAILBLAZER and THINTHREAD Systems 0 INfORMATION
DISTRIBUTION
SUMMARY (u)
PIJRPOSE (GONFIDENFfAIoS202911pound3) Attached for your review and signature is the NSA consolidated response to the report from the DoD OIG on requirements for TRAILBLAZER and TIDNTHREAD systems
End als
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86-36
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OFFIce NAME AND DATE OFFICE NAME AND OAlE
ORG PHONE (Secure OATE PREPARED
DC09 963-5021 11 February 2005
SECURITY CLASSIfICATIONDerived from NSAlCSSM 1-52
DATED 23 November 2004 Declassify On 20291123
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NATIONAL SECURITY AGENCY FORT GEORGE G MEADE JiARY~AND 20755-6000
11 February 2005
MEMORANDUM FOR DEPUTY ASSISTANT INSPECTOR GENERAL FOR INTELLIGENCE AUDITS
SUBJECT (UIFOUO) DoD OIG Audit Report Requirements for the TRAILBLAZER and THINTHREAD Systems1 dated December 15 2004 (Report OS-INTELshy03 Project No D2003AL-OlOO) - INFORMATION MEMORANDUM
(UIFtJtJ9+In response to the DoD OIG request for additional information on the TRAILBLAZER and THINTHREAD report NSACSS provides consolidated corporate comments from our Signals Intelligence Directorate Acquisition Organization and Information Technology Infrastructure Services Organization (now the Infalmation Technology Directorate)
NSAlCSS Resllonse
-teTSubsequent to the DoD OIG report the TRAILBLAZER Milestone has been I scheduled for late in the fourth quarter of FYOS from the previously scheduled earlyenr MS B Accordingly this now allows sufficient time for the conduct of the assessmeftt recommended by the DoD OIG
e lIla ze r
b M 2005 Y ay - i
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If_ bave anY QUestiODrr need additional information Pbgt6~~t
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MARIA N OCONNOR Chief ofStaff
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CONFfDENJfAIffS9291123
NSA STAFF PRO ESSING FORM EXflEG CONTROl NUMBER J(CC CONTROl NUMBER
DA4-04-05 ACTION EXAEG SUSPENSE
-------~_______________I fi] APPROVAL SUBJECT KCC SUSPENse (U~THINTHREAD I TRAILBLAZER 1G [iJ SIGNATURE
ELEMENT SUSPENSEAUDIT REPORT 0 INFORMATION
DISTRI8UTION
SUMMARV
PURPOSE (UtFeYO) To provide the recommended PEO input to the consolidated NSA response regarding actions requested by the final Department of Defense (DoD) Office ofInspector General (OIG) report 05-INTEL-03 Requirements for TRAlLBLAZER and THINTHREAD Systems of 15 December 2004
-tarIn response to ~hidraft7 in August the Agency concurred with comments ~-Tpe following is an excerpt fr9mthose comments laquo The Program Executive Office (PEO) is ta1tingmiddotth~ lead in estab1ishin~an independent review teruv- for Derforming this assessment with the intentiqn that itsJesuIts will be completed in timet I
f IMilestone B documentationraquo
~At the time of this statement (Aug (04) the TRAILBLAZER Milestone B (MSB) was scheduled for December (04 When the final report was published the PEO Assessment had not yet begun Concerned that the assessment could not be completed in time to support a December milestone the DoD OIG requested via the final report that they be provided NSA plans to eliminate the cost and schedule risks for completing the assessment
(GtSince release of the final Audit Report a DIRNSA-Chartered Transformational Advisory Panel (TAP) recommended TRAILBLAZER be rebaselined The MBB is now planned for late Fourth Quarter FY05
COOROINAilONIAPPROVAl
OFFICE NAME AND DATE OFFICE NAME AND DATE sg~degtt~tii
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~ RECOMMENDATION
1 (UJFeiffe1 A form~lRfsk Mitigation Plan is not recommended The PEO is committed to cogducting the assessment The team is currently being fOlriled a kick-offm~gjsj)Ianned for March and the team is expected to report to MrJ II INLT May 31st The cost and schedule impact ofconducting the assessment pose very low risk to the Transformational Programs
2 (UIF8YGl Recommend the response provided as an attachment be forwarded to the DoD OIa as part of the Agencys consolidated response to the Final Report
DOCIDe 3253346
1 1 Team Members (U)
(U) The Office of the Deputy Inspector General for Intelligence ofthe Department ofDefense Intelligence-Audit prepared this report Personnel ofthe Office ofthe Inspector General ofthe Department ofDefense who contributed to the report are listed below
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(U)Summary
(U) Management Comments on the Finding and Audit Response
(UJIIOtiO) ~ementComments The NSA management stated that the draft report did not mclude significant information or included wrong or misleading information The tomplete list ofmanagement tomments is in the Management Comments section ofthis report
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(U~Audit Response We obtained revieweG and analyzed many documents and we interviewed several NSA and contractor personnel to form the conclusions in this report We included all infonnation relevant to support the report findings and rCCQmmendatlons Many people we interviewed asked not to be identified fur fear ofmanagement reprisal We gathered information from many sources to support the finding Paragraphs frequently contain information from several sources to reinforce conclusions Based on management comments we made various editorial changes to the draft report See Appendix J for a completed audit responSe to each management comment
(U) Recommendations Management Comments and Audit Response
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J (b) (l) (b) (3)-50 USC 403 ftfSlISij The NSA has clearly Ill8de great strides in seeking to
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1 S7tsQneeds-unrestrained by past practices or past technologies TRAILBLAZER 1 had the following key responsibilities 1
bull (UtfiOOO) Ensure the execution ofa new NSA program transfonning the us Cryptologic System exploitation ofthe global network Map detailed digital network exploitation mission requirements to a cryptologic architecture and implement them and 1
bull (U~Act as the catalyst for transforming customer interaction and operational practices Begin the retooling ofNSA 1programmatically technologically and culturally to provide mission services and capabilities that are responsive to the emerging technology and customer needs 1
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was ~nauct~ by The NatiottalT~ologyAlliance 1lati0Jl1l ~enter fo Applied TechiiolQW After a thorough--re-lew rfommmg 8ctifjes Wltbm tbeJ TRAILBLAZER Pro~Management OffiCe_ __
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December 2001 The Chief Signals Intelligence Programs invited the original
study team to conduct a follow-on study to evaluate progress within the] TRAILBLAZER Program Management Office Despite noting some changes
J made in NSA management and the TRAlLBLAZER Program acquisition strategy that promised to address the conflicts and issues noted in the fust report the study team found that
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J (UIFOlJet Management Comments NSA management referred to several statements in the report that did not include all referenced documents and that some paragraphs contained wrong or misleading information The complete listJ ofmanagement comments is located in the Management Comments section of this report
J (UJIiOff6) Audit Response We obtained reviewed and analyzed many documents to form the basis for the conclusions in this report We also interviewed several NSA and contractor personnel many ofwhom asked not to be identified for fear ofmanagement reprisal We ga~ered infonnation from
J J many sources to support the finding Paragraphs frequently contain infonnation
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J (U) Recommendations Management Comments and Audit
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(~RevisedRetommendatlon As a result ofmanagement cdmmei~ we
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1 (UI1FOUQlYe recommeDd that the Director National Security J AgencyChlef Central Security Service ----------------------~~I (QDesJmatea team to 1 IJ
J (UIFOUO) Manlgement Comments The Director National Security AgencyChief Central Security Service partially concurred with the intent ofthe recommendation but was waiting for the results ofa cost and schedule impact J study before fully concurring The Program Executive Office is establishing an
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(U~) independent review team to complete the study before Milestone B scheduled for December 2004 because the study win have an effect en both the cost and schedule fer Milestone B
-(eT~~IitJlesponse Based on management comments we revised this l IrecommendatiQn The Director National Security AgencyChief Central
Security Servicecomments were responsive and the proposed actions meet the intent ofthe recomTneIJdation The immediate actions taken to designate an independent review teamt~ perfonn the assessment are commendable JMilestone B has slipped to Feb ~~maumu~wmiddotstJmiddotruamamJllSl~illJilmllL- time to com 1ete the assessmeii
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TRAILBLAZER Teclmology Demonstration Platform Milestone Decision Authority (or use in making the ~estoneB decision J (Uf~Management Comments The Director National Security AgencyChief Central Security Service concurred The completion ofthe independent assessment is currently scheduled fer December 2004 J (U~AuditResponse Although the Director National Security AgencyChief Central Security Service concurred the concurrence is based on ]completing the assessment requested in Recommendation B1 We request that the National Security Agency management provide additional comments in response to the final report identifying NSA plans to eliminate the cost and ]schedule risks for completing the assessment
J (U~ _gemeat 6mments Tho Director National Security ]
- Ag~cy~ef-Gentrals~tyB~1~t~_~115urredt andjWtil that the assessment middotmiddot~middot -___teQuired m Recommendation B1 WIll De mcludedm-thL_______--
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Appendix A Scope and Methodology (U) ~ ~ 1 1 -
(UitFooo-We reviewed documentation dating from November 200Qlu~~gh October 2003 including background infonnation mission and operatiQUat ri~ statements concepts and operational requirements and contracting ana budget 1 documents Also we conducted interview
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(U) We performed this audit from Apri12003 through May 2004 in accoid~ce with generally accepted government auditing standards
(UffFOUQ-Umitation to Scope Because our objective was limited to
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evaluating a Defense Hotline allegation relatingto the acquisition ofthe TRAILBLAZER and THINTIlREAD nrolttatns we did not review the roanalement control nroenunl i 1
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l (U) Use of Computer-Processed Data We did not use computer-processed data to perform this audit
1 1 (UfPOUO) Use ofTechnical Assistance Audit Follow-up and Teehnical Support Personnel assisted us during the audit The Technical Assessment Division assisted in the analysis ofNSA acquisition I l (V) General Accounting Office High-Rlsk Area The General Accounting Office has identified several high-risk areas in DoD Thisreport provides l coverage ofthe Infrastructure Inefficiencies and Infonnation Technology Investments high-risk areas l
(U) Prior Coverage
(UIFOE1OlDuring the last 5 years the Inspector General ofthe NSA issued one l report on TRAILBLAZER that discussed improperly based contract ~st increases non-eonfonnance in the management ofthe Statement ofWark and excessive labor rates for contractor personnel No prior coverage has been l conducted on the NSA THINTHRJAD Program during the last Syears
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(U) Objectives of TRAILBLAZER and the Technical Demonstration Platform
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I (U) The Tiger Team m~e the following recommendation
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~fflou~~1~____________~~~NTHREAD Technical Review l
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(UffFOUO Summary ofStudy Recommendations The following is complete list ofrecommendations ofth~ rnINTHREAD Technical Review ~ -
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1 ~------------------------------------------------~ (tJ) NSA Modernization Follow-Up Study
lS1fSI1be NSA Modernization Study July 13 2001 AfWnn-JLlithAN~~LClAt-___- Modernization Follow Up StudytJ Dece1nbet 2oo1 t stat~1
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(U) Preliminary r~hoP THINTIIREAD was performed by the Test Technology and Evaluatiordeam in February 2002 but the formal evaluation was
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(U) Summary of TBINT~nI1 J
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1(UFet1t1) Thd IAssessment Study made the followingrecommendati-bdsimr------
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bull (U) Current THINTHREAD system develo~entprocedures were effective and a cooperative development effort was proceeding smoothly 1 with the pilot site
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(ulP6OO) Recommendations The issues previously mentioned would not
i~______________________________~______________~ i
06 Finding 3 Discussion
iii (U) There was minimal user system technical or programmatic documentation
The existing documentation was insufficient to support the planned deployments
bull (U) There was no user documentation on how to use the tool That was inefficient and could lead to a significant increase in user error
Difficulties using the tool can also lead to an increase in support calls that
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bull (U) TIUNTHREAD did not have a clearly stated documented set of ~ mission goals or objectives There was no program plan making it
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bull (U) A deqilled schedule including all activities related to the system and it deliverables before during and after deployment was not available A
J high-level schedule containing the chronology ofdeployment was if developed but a detailed schedule was essential for proper resource middot1i~1~~~t~ L 86-36 management costing and prediction
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~_o_ -~ c-~gt (U) No installation and maintenance documentation was completed for -~~ -- lt=Jit~rtpersonnel although the team was working with the pilot site
~~- to ~evelOpinstald~atiQ1 dOC~rtation ad ofinstallatioD and --lt- mampntenanceOj-entatio
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bull (U) There~unQoperational support documtanonl - Lack ofsupport documIDtation could adversely affect timely correction or - Inrohtems and CQUll1eadtcf I
(U) The effects ofminimal documentation could be overcome ifan integrated team accomplished the development and deployment ofTHINTHREAD
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(U1F9OO) Recommendations Develop necessary docwnentation ni4t would
o Q necessitate an increase in the personnel devoted to documenting the systerh but is
essential to the successfuJ deployment and operation ofTIIINTHREAD The lack of this documentation presented a serious risk to the successful deployment Of THINTIIREAD
(U) Finding 4 Discussion ~
o AMiJOlO) Deg10wenl pJinwas slow to ~
J bull (UFf3UOlHi8toricaUy~ the TIIINTHREAD Program Team focused on
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were not identified The relationsbips between work roles throu out e system s life cycle were not defined The authorities for each work role bad not been identifiedJ The organizational structure set forth by the THINIHREAD Program Team focused on system development and did not address system
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(bj (3) - P L 86-3 6 bull (U) THlNTHREAD did not identifY all the organizations requiring coordination through the various stages ofdeployment
(UiifofJoLRecommendations The findings presented a serious risk to successful deployment ofTHINTHREAD To mitigate those risks the following recommendations were suggested
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(U) Finding 5 Discnssion l (UIFOY~ Xhe customer service and user support processes for THlNTHREAD weremanualIy in~ensive and directly involved the technical staff l
bull UJ1i10U~ The quality Ofservi~_aqg~IbeCeiv----Psing ________ -==-TIUNJlIREADwmnoonsistnt SomC1I1teiVieWedby
(b(3j-=P ~ i---6636 --- TeSiTechnology and Evaluati~Jl ~eam VIewed tlie T4ITHRBAr l --==--_--0___ ~oram Tea~ to b~ unresponsIve mg~eral customa support while-----=+--- __ )xEI1enced good responsIveness to then- requests for
ttions or mOOifi~tions1 I l bull (UIIPOUQ) There was no formal trouble ticket mechanism in place Ifa
user or operator had a problem with TIiIN1HRBADs he contacted someone on the THINTHRBAD Program Team This contact depends on l personal acquaintance because no list ofTHINTHREAD personnel was readily available and there was no mechanism to locate the proper TIflNTHRBAD contact Similarly the status ofthe response to a request l could only be leamed by personal contact
bull (UllFOf167 There was no formal mechanism for managing externally lgenemted requirements to include submitting a new requirement to THINTHREAD or for following the progress ofthe work
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maintainin itb just a few userso _ middotmiddot--ihafpemon was a e to_~jer_orc ang ccording to user - - ______ requests-middotreceived (il1Ule telephone or by e-nw owever as more users
3) _PmiddotmiddotmiddotL---8middot~~ are added one person may have difficulty meeting the increased demand o - ------n-ThelackofperBQll~~~y become a problem as =INJHREAD was scaled to handle an lOcreas-eduserlo~ _ I
o o o bull (UFeYQ) A list ofWeb interface functionalities p~~pose4
was not incorporated into TIIINTHREAD 1-----1
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(UtfPOBe) There was nomiddot ptOQeSs for controllin~ and measuring operational programmatic and technical performance effectiveness ofTHINTIIREADJ once deployed
bull (UJlI6ttQ) TIIINTHREAD did not have a clearly stated set ofsystem specifications or a method to validate the THINTHREAD concept or perfonnance results Thus there was no way to determine ifthe system
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(euroUIFOOS] was successful or ifit failed which may lead to confusion in stakeholders understanding ofthe success ofTHINTHREAD 1bull (Uf~INTHREAD bad mechanisms for assessing progress and status within the system development phase However there were no systematic consistent mecbanisms for overall program measurement which included identifying test criteria establishing program schedules 1 and documenting a system baseline to address progress No feedback mechanisms had been identified such as risk management or contingency planning 1
bull (UIfffit6) Aside from schedule control there were no tools to measure progress towards program objectives because there were no formalized program objectives 1
bull (UFeuroffJe) THINTHREAD did not have Standards ofPerfonnance established for personnel developing THINTHREAD Iffuture 1TIlINTHREADdevelopment crosses organizational groups a common set ofStandards ofPerfonnance for personnel may become necessary
bull (UIfeOO) There was no configuration management process which could 1 pose a~sk when reporting system ~ro~lems and correcting tt~ I In addition the lack ofa configuration management prtl~ cOwa cause difficulty w~en upgrading or deploying versio~_and-aIso make rollback 1extremely nsky
bull (U17P6t1Q) Th~ fault or w~Jlgdet~on wt a~omated h necessary reactions and ~nseswere l-ot- _ _ __ l software provided ~sirtipIe wayo-ooeck sta1=-o=v=an=o=us==s==----- parameters through a W~jntefface However when an operatorrecowizcSmiddota prolemne must actively initiate conective measures l $omeumes-thafaction is a simple matter such as restarting a process At
- Qilierfifues physical hardware must be changed No corrective action bull- -- -- middotmiddotmiddotCould be executed ifan operator was not present to initiate a corrective l lt~-~~~~~gt bull a_cti_middoto_n_____________________--
i~~~p~ B~36--~--~I~_~__~_~_~~_____~~__~_~ l -
middotmiddot-middotmiddot----Q1IFOUO 1HINTHREAD had no established process for managing 1 reqUiremen~
(UfFOtJO) Reonu~dtioiis~--Thefindings that led to the recommendations l would not have revented the successfuIaepJoYment ofTIIINTHRBAD to
~ e recommendations weremadetQmP2ve=tb=e__--- e ency ofTHINTHREAD after it was deploYedll____--
The follOwing is a list ofrecommendations l L-_~--
bull (P(FQafjJ Develop processes and acquire automated tools based on cIearIx stated specifications for controlling and measuring the l ~=hfc ntipn8tand technical performance ofTHINTHREAD
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bull (UIfOUO) Acquire ~ ~mmercia1ly available conij~tioK~ntro system to enable verstorung rollback and configuration management0 The system should interface with the trouble ficketing systeM aitd the requirements management system to Provi9CfulJ traceabilitY
1 o bull (UiAFeUOjDevelop Stand~ ofP~6imance(iffutWeTIinfrHREADdevelopment crosses orgaruzationlUmiddotgroups) i
1 bull (UnO~A~tomate reactiqns and responses to the existin~ fulfIt ando warmng detection systemL ~ J - 1o
bull (U~ 1stBblish a requirements management process for
o uWAD that is linked tol---__~______---I
(U) Finding 7 Discussiono e number and skill mix ofTHINTHREAD nnel was
o ~1iI~~~~=~nnel required for
13 H L Seuro-36---planning-and executing-installatio so there was a lack of --cfocumentatioDtPIQviding the necessary mam anoo and help desk supporto oonfigurapon managemen~-and planningYlg~~~u1ing CpUectively thyse
o ~_ shortoommgs jeated a senous nsk to successful comp1eti0nL _ J 1 ~_ _ 1-_--I
(UlFOtJ~ Recommendations The finding presented serious risk to successful deployment ofTHINTHREAD It was recommended to continue to identify and o I=~lhord~ofsdll~=-= ired fur
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~ (U) Introduction
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(U) Needs Analysis Revisited i
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~ The followin section outlines the strenJ
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1 NCLASSIFIEDJlFOR OFFleb~l uscAppendix I Glossary (U) BY COMPILATON WHEN ASSO
WITH REST OF D-OCU=t=~IE=N--T__---J 1 (U) r------------------------7b)-(3~)--ampP 86middot36 1
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Consultative Committee for International Telegraph and Telephone (CCIT1) 1Consultative Committee for International Telegraph and Telephone is the International organization responsible for the development ofcommunications standards Now called 1 the International Telecommunication Union Telecommunication Standardization Sector
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Elettronfc Industries As~odatlon (EIA) A group that specifies eJectrical transmission standards The Electronic Jndustries Association and Telecommunications Induslry I Association have developed numerous well-bown communications standards including l Electronic Industries Association and Telecommunications IndusfIy Association 232 and I Electronic Induslrles Association and Telecommunications Induslly Aosoclaion -449 I
(U)
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l International Telecommunication Union Telecommunkation Standardization ~ lSedor (lTV-T) International body that develops worldwide standards for
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telecommunications teclmologies The International Telecommunication Union Telecommunication Standardization Sector carries out the functions ofthe former Consultative Committee for International Telegraph and Telephone l
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International Organization for Standardization (ISO) International organization that is responsible for awide range ofstaruiards including those relevant to networking The l International Organization for Standardization developed the Open System Interconnection reference model a popular networking reference model
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I (b) (3) -T Institute of Electrical and Electronics Engineers (IEEE) 8023 Institute ofEIectrical and Electronics Engineers LAN protocol that specifies an implementation ofthe physical layer and the MAC sublayer ofthe data link layer Institute afElectrical and Electronics Engineers 8023 uses Carrier Sense Multiple Access Collision Detect access at a variety ofspeeds over a variety of physical media Extensions to the I Institute ofElectrical and Electronics Engineers 8023 standard specify implementations for Fast Ethernet
(b)3)-P L 86-36
Open System Interconnedion (OSI) International standard~tion program created by International Organization for Standardization and International Telecommunication Union Telecommunication Standardization Sector to develop standards for data networking that facilitate multimiddotvendor equipment interoperability
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Telecommunications Industry Associlltfon (IIA) Organization that developsstandards relating to telecommunications technologies Together the TelecommWlications Industry Association and the Electronic Industries Association have fOlDlalized standards such as Electronic Industries Association and Telecommunications Industry Association M232 for the electrical characteristics ofdata transmission
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Appendix J ~esponse to Management Comments (U)
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~- ~ (SfJSl) Audit Response The NSA management comments are inacturate ~r Executive Sunmiary does not claim that TRAILBLAZER development wast
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112
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TI Appendix K Report Distribution (U)f[]
r[] (U)
Office of the Secretary ofDefense
11 Under Secretary ofDefense for Acquisition Technology and Logistics Under Secretary ofDefense (Comptroller) Under Secretary ofDefense for Intelligence
11 Assistant Secretary ofDefense for Netwerks and Infonnation Integration
11 Other Defense Organization
Director National Security Agency Inspector GeneraJ Natienal Security Agency1] Inspector General Defense Intelligence Agency Inspector General National Geospaual-Intelligence Agency Inspector General Natienal Reconnaissance Office
II Congressional Committees and Subcommittees Chairman and
Ranking Minority Member] Senate Subcommittee onDefense Committee en Appropriations Senate Committee on Anned Services] Senate Select Committee on Intelligence House Subcommittee on Defense Committee on Appropriations House Committee on Armed Services House Permanent Select Committee on Intelligence]
(11)]
]
]
]
]
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SECURITY CLASSIFICATION f(FiJ ( Cl 1 ] 1NSA STAFF PROCESSING FORM
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IKCC CONTROL NUMBERCoS DC09-017-05 THRU ACTION eXREQ SUSPENSE
~=-c=---------------------l 0 APPROVALSUBJECT KCC SUSPENSE (U) (COP liJIiCRSlIIGOMUffl Office of the IG of the Department of IX] SIGNATURE
ELEMENT SUSPENSEDefense Report on TRAILBLAZER and THINTHREAD Systems 0 INfORMATION
DISTRIBUTION
SUMMARY (u)
PIJRPOSE (GONFIDENFfAIoS202911pound3) Attached for your review and signature is the NSA consolidated response to the report from the DoD OIG on requirements for TRAILBLAZER and TIDNTHREAD systems
End als
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OFFIce NAME AND DATE OFFICE NAME AND OAlE
ORG PHONE (Secure OATE PREPARED
DC09 963-5021 11 February 2005
SECURITY CLASSIfICATIONDerived from NSAlCSSM 1-52
DATED 23 November 2004 Declassify On 20291123
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NATIONAL SECURITY AGENCY FORT GEORGE G MEADE JiARY~AND 20755-6000
11 February 2005
MEMORANDUM FOR DEPUTY ASSISTANT INSPECTOR GENERAL FOR INTELLIGENCE AUDITS
SUBJECT (UIFOUO) DoD OIG Audit Report Requirements for the TRAILBLAZER and THINTHREAD Systems1 dated December 15 2004 (Report OS-INTELshy03 Project No D2003AL-OlOO) - INFORMATION MEMORANDUM
(UIFtJtJ9+In response to the DoD OIG request for additional information on the TRAILBLAZER and THINTHREAD report NSACSS provides consolidated corporate comments from our Signals Intelligence Directorate Acquisition Organization and Information Technology Infrastructure Services Organization (now the Infalmation Technology Directorate)
NSAlCSS Resllonse
-teTSubsequent to the DoD OIG report the TRAILBLAZER Milestone has been I scheduled for late in the fourth quarter of FYOS from the previously scheduled earlyenr MS B Accordingly this now allows sufficient time for the conduct of the assessmeftt recommended by the DoD OIG
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MARIA N OCONNOR Chief ofStaff
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NSA STAFF PRO ESSING FORM EXflEG CONTROl NUMBER J(CC CONTROl NUMBER
DA4-04-05 ACTION EXAEG SUSPENSE
-------~_______________I fi] APPROVAL SUBJECT KCC SUSPENse (U~THINTHREAD I TRAILBLAZER 1G [iJ SIGNATURE
ELEMENT SUSPENSEAUDIT REPORT 0 INFORMATION
DISTRI8UTION
SUMMARV
PURPOSE (UtFeYO) To provide the recommended PEO input to the consolidated NSA response regarding actions requested by the final Department of Defense (DoD) Office ofInspector General (OIG) report 05-INTEL-03 Requirements for TRAlLBLAZER and THINTHREAD Systems of 15 December 2004
-tarIn response to ~hidraft7 in August the Agency concurred with comments ~-Tpe following is an excerpt fr9mthose comments laquo The Program Executive Office (PEO) is ta1tingmiddotth~ lead in estab1ishin~an independent review teruv- for Derforming this assessment with the intentiqn that itsJesuIts will be completed in timet I
f IMilestone B documentationraquo
~At the time of this statement (Aug (04) the TRAILBLAZER Milestone B (MSB) was scheduled for December (04 When the final report was published the PEO Assessment had not yet begun Concerned that the assessment could not be completed in time to support a December milestone the DoD OIG requested via the final report that they be provided NSA plans to eliminate the cost and schedule risks for completing the assessment
(GtSince release of the final Audit Report a DIRNSA-Chartered Transformational Advisory Panel (TAP) recommended TRAILBLAZER be rebaselined The MBB is now planned for late Fourth Quarter FY05
COOROINAilONIAPPROVAl
OFFICE NAME AND DATE OFFICE NAME AND DATE sg~degtt~tii
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~ RECOMMENDATION
1 (UJFeiffe1 A form~lRfsk Mitigation Plan is not recommended The PEO is committed to cogducting the assessment The team is currently being fOlriled a kick-offm~gjsj)Ianned for March and the team is expected to report to MrJ II INLT May 31st The cost and schedule impact ofconducting the assessment pose very low risk to the Transformational Programs
2 (UIF8YGl Recommend the response provided as an attachment be forwarded to the DoD OIa as part of the Agencys consolidated response to the Final Report
DOCIDe 3253346
1 1 Team Members (U)
(U) The Office of the Deputy Inspector General for Intelligence ofthe Department ofDefense Intelligence-Audit prepared this report Personnel ofthe Office ofthe Inspector General ofthe Department ofDefense who contributed to the report are listed below
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(UIF6lJQ)T~bnical Review Studies A number ofintemal and external teclinica1] review studies were conducted to determinel
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l (SlfSf) NSA Modernization Studies Thefirst NSA Modernization Stu4Y July 200It was conducted by The National Technology Alliance National penterfor Applied Technology after a thorough review ofon1roin~ activities withfu the TRAILBLAZER Program Management Officq 1
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(U) The NSA Modernization Study recommended that
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(U7FOYQ) The National Center for Applied Technology issued a second report a quick-Iooklt follow-on to the first report in December 2001 The Chie-4 Signals Intelligence Programs invited the original study team to conduct a foI1ow- OD study to evaluate progress within the TRAlLBLAZER Program Management Office Despite noting some changes made in NSA management and the TRAILBLAZER Programs acqUisition strategy that promised to address the conflicts and issues DOted in the first report the study team found that
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(U)Summary
(U) Management Comments on the Finding and Audit Response
(UJIIOtiO) ~ementComments The NSA management stated that the draft report did not mclude significant information or included wrong or misleading information The tomplete list ofmanagement tomments is in the Management Comments section ofthis report
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(U~Audit Response We obtained revieweG and analyzed many documents and we interviewed several NSA and contractor personnel to form the conclusions in this report We included all infonnation relevant to support the report findings and rCCQmmendatlons Many people we interviewed asked not to be identified fur fear ofmanagement reprisal We gathered information from many sources to support the finding Paragraphs frequently contain information from several sources to reinforce conclusions Based on management comments we made various editorial changes to the draft report See Appendix J for a completed audit responSe to each management comment
(U) Recommendations Management Comments and Audit Response
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(U) Congressional Concerns on Digital Network Exploitation
J (U) The National Defense Authorization Act for FY 2002 stated that
J (b) (l) (b) (3)-50 USC 403 ftfSlISij The NSA has clearly Ill8de great strides in seeking to
J bl (3)-PL 86-36 uansform itself in many areas However the NSA appeaIB to have
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J J (SNSI) en March 24 2000 the Director NSA signed the TRAlLBLAZER 1
charter to~te a new Signals Intelligence enterprise to exploit the global network ~~~with an estimated development cost Dfapproximatel as to respond to the opportunities and challenges provided by logies to design new operational practices for on-time delivery ofproducts and services in the manner that best met customer
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1 S7tsQneeds-unrestrained by past practices or past technologies TRAILBLAZER 1 had the following key responsibilities 1
bull (UtfiOOO) Ensure the execution ofa new NSA program transfonning the us Cryptologic System exploitation ofthe global network Map detailed digital network exploitation mission requirements to a cryptologic architecture and implement them and 1
bull (U~Act as the catalyst for transforming customer interaction and operational practices Begin the retooling ofNSA 1programmatically technologically and culturally to provide mission services and capabilities that are responsive to the emerging technology and customer needs 1
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was ~nauct~ by The NatiottalT~ologyAlliance 1lati0Jl1l ~enter fo Applied TechiiolQW After a thorough--re-lew rfommmg 8ctifjes Wltbm tbeJ TRAILBLAZER Pro~Management OffiCe_ __
r---lmd interviews withk~yprogram personnLebull1--th7e--NOa-=timiddoto-n--Cen--ter~fi-or---l ~ Techno1ogy team observe4~at fh~TBLAZER was noortvJ executed and bad an overly expenslv~ ______
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-(SSf) Seeolld NSA Modernization Study A second National Center for Applied Technology report a quick-look follow-on report was completed inJ
December 2001 The Chief Signals Intelligence Programs invited the original
study team to conduct a follow-on study to evaluate progress within the] TRAILBLAZER Program Management Office Despite noting some changes
J made in NSA management and the TRAlLBLAZER Program acquisition strategy that promised to address the conflicts and issues noted in the fust report the study team found that
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J J ] (U) Summary ofManagement Comments on the Audit Finding
and Audit Response
J (UIFOlJet Management Comments NSA management referred to several statements in the report that did not include all referenced documents and that some paragraphs contained wrong or misleading information The complete listJ ofmanagement comments is located in the Management Comments section of this report
J (UJIiOff6) Audit Response We obtained reviewed and analyzed many documents to form the basis for the conclusions in this report We also interviewed several NSA and contractor personnel many ofwhom asked not to be identified for fear ofmanagement reprisal We ga~ered infonnation from
J J many sources to support the finding Paragraphs frequently contain infonnation
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J (U) Recommendations Management Comments and Audit
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(~RevisedRetommendatlon As a result ofmanagement cdmmei~ we
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1 (UI1FOUQlYe recommeDd that the Director National Security J AgencyChlef Central Security Service ----------------------~~I (QDesJmatea team to 1 IJ
J (UIFOUO) Manlgement Comments The Director National Security AgencyChief Central Security Service partially concurred with the intent ofthe recommendation but was waiting for the results ofa cost and schedule impact J study before fully concurring The Program Executive Office is establishing an
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(U~) independent review team to complete the study before Milestone B scheduled for December 2004 because the study win have an effect en both the cost and schedule fer Milestone B
-(eT~~IitJlesponse Based on management comments we revised this l IrecommendatiQn The Director National Security AgencyChief Central
Security Servicecomments were responsive and the proposed actions meet the intent ofthe recomTneIJdation The immediate actions taken to designate an independent review teamt~ perfonn the assessment are commendable JMilestone B has slipped to Feb ~~maumu~wmiddotstJmiddotruamamJllSl~illJilmllL- time to com 1ete the assessmeii
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TRAILBLAZER Teclmology Demonstration Platform Milestone Decision Authority (or use in making the ~estoneB decision J (Uf~Management Comments The Director National Security AgencyChief Central Security Service concurred The completion ofthe independent assessment is currently scheduled fer December 2004 J (U~AuditResponse Although the Director National Security AgencyChief Central Security Service concurred the concurrence is based on ]completing the assessment requested in Recommendation B1 We request that the National Security Agency management provide additional comments in response to the final report identifying NSA plans to eliminate the cost and ]schedule risks for completing the assessment
J (U~ _gemeat 6mments Tho Director National Security ]
- Ag~cy~ef-Gentrals~tyB~1~t~_~115urredt andjWtil that the assessment middotmiddot~middot -___teQuired m Recommendation B1 WIll De mcludedm-thL_______--
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(BIfSI) Audit RDii~-Altho~gh the Director National Security AgencyChief Central Security Service concurredthe-COllcurrence is blSed on completing the assessment requested in Recommendation alBased on 1981WemClltcmmIlCllts J to Recommendation B2 this recommendation was reVis
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1 ~ twe request additional comments in response to the firuit report identitYiIig NSA pans to eliminate the1 cost and schedule risks for completing the assessment l
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Appendix A Scope and Methodology (U) ~ ~ 1 1 -
(UitFooo-We reviewed documentation dating from November 200Qlu~~gh October 2003 including background infonnation mission and operatiQUat ri~ statements concepts and operational requirements and contracting ana budget 1 documents Also we conducted interview
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(U) We performed this audit from Apri12003 through May 2004 in accoid~ce with generally accepted government auditing standards
(UffFOUQ-Umitation to Scope Because our objective was limited to
1
evaluating a Defense Hotline allegation relatingto the acquisition ofthe TRAILBLAZER and THINTIlREAD nrolttatns we did not review the roanalement control nroenunl i 1
1 ~
l (U) Use of Computer-Processed Data We did not use computer-processed data to perform this audit
1 1 (UfPOUO) Use ofTechnical Assistance Audit Follow-up and Teehnical Support Personnel assisted us during the audit The Technical Assessment Division assisted in the analysis ofNSA acquisition I l (V) General Accounting Office High-Rlsk Area The General Accounting Office has identified several high-risk areas in DoD Thisreport provides l coverage ofthe Infrastructure Inefficiencies and Infonnation Technology Investments high-risk areas l
(U) Prior Coverage
(UIFOE1OlDuring the last 5 years the Inspector General ofthe NSA issued one l report on TRAILBLAZER that discussed improperly based contract ~st increases non-eonfonnance in the management ofthe Statement ofWark and excessive labor rates for contractor personnel No prior coverage has been l conducted on the NSA THINTHRJAD Program during the last Syears
l l
38
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o (U) Inspector General NSA
Q (U~eportNo ST~03middot0014 TRAILBLAZER lISIGINTPrograms Systems Engineering and Te()1mica1 Assistance Contract September 30 2004 o
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Appendix B TRAILBLAZER (U) ~
(U) Objectives of TRAILBLAZER and the Technical Demonstration Platform
I i
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bull (UIFSYO) Common standards and interfaces throughout th~ NSA Reference Model
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(SlI8I) Specifically the TRAILBLAZER framework must leverage the best
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Appendix F Technical Studies (U) 1
~fflou~~1~____________~~~NTHREAD Technical Review l
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(UffFOUO Summary ofStudy Recommendations The following is complete list ofrecommendations ofth~ rnINTHREAD Technical Review ~ -
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1 ~------------------------------------------------~ (tJ) NSA Modernization Follow-Up Study
lS1fSI1be NSA Modernization Study July 13 2001 AfWnn-JLlithAN~~LClAt-___- Modernization Follow Up StudytJ Dece1nbet 2oo1 t stat~1
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(U) Preliminary r~hoP THINTIIREAD was performed by the Test Technology and Evaluatiordeam in February 2002 but the formal evaluation was
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(U) Summary of TBINT~nI1 J
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1(UFet1t1) Thd IAssessment Study made the followingrecommendati-bdsimr------
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bull (U) Current THINTHREAD system develo~entprocedures were effective and a cooperative development effort was proceeding smoothly 1 with the pilot site
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(ulP6OO) Recommendations The issues previously mentioned would not
i~______________________________~______________~ i
06 Finding 3 Discussion
iii (U) There was minimal user system technical or programmatic documentation
The existing documentation was insufficient to support the planned deployments
bull (U) There was no user documentation on how to use the tool That was inefficient and could lead to a significant increase in user error
Difficulties using the tool can also lead to an increase in support calls that
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bull (U) TIUNTHREAD did not have a clearly stated documented set of ~ mission goals or objectives There was no program plan making it
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bull (U) A deqilled schedule including all activities related to the system and it deliverables before during and after deployment was not available A
J high-level schedule containing the chronology ofdeployment was if developed but a detailed schedule was essential for proper resource middot1i~1~~~t~ L 86-36 management costing and prediction
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~_o_ -~ c-~gt (U) No installation and maintenance documentation was completed for -~~ -- lt=Jit~rtpersonnel although the team was working with the pilot site
~~- to ~evelOpinstald~atiQ1 dOC~rtation ad ofinstallatioD and --lt- mampntenanceOj-entatio
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bull (U) There~unQoperational support documtanonl - Lack ofsupport documIDtation could adversely affect timely correction or - Inrohtems and CQUll1eadtcf I
(U) The effects ofminimal documentation could be overcome ifan integrated team accomplished the development and deployment ofTHINTHREAD
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(U1F9OO) Recommendations Develop necessary docwnentation ni4t would
o Q necessitate an increase in the personnel devoted to documenting the systerh but is
essential to the successfuJ deployment and operation ofTIIINTHREAD The lack of this documentation presented a serious risk to the successful deployment Of THINTIIREAD
(U) Finding 4 Discussion ~
o AMiJOlO) Deg10wenl pJinwas slow to ~
J bull (UFf3UOlHi8toricaUy~ the TIIINTHREAD Program Team focused on
J the Drototvoe demonstration at the Dilot site The s scone did not
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were not identified The relationsbips between work roles throu out e system s life cycle were not defined The authorities for each work role bad not been identifiedJ The organizational structure set forth by the THINIHREAD Program Team focused on system development and did not address system
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(bj (3) - P L 86-3 6 bull (U) THlNTHREAD did not identifY all the organizations requiring coordination through the various stages ofdeployment
(UiifofJoLRecommendations The findings presented a serious risk to successful deployment ofTHINTHREAD To mitigate those risks the following recommendations were suggested
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(U) Finding 5 Discnssion l (UIFOY~ Xhe customer service and user support processes for THlNTHREAD weremanualIy in~ensive and directly involved the technical staff l
bull UJ1i10U~ The quality Ofservi~_aqg~IbeCeiv----Psing ________ -==-TIUNJlIREADwmnoonsistnt SomC1I1teiVieWedby
(b(3j-=P ~ i---6636 --- TeSiTechnology and Evaluati~Jl ~eam VIewed tlie T4ITHRBAr l --==--_--0___ ~oram Tea~ to b~ unresponsIve mg~eral customa support while-----=+--- __ )xEI1enced good responsIveness to then- requests for
ttions or mOOifi~tions1 I l bull (UIIPOUQ) There was no formal trouble ticket mechanism in place Ifa
user or operator had a problem with TIiIN1HRBADs he contacted someone on the THINTHRBAD Program Team This contact depends on l personal acquaintance because no list ofTHINTHREAD personnel was readily available and there was no mechanism to locate the proper TIflNTHRBAD contact Similarly the status ofthe response to a request l could only be leamed by personal contact
bull (UllFOf167 There was no formal mechanism for managing externally lgenemted requirements to include submitting a new requirement to THINTHREAD or for following the progress ofthe work
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maintainin itb just a few userso _ middotmiddot--ihafpemon was a e to_~jer_orc ang ccording to user - - ______ requests-middotreceived (il1Ule telephone or by e-nw owever as more users
3) _PmiddotmiddotmiddotL---8middot~~ are added one person may have difficulty meeting the increased demand o - ------n-ThelackofperBQll~~~y become a problem as =INJHREAD was scaled to handle an lOcreas-eduserlo~ _ I
o o o bull (UFeYQ) A list ofWeb interface functionalities p~~pose4
was not incorporated into TIIINTHREAD 1-----1
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(UtfPOBe) There was nomiddot ptOQeSs for controllin~ and measuring operational programmatic and technical performance effectiveness ofTHINTIIREADJ once deployed
bull (UJlI6ttQ) TIIINTHREAD did not have a clearly stated set ofsystem specifications or a method to validate the THINTHREAD concept or perfonnance results Thus there was no way to determine ifthe system
79
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(euroUIFOOS] was successful or ifit failed which may lead to confusion in stakeholders understanding ofthe success ofTHINTHREAD 1bull (Uf~INTHREAD bad mechanisms for assessing progress and status within the system development phase However there were no systematic consistent mecbanisms for overall program measurement which included identifying test criteria establishing program schedules 1 and documenting a system baseline to address progress No feedback mechanisms had been identified such as risk management or contingency planning 1
bull (UIfffit6) Aside from schedule control there were no tools to measure progress towards program objectives because there were no formalized program objectives 1
bull (UFeuroffJe) THINTHREAD did not have Standards ofPerfonnance established for personnel developing THINTHREAD Iffuture 1TIlINTHREADdevelopment crosses organizational groups a common set ofStandards ofPerfonnance for personnel may become necessary
bull (UIfeOO) There was no configuration management process which could 1 pose a~sk when reporting system ~ro~lems and correcting tt~ I In addition the lack ofa configuration management prtl~ cOwa cause difficulty w~en upgrading or deploying versio~_and-aIso make rollback 1extremely nsky
bull (U17P6t1Q) Th~ fault or w~Jlgdet~on wt a~omated h necessary reactions and ~nseswere l-ot- _ _ __ l software provided ~sirtipIe wayo-ooeck sta1=-o=v=an=o=us==s==----- parameters through a W~jntefface However when an operatorrecowizcSmiddota prolemne must actively initiate conective measures l $omeumes-thafaction is a simple matter such as restarting a process At
- Qilierfifues physical hardware must be changed No corrective action bull- -- -- middotmiddotmiddotCould be executed ifan operator was not present to initiate a corrective l lt~-~~~~~gt bull a_cti_middoto_n_____________________--
i~~~p~ B~36--~--~I~_~__~_~_~~_____~~__~_~ l -
middotmiddot-middotmiddot----Q1IFOUO 1HINTHREAD had no established process for managing 1 reqUiremen~
(UfFOtJO) Reonu~dtioiis~--Thefindings that led to the recommendations l would not have revented the successfuIaepJoYment ofTIIINTHRBAD to
~ e recommendations weremadetQmP2ve=tb=e__--- e ency ofTHINTHREAD after it was deploYedll____--
The follOwing is a list ofrecommendations l L-_~--
bull (P(FQafjJ Develop processes and acquire automated tools based on cIearIx stated specifications for controlling and measuring the l ~=hfc ntipn8tand technical performance ofTHINTHREAD
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bull (UIfOUO) Acquire ~ ~mmercia1ly available conij~tioK~ntro system to enable verstorung rollback and configuration management0 The system should interface with the trouble ficketing systeM aitd the requirements management system to Provi9CfulJ traceabilitY
1 o bull (UiAFeUOjDevelop Stand~ ofP~6imance(iffutWeTIinfrHREADdevelopment crosses orgaruzationlUmiddotgroups) i
1 bull (UnO~A~tomate reactiqns and responses to the existin~ fulfIt ando warmng detection systemL ~ J - 1o
bull (U~ 1stBblish a requirements management process for
o uWAD that is linked tol---__~______---I
(U) Finding 7 Discussiono e number and skill mix ofTHINTHREAD nnel was
o ~1iI~~~~=~nnel required for
13 H L Seuro-36---planning-and executing-installatio so there was a lack of --cfocumentatioDtPIQviding the necessary mam anoo and help desk supporto oonfigurapon managemen~-and planningYlg~~~u1ing CpUectively thyse
o ~_ shortoommgs jeated a senous nsk to successful comp1eti0nL _ J 1 ~_ _ 1-_--I
(UlFOtJ~ Recommendations The finding presented serious risk to successful deployment ofTHINTHREAD It was recommended to continue to identify and o I=~lhord~ofsdll~=-= ired fur
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~ (U) Introduction
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(U) Needs Analysis Revisited i
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Elettronfc Industries As~odatlon (EIA) A group that specifies eJectrical transmission standards The Electronic Jndustries Association and Telecommunications Induslry I Association have developed numerous well-bown communications standards including l Electronic Industries Association and Telecommunications IndusfIy Association 232 and I Electronic Induslrles Association and Telecommunications Induslly Aosoclaion -449 I
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l International Telecommunication Union Telecommunkation Standardization ~ lSedor (lTV-T) International body that develops worldwide standards for
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(8181) Audit Response The report doi ~l million e TRAILBLAZE
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Office of the Secretary ofDefense
11 Under Secretary ofDefense for Acquisition Technology and Logistics Under Secretary ofDefense (Comptroller) Under Secretary ofDefense for Intelligence
11 Assistant Secretary ofDefense for Netwerks and Infonnation Integration
11 Other Defense Organization
Director National Security Agency Inspector GeneraJ Natienal Security Agency1] Inspector General Defense Intelligence Agency Inspector General National Geospaual-Intelligence Agency Inspector General Natienal Reconnaissance Office
II Congressional Committees and Subcommittees Chairman and
Ranking Minority Member] Senate Subcommittee onDefense Committee en Appropriations Senate Committee on Anned Services] Senate Select Committee on Intelligence House Subcommittee on Defense Committee on Appropriations House Committee on Armed Services House Permanent Select Committee on Intelligence]
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1
SECURITY CLASSIFICATION f(FiJ ( Cl 1 ] 1NSA STAFF PROCESSING FORM
TO
IKCC CONTROL NUMBERCoS DC09-017-05 THRU ACTION eXREQ SUSPENSE
~=-c=---------------------l 0 APPROVALSUBJECT KCC SUSPENSE (U) (COP liJIiCRSlIIGOMUffl Office of the IG of the Department of IX] SIGNATURE
ELEMENT SUSPENSEDefense Report on TRAILBLAZER and THINTHREAD Systems 0 INfORMATION
DISTRIBUTION
SUMMARY (u)
PIJRPOSE (GONFIDENFfAIoS202911pound3) Attached for your review and signature is the NSA consolidated response to the report from the DoD OIG on requirements for TRAILBLAZER and TIDNTHREAD systems
End als
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86-36
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OFFIce NAME AND DATE OFFICE NAME AND OAlE
ORG PHONE (Secure OATE PREPARED
DC09 963-5021 11 February 2005
SECURITY CLASSIfICATIONDerived from NSAlCSSM 1-52
DATED 23 November 2004 Declassify On 20291123
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NATIONAL SECURITY AGENCY FORT GEORGE G MEADE JiARY~AND 20755-6000
11 February 2005
MEMORANDUM FOR DEPUTY ASSISTANT INSPECTOR GENERAL FOR INTELLIGENCE AUDITS
SUBJECT (UIFOUO) DoD OIG Audit Report Requirements for the TRAILBLAZER and THINTHREAD Systems1 dated December 15 2004 (Report OS-INTELshy03 Project No D2003AL-OlOO) - INFORMATION MEMORANDUM
(UIFtJtJ9+In response to the DoD OIG request for additional information on the TRAILBLAZER and THINTHREAD report NSACSS provides consolidated corporate comments from our Signals Intelligence Directorate Acquisition Organization and Information Technology Infrastructure Services Organization (now the Infalmation Technology Directorate)
NSAlCSS Resllonse
-teTSubsequent to the DoD OIG report the TRAILBLAZER Milestone has been I scheduled for late in the fourth quarter of FYOS from the previously scheduled earlyenr MS B Accordingly this now allows sufficient time for the conduct of the assessmeftt recommended by the DoD OIG
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MARIA N OCONNOR Chief ofStaff
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CONFfDENJfAIffS9291123
NSA STAFF PRO ESSING FORM EXflEG CONTROl NUMBER J(CC CONTROl NUMBER
DA4-04-05 ACTION EXAEG SUSPENSE
-------~_______________I fi] APPROVAL SUBJECT KCC SUSPENse (U~THINTHREAD I TRAILBLAZER 1G [iJ SIGNATURE
ELEMENT SUSPENSEAUDIT REPORT 0 INFORMATION
DISTRI8UTION
SUMMARV
PURPOSE (UtFeYO) To provide the recommended PEO input to the consolidated NSA response regarding actions requested by the final Department of Defense (DoD) Office ofInspector General (OIG) report 05-INTEL-03 Requirements for TRAlLBLAZER and THINTHREAD Systems of 15 December 2004
-tarIn response to ~hidraft7 in August the Agency concurred with comments ~-Tpe following is an excerpt fr9mthose comments laquo The Program Executive Office (PEO) is ta1tingmiddotth~ lead in estab1ishin~an independent review teruv- for Derforming this assessment with the intentiqn that itsJesuIts will be completed in timet I
f IMilestone B documentationraquo
~At the time of this statement (Aug (04) the TRAILBLAZER Milestone B (MSB) was scheduled for December (04 When the final report was published the PEO Assessment had not yet begun Concerned that the assessment could not be completed in time to support a December milestone the DoD OIG requested via the final report that they be provided NSA plans to eliminate the cost and schedule risks for completing the assessment
(GtSince release of the final Audit Report a DIRNSA-Chartered Transformational Advisory Panel (TAP) recommended TRAILBLAZER be rebaselined The MBB is now planned for late Fourth Quarter FY05
COOROINAilONIAPPROVAl
OFFICE NAME AND DATE OFFICE NAME AND DATE sg~degtt~tii
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~ RECOMMENDATION
1 (UJFeiffe1 A form~lRfsk Mitigation Plan is not recommended The PEO is committed to cogducting the assessment The team is currently being fOlriled a kick-offm~gjsj)Ianned for March and the team is expected to report to MrJ II INLT May 31st The cost and schedule impact ofconducting the assessment pose very low risk to the Transformational Programs
2 (UIF8YGl Recommend the response provided as an attachment be forwarded to the DoD OIa as part of the Agencys consolidated response to the Final Report
DOCIDe 3253346
1 1 Team Members (U)
(U) The Office of the Deputy Inspector General for Intelligence ofthe Department ofDefense Intelligence-Audit prepared this report Personnel ofthe Office ofthe Inspector General ofthe Department ofDefense who contributed to the report are listed below
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l (SlfSf) NSA Modernization Studies Thefirst NSA Modernization Stu4Y July 200It was conducted by The National Technology Alliance National penterfor Applied Technology after a thorough review ofon1roin~ activities withfu the TRAILBLAZER Program Management Officq 1
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(U7FOYQ) The National Center for Applied Technology issued a second report a quick-Iooklt follow-on to the first report in December 2001 The Chie-4 Signals Intelligence Programs invited the original study team to conduct a foI1ow- OD study to evaluate progress within the TRAlLBLAZER Program Management Office Despite noting some changes made in NSA management and the TRAILBLAZER Programs acqUisition strategy that promised to address the conflicts and issues DOted in the first report the study team found that
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(U)Summary
(U) Management Comments on the Finding and Audit Response
(UJIIOtiO) ~ementComments The NSA management stated that the draft report did not mclude significant information or included wrong or misleading information The tomplete list ofmanagement tomments is in the Management Comments section ofthis report
23
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(U~Audit Response We obtained revieweG and analyzed many documents and we interviewed several NSA and contractor personnel to form the conclusions in this report We included all infonnation relevant to support the report findings and rCCQmmendatlons Many people we interviewed asked not to be identified fur fear ofmanagement reprisal We gathered information from many sources to support the finding Paragraphs frequently contain information from several sources to reinforce conclusions Based on management comments we made various editorial changes to the draft report See Appendix J for a completed audit responSe to each management comment
(U) Recommendations Management Comments and Audit Response
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(U) A We recommend that the Director National Seurity AgencyChief Central Security Service
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J (b) (l) (b) (3)-50 USC 403 ftfSlISij The NSA has clearly Ill8de great strides in seeking to
J bl (3)-PL 86-36 uansform itself in many areas However the NSA appeaIB to have
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J J (SNSI) en March 24 2000 the Director NSA signed the TRAlLBLAZER 1
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1 S7tsQneeds-unrestrained by past practices or past technologies TRAILBLAZER 1 had the following key responsibilities 1
bull (UtfiOOO) Ensure the execution ofa new NSA program transfonning the us Cryptologic System exploitation ofthe global network Map detailed digital network exploitation mission requirements to a cryptologic architecture and implement them and 1
bull (U~Act as the catalyst for transforming customer interaction and operational practices Begin the retooling ofNSA 1programmatically technologically and culturally to provide mission services and capabilities that are responsive to the emerging technology and customer needs 1
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was ~nauct~ by The NatiottalT~ologyAlliance 1lati0Jl1l ~enter fo Applied TechiiolQW After a thorough--re-lew rfommmg 8ctifjes Wltbm tbeJ TRAILBLAZER Pro~Management OffiCe_ __
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The NSA Modernization Study recommlen~tM1ar------------I
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-(SSf) Seeolld NSA Modernization Study A second National Center for Applied Technology report a quick-look follow-on report was completed inJ
December 2001 The Chief Signals Intelligence Programs invited the original
study team to conduct a follow-on study to evaluate progress within the] TRAILBLAZER Program Management Office Despite noting some changes
J made in NSA management and the TRAlLBLAZER Program acquisition strategy that promised to address the conflicts and issues noted in the fust report the study team found that
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J J ] (U) Summary ofManagement Comments on the Audit Finding
and Audit Response
J (UIFOlJet Management Comments NSA management referred to several statements in the report that did not include all referenced documents and that some paragraphs contained wrong or misleading information The complete listJ ofmanagement comments is located in the Management Comments section of this report
J (UJIiOff6) Audit Response We obtained reviewed and analyzed many documents to form the basis for the conclusions in this report We also interviewed several NSA and contractor personnel many ofwhom asked not to be identified for fear ofmanagement reprisal We ga~ered infonnation from
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(~RevisedRetommendatlon As a result ofmanagement cdmmei~ we
J IreV1sed Recommendations Bt and B3 to ctarlfythe intend1Use of
1 (UI1FOUQlYe recommeDd that the Director National Security J AgencyChlef Central Security Service ----------------------~~I (QDesJmatea team to 1 IJ
J (UIFOUO) Manlgement Comments The Director National Security AgencyChief Central Security Service partially concurred with the intent ofthe recommendation but was waiting for the results ofa cost and schedule impact J study before fully concurring The Program Executive Office is establishing an
J 35
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(U~) independent review team to complete the study before Milestone B scheduled for December 2004 because the study win have an effect en both the cost and schedule fer Milestone B
-(eT~~IitJlesponse Based on management comments we revised this l IrecommendatiQn The Director National Security AgencyChief Central
Security Servicecomments were responsive and the proposed actions meet the intent ofthe recomTneIJdation The immediate actions taken to designate an independent review teamt~ perfonn the assessment are commendable JMilestone B has slipped to Feb ~~maumu~wmiddotstJmiddotruamamJllSl~illJilmllL- time to com 1ete the assessmeii
]
] 2 (UIFtYffOtprovide the results of the external assessment to the
TRAILBLAZER Teclmology Demonstration Platform Milestone Decision Authority (or use in making the ~estoneB decision J (Uf~Management Comments The Director National Security AgencyChief Central Security Service concurred The completion ofthe independent assessment is currently scheduled fer December 2004 J (U~AuditResponse Although the Director National Security AgencyChief Central Security Service concurred the concurrence is based on ]completing the assessment requested in Recommendation B1 We request that the National Security Agency management provide additional comments in response to the final report identifying NSA plans to eliminate the cost and ]schedule risks for completing the assessment
J (U~ _gemeat 6mments Tho Director National Security ]
- Ag~cy~ef-Gentrals~tyB~1~t~_~115urredt andjWtil that the assessment middotmiddot~middot -___teQuired m Recommendation B1 WIll De mcludedm-thL_______--
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1 ~ twe request additional comments in response to the firuit report identitYiIig NSA pans to eliminate the1 cost and schedule risks for completing the assessment l
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Appendix A Scope and Methodology (U) ~ ~ 1 1 -
(UitFooo-We reviewed documentation dating from November 200Qlu~~gh October 2003 including background infonnation mission and operatiQUat ri~ statements concepts and operational requirements and contracting ana budget 1 documents Also we conducted interview
I 1
1 t 1
(U) We performed this audit from Apri12003 through May 2004 in accoid~ce with generally accepted government auditing standards
(UffFOUQ-Umitation to Scope Because our objective was limited to
1
evaluating a Defense Hotline allegation relatingto the acquisition ofthe TRAILBLAZER and THINTIlREAD nrolttatns we did not review the roanalement control nroenunl i 1
1 ~
l (U) Use of Computer-Processed Data We did not use computer-processed data to perform this audit
1 1 (UfPOUO) Use ofTechnical Assistance Audit Follow-up and Teehnical Support Personnel assisted us during the audit The Technical Assessment Division assisted in the analysis ofNSA acquisition I l (V) General Accounting Office High-Rlsk Area The General Accounting Office has identified several high-risk areas in DoD Thisreport provides l coverage ofthe Infrastructure Inefficiencies and Infonnation Technology Investments high-risk areas l
(U) Prior Coverage
(UIFOE1OlDuring the last 5 years the Inspector General ofthe NSA issued one l report on TRAILBLAZER that discussed improperly based contract ~st increases non-eonfonnance in the management ofthe Statement ofWark and excessive labor rates for contractor personnel No prior coverage has been l conducted on the NSA THINTHRJAD Program during the last Syears
l l
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o (U) Inspector General NSA
Q (U~eportNo ST~03middot0014 TRAILBLAZER lISIGINTPrograms Systems Engineering and Te()1mica1 Assistance Contract September 30 2004 o
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Appendix B TRAILBLAZER (U) ~
(U) Objectives of TRAILBLAZER and the Technical Demonstration Platform
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bull (UIFSYO) Common standards and interfaces throughout th~ NSA Reference Model
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(SlI8I) Specifically the TRAILBLAZER framework must leverage the best
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~fflou~~1~____________~~~NTHREAD Technical Review l
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(UffFOUO Summary ofStudy Recommendations The following is complete list ofrecommendations ofth~ rnINTHREAD Technical Review ~ -
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1 ~------------------------------------------------~ (tJ) NSA Modernization Follow-Up Study
lS1fSI1be NSA Modernization Study July 13 2001 AfWnn-JLlithAN~~LClAt-___- Modernization Follow Up StudytJ Dece1nbet 2oo1 t stat~1
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(U) Summary of TBINT~nI1 J
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1(UFet1t1) Thd IAssessment Study made the followingrecommendati-bdsimr------
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bull (U) Current THINTHREAD system develo~entprocedures were effective and a cooperative development effort was proceeding smoothly 1 with the pilot site
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i~______________________________~______________~ i
06 Finding 3 Discussion
iii (U) There was minimal user system technical or programmatic documentation
The existing documentation was insufficient to support the planned deployments
bull (U) There was no user documentation on how to use the tool That was inefficient and could lead to a significant increase in user error
Difficulties using the tool can also lead to an increase in support calls that
l drained project resources
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bull (U) TIUNTHREAD did not have a clearly stated documented set of ~ mission goals or objectives There was no program plan making it
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difficult to communicate infonnation about THINTImEAD at a
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bull (U) A deqilled schedule including all activities related to the system and it deliverables before during and after deployment was not available A
J high-level schedule containing the chronology ofdeployment was if developed but a detailed schedule was essential for proper resource middot1i~1~~~t~ L 86-36 management costing and prediction
bullbullbullbullbull~_ ~~b~ ~~-~_bullbull
~_o_ -~ c-~gt (U) No installation and maintenance documentation was completed for -~~ -- lt=Jit~rtpersonnel although the team was working with the pilot site
~~- to ~evelOpinstald~atiQ1 dOC~rtation ad ofinstallatioD and --lt- mampntenanceOj-entatio
~ltj- ---t~----------- I _ ---- -- -- _-
bull (U) There~unQoperational support documtanonl - Lack ofsupport documIDtation could adversely affect timely correction or - Inrohtems and CQUll1eadtcf I
(U) The effects ofminimal documentation could be overcome ifan integrated team accomplished the development and deployment ofTHINTHREAD
76 TOP SRCHTIeuroOiHNlf1l28291123
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(U1F9OO) Recommendations Develop necessary docwnentation ni4t would
o Q necessitate an increase in the personnel devoted to documenting the systerh but is
essential to the successfuJ deployment and operation ofTIIINTHREAD The lack of this documentation presented a serious risk to the successful deployment Of THINTIIREAD
(U) Finding 4 Discussion ~
o AMiJOlO) Deg10wenl pJinwas slow to ~
J bull (UFf3UOlHi8toricaUy~ the TIIINTHREAD Program Team focused on
J the Drototvoe demonstration at the Dilot site The s scone did not
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were not identified The relationsbips between work roles throu out e system s life cycle were not defined The authorities for each work role bad not been identifiedJ The organizational structure set forth by the THINIHREAD Program Team focused on system development and did not address system
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_l~-~~~~~~~~~l a~iionalwork roles necessary for deployuienl activities I
(bj (3) - P L 86-3 6 bull (U) THlNTHREAD did not identifY all the organizations requiring coordination through the various stages ofdeployment
(UiifofJoLRecommendations The findings presented a serious risk to successful deployment ofTHINTHREAD To mitigate those risks the following recommendations were suggested
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(U) Finding 5 Discnssion l (UIFOY~ Xhe customer service and user support processes for THlNTHREAD weremanualIy in~ensive and directly involved the technical staff l
bull UJ1i10U~ The quality Ofservi~_aqg~IbeCeiv----Psing ________ -==-TIUNJlIREADwmnoonsistnt SomC1I1teiVieWedby
(b(3j-=P ~ i---6636 --- TeSiTechnology and Evaluati~Jl ~eam VIewed tlie T4ITHRBAr l --==--_--0___ ~oram Tea~ to b~ unresponsIve mg~eral customa support while-----=+--- __ )xEI1enced good responsIveness to then- requests for
ttions or mOOifi~tions1 I l bull (UIIPOUQ) There was no formal trouble ticket mechanism in place Ifa
user or operator had a problem with TIiIN1HRBADs he contacted someone on the THINTHRBAD Program Team This contact depends on l personal acquaintance because no list ofTHINTHREAD personnel was readily available and there was no mechanism to locate the proper TIflNTHRBAD contact Similarly the status ofthe response to a request l could only be leamed by personal contact
bull (UllFOf167 There was no formal mechanism for managing externally lgenemted requirements to include submitting a new requirement to THINTHREAD or for following the progress ofthe work
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maintainin itb just a few userso _ middotmiddot--ihafpemon was a e to_~jer_orc ang ccording to user - - ______ requests-middotreceived (il1Ule telephone or by e-nw owever as more users
3) _PmiddotmiddotmiddotL---8middot~~ are added one person may have difficulty meeting the increased demand o - ------n-ThelackofperBQll~~~y become a problem as =INJHREAD was scaled to handle an lOcreas-eduserlo~ _ I
o o o bull (UFeYQ) A list ofWeb interface functionalities p~~pose4
was not incorporated into TIIINTHREAD 1-----1
o o
(UtfPOBe) There was nomiddot ptOQeSs for controllin~ and measuring operational programmatic and technical performance effectiveness ofTHINTIIREADJ once deployed
bull (UJlI6ttQ) TIIINTHREAD did not have a clearly stated set ofsystem specifications or a method to validate the THINTHREAD concept or perfonnance results Thus there was no way to determine ifthe system
79
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(euroUIFOOS] was successful or ifit failed which may lead to confusion in stakeholders understanding ofthe success ofTHINTHREAD 1bull (Uf~INTHREAD bad mechanisms for assessing progress and status within the system development phase However there were no systematic consistent mecbanisms for overall program measurement which included identifying test criteria establishing program schedules 1 and documenting a system baseline to address progress No feedback mechanisms had been identified such as risk management or contingency planning 1
bull (UIfffit6) Aside from schedule control there were no tools to measure progress towards program objectives because there were no formalized program objectives 1
bull (UFeuroffJe) THINTHREAD did not have Standards ofPerfonnance established for personnel developing THINTHREAD Iffuture 1TIlINTHREADdevelopment crosses organizational groups a common set ofStandards ofPerfonnance for personnel may become necessary
bull (UIfeOO) There was no configuration management process which could 1 pose a~sk when reporting system ~ro~lems and correcting tt~ I In addition the lack ofa configuration management prtl~ cOwa cause difficulty w~en upgrading or deploying versio~_and-aIso make rollback 1extremely nsky
bull (U17P6t1Q) Th~ fault or w~Jlgdet~on wt a~omated h necessary reactions and ~nseswere l-ot- _ _ __ l software provided ~sirtipIe wayo-ooeck sta1=-o=v=an=o=us==s==----- parameters through a W~jntefface However when an operatorrecowizcSmiddota prolemne must actively initiate conective measures l $omeumes-thafaction is a simple matter such as restarting a process At
- Qilierfifues physical hardware must be changed No corrective action bull- -- -- middotmiddotmiddotCould be executed ifan operator was not present to initiate a corrective l lt~-~~~~~gt bull a_cti_middoto_n_____________________--
i~~~p~ B~36--~--~I~_~__~_~_~~_____~~__~_~ l -
middotmiddot-middotmiddot----Q1IFOUO 1HINTHREAD had no established process for managing 1 reqUiremen~
(UfFOtJO) Reonu~dtioiis~--Thefindings that led to the recommendations l would not have revented the successfuIaepJoYment ofTIIINTHRBAD to
~ e recommendations weremadetQmP2ve=tb=e__--- e ency ofTHINTHREAD after it was deploYedll____--
The follOwing is a list ofrecommendations l L-_~--
bull (P(FQafjJ Develop processes and acquire automated tools based on cIearIx stated specifications for controlling and measuring the l ~=hfc ntipn8tand technical performance ofTHINTHREAD
80
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Consultative Committee for International Telegraph and Telephone (CCIT1) 1Consultative Committee for International Telegraph and Telephone is the International organization responsible for the development ofcommunications standards Now called 1 the International Telecommunication Union Telecommunication Standardization Sector
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telecommunications teclmologies The International Telecommunication Union Telecommunication Standardization Sector carries out the functions ofthe former Consultative Committee for International Telegraph and Telephone l
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Telecommunications Industry Associlltfon (IIA) Organization that developsstandards relating to telecommunications technologies Together the TelecommWlications Industry Association and the Electronic Industries Association have fOlDlalized standards such as Electronic Industries Association and Telecommunications Industry Association M232 for the electrical characteristics ofdata transmission
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(8181) Audit Response The report doi ~l million e TRAILBLAZE
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i (U~ Audit Response TRAILBLAZER postponed Milestone B schedul~ Ifor December 2004 because of technical issues with the Technology Demonstration Platfonn February 200S is the earllest date that TRAILBLAZER will be readr fr MILESTONE B I ~
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I ~Audit Response Our wording reflects information received from our so~ces We reviewed all ofthe comments below and checked our sources and made adjustlpents as required
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Office of the Secretary ofDefense
11 Under Secretary ofDefense for Acquisition Technology and Logistics Under Secretary ofDefense (Comptroller) Under Secretary ofDefense for Intelligence
11 Assistant Secretary ofDefense for Netwerks and Infonnation Integration
11 Other Defense Organization
Director National Security Agency Inspector GeneraJ Natienal Security Agency1] Inspector General Defense Intelligence Agency Inspector General National Geospaual-Intelligence Agency Inspector General Natienal Reconnaissance Office
II Congressional Committees and Subcommittees Chairman and
Ranking Minority Member] Senate Subcommittee onDefense Committee en Appropriations Senate Committee on Anned Services] Senate Select Committee on Intelligence House Subcommittee on Defense Committee on Appropriations House Committee on Armed Services House Permanent Select Committee on Intelligence]
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1
SECURITY CLASSIFICATION f(FiJ ( Cl 1 ] 1NSA STAFF PROCESSING FORM
TO
IKCC CONTROL NUMBERCoS DC09-017-05 THRU ACTION eXREQ SUSPENSE
~=-c=---------------------l 0 APPROVALSUBJECT KCC SUSPENSE (U) (COP liJIiCRSlIIGOMUffl Office of the IG of the Department of IX] SIGNATURE
ELEMENT SUSPENSEDefense Report on TRAILBLAZER and THINTHREAD Systems 0 INfORMATION
DISTRIBUTION
SUMMARY (u)
PIJRPOSE (GONFIDENFfAIoS202911pound3) Attached for your review and signature is the NSA consolidated response to the report from the DoD OIG on requirements for TRAILBLAZER and TIDNTHREAD systems
End als
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86-36
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OFFIce NAME AND DATE OFFICE NAME AND OAlE
ORG PHONE (Secure OATE PREPARED
DC09 963-5021 11 February 2005
SECURITY CLASSIfICATIONDerived from NSAlCSSM 1-52
DATED 23 November 2004 Declassify On 20291123
OOCf) 32533~6 eONFIDENTIA1il26291128
NATIONAL SECURITY AGENCY FORT GEORGE G MEADE JiARY~AND 20755-6000
11 February 2005
MEMORANDUM FOR DEPUTY ASSISTANT INSPECTOR GENERAL FOR INTELLIGENCE AUDITS
SUBJECT (UIFOUO) DoD OIG Audit Report Requirements for the TRAILBLAZER and THINTHREAD Systems1 dated December 15 2004 (Report OS-INTELshy03 Project No D2003AL-OlOO) - INFORMATION MEMORANDUM
(UIFtJtJ9+In response to the DoD OIG request for additional information on the TRAILBLAZER and THINTHREAD report NSACSS provides consolidated corporate comments from our Signals Intelligence Directorate Acquisition Organization and Information Technology Infrastructure Services Organization (now the Infalmation Technology Directorate)
NSAlCSS Resllonse
-teTSubsequent to the DoD OIG report the TRAILBLAZER Milestone has been I scheduled for late in the fourth quarter of FYOS from the previously scheduled earlyenr MS B Accordingly this now allows sufficient time for the conduct of the assessmeftt recommended by the DoD OIG
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MARIA N OCONNOR Chief ofStaff
(b) (3)-PL 86-36 elIoed Piwu lfStz6SSft 1 52 amptted 3 4oembe ~04 Beclass) Oti~ pound8281115
CONFfDENJfAIffS9291123
NSA STAFF PRO ESSING FORM EXflEG CONTROl NUMBER J(CC CONTROl NUMBER
DA4-04-05 ACTION EXAEG SUSPENSE
-------~_______________I fi] APPROVAL SUBJECT KCC SUSPENse (U~THINTHREAD I TRAILBLAZER 1G [iJ SIGNATURE
ELEMENT SUSPENSEAUDIT REPORT 0 INFORMATION
DISTRI8UTION
SUMMARV
PURPOSE (UtFeYO) To provide the recommended PEO input to the consolidated NSA response regarding actions requested by the final Department of Defense (DoD) Office ofInspector General (OIG) report 05-INTEL-03 Requirements for TRAlLBLAZER and THINTHREAD Systems of 15 December 2004
-tarIn response to ~hidraft7 in August the Agency concurred with comments ~-Tpe following is an excerpt fr9mthose comments laquo The Program Executive Office (PEO) is ta1tingmiddotth~ lead in estab1ishin~an independent review teruv- for Derforming this assessment with the intentiqn that itsJesuIts will be completed in timet I
f IMilestone B documentationraquo
~At the time of this statement (Aug (04) the TRAILBLAZER Milestone B (MSB) was scheduled for December (04 When the final report was published the PEO Assessment had not yet begun Concerned that the assessment could not be completed in time to support a December milestone the DoD OIG requested via the final report that they be provided NSA plans to eliminate the cost and schedule risks for completing the assessment
(GtSince release of the final Audit Report a DIRNSA-Chartered Transformational Advisory Panel (TAP) recommended TRAILBLAZER be rebaselined The MBB is now planned for late Fourth Quarter FY05
COOROINAilONIAPPROVAl
OFFICE NAME AND DATE OFFICE NAME AND DATE sg~degtt~tii
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~ RECOMMENDATION
1 (UJFeiffe1 A form~lRfsk Mitigation Plan is not recommended The PEO is committed to cogducting the assessment The team is currently being fOlriled a kick-offm~gjsj)Ianned for March and the team is expected to report to MrJ II INLT May 31st The cost and schedule impact ofconducting the assessment pose very low risk to the Transformational Programs
2 (UIF8YGl Recommend the response provided as an attachment be forwarded to the DoD OIa as part of the Agencys consolidated response to the Final Report
DOCIDe 3253346
1 1 Team Members (U)
(U) The Office of the Deputy Inspector General for Intelligence ofthe Department ofDefense Intelligence-Audit prepared this report Personnel ofthe Office ofthe Inspector General ofthe Department ofDefense who contributed to the report are listed below
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l (SlfSf) NSA Modernization Studies Thefirst NSA Modernization Stu4Y July 200It was conducted by The National Technology Alliance National penterfor Applied Technology after a thorough review ofon1roin~ activities withfu the TRAILBLAZER Program Management Officq 1
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(U) The NSA Modernization Study recommended that
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(U7FOYQ) The National Center for Applied Technology issued a second report a quick-Iooklt follow-on to the first report in December 2001 The Chie-4 Signals Intelligence Programs invited the original study team to conduct a foI1ow- OD study to evaluate progress within the TRAlLBLAZER Program Management Office Despite noting some changes made in NSA management and the TRAILBLAZER Programs acqUisition strategy that promised to address the conflicts and issues DOted in the first report the study team found that
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(U)Summary
(U) Management Comments on the Finding and Audit Response
(UJIIOtiO) ~ementComments The NSA management stated that the draft report did not mclude significant information or included wrong or misleading information The tomplete list ofmanagement tomments is in the Management Comments section ofthis report
23
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(U~Audit Response We obtained revieweG and analyzed many documents and we interviewed several NSA and contractor personnel to form the conclusions in this report We included all infonnation relevant to support the report findings and rCCQmmendatlons Many people we interviewed asked not to be identified fur fear ofmanagement reprisal We gathered information from many sources to support the finding Paragraphs frequently contain information from several sources to reinforce conclusions Based on management comments we made various editorial changes to the draft report See Appendix J for a completed audit responSe to each management comment
(U) Recommendations Management Comments and Audit Response
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(U) A We recommend that the Director National Seurity AgencyChief Central Security Service
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bull (UtfiOOO) Ensure the execution ofa new NSA program transfonning the us Cryptologic System exploitation ofthe global network Map detailed digital network exploitation mission requirements to a cryptologic architecture and implement them and 1
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December 2001 The Chief Signals Intelligence Programs invited the original
study team to conduct a follow-on study to evaluate progress within the] TRAILBLAZER Program Management Office Despite noting some changes
J made in NSA management and the TRAlLBLAZER Program acquisition strategy that promised to address the conflicts and issues noted in the fust report the study team found that
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~~Durin FY 2901 NSA initial and fo110 internal teclmicalreviews(b) (1) (bl (3)-50 USC 403 l
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(U) TRAILBLAZER Acquisition
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(SHS~ rRAILBLAZER was deyelope~UooUii~gwltlaIILlUI~IIIUoLIIWoIIIoltl-_- enterprise to exploit the global network l
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[J
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J J ] (U) Summary ofManagement Comments on the Audit Finding
and Audit Response
J (UIFOlJet Management Comments NSA management referred to several statements in the report that did not include all referenced documents and that some paragraphs contained wrong or misleading information The complete listJ ofmanagement comments is located in the Management Comments section of this report
J (UJIiOff6) Audit Response We obtained reviewed and analyzed many documents to form the basis for the conclusions in this report We also interviewed several NSA and contractor personnel many ofwhom asked not to be identified for fear ofmanagement reprisal We ga~ered infonnation from
J J many sources to support the finding Paragraphs frequently contain infonnation
from several sources to reinforce conclusions See Appendix] for a complete audit response to each IDlUlagement comment
J (U) Recommendations Management Comments and Audit
Response lIb) (l (b) (3)-PL 86-36
j (b) (5)
(~RevisedRetommendatlon As a result ofmanagement cdmmei~ we
J IreV1sed Recommendations Bt and B3 to ctarlfythe intend1Use of
1 (UI1FOUQlYe recommeDd that the Director National Security J AgencyChlef Central Security Service ----------------------~~I (QDesJmatea team to 1 IJ
J (UIFOUO) Manlgement Comments The Director National Security AgencyChief Central Security Service partially concurred with the intent ofthe recommendation but was waiting for the results ofa cost and schedule impact J study before fully concurring The Program Executive Office is establishing an
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(U~) independent review team to complete the study before Milestone B scheduled for December 2004 because the study win have an effect en both the cost and schedule fer Milestone B
-(eT~~IitJlesponse Based on management comments we revised this l IrecommendatiQn The Director National Security AgencyChief Central
Security Servicecomments were responsive and the proposed actions meet the intent ofthe recomTneIJdation The immediate actions taken to designate an independent review teamt~ perfonn the assessment are commendable JMilestone B has slipped to Feb ~~maumu~wmiddotstJmiddotruamamJllSl~illJilmllL- time to com 1ete the assessmeii
]
] 2 (UIFtYffOtprovide the results of the external assessment to the
TRAILBLAZER Teclmology Demonstration Platform Milestone Decision Authority (or use in making the ~estoneB decision J (Uf~Management Comments The Director National Security AgencyChief Central Security Service concurred The completion ofthe independent assessment is currently scheduled fer December 2004 J (U~AuditResponse Although the Director National Security AgencyChief Central Security Service concurred the concurrence is based on ]completing the assessment requested in Recommendation B1 We request that the National Security Agency management provide additional comments in response to the final report identifying NSA plans to eliminate the cost and ]schedule risks for completing the assessment
J (U~ _gemeat 6mments Tho Director National Security ]
- Ag~cy~ef-Gentrals~tyB~1~t~_~115urredt andjWtil that the assessment middotmiddot~middot -___teQuired m Recommendation B1 WIll De mcludedm-thL_______--
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(BIfSI) Audit RDii~-Altho~gh the Director National Security AgencyChief Central Security Service concurredthe-COllcurrence is blSed on completing the assessment requested in Recommendation alBased on 1981WemClltcmmIlCllts J to Recommendation B2 this recommendation was reVis
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1 ~ twe request additional comments in response to the firuit report identitYiIig NSA pans to eliminate the1 cost and schedule risks for completing the assessment l
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Appendix A Scope and Methodology (U) ~ ~ 1 1 -
(UitFooo-We reviewed documentation dating from November 200Qlu~~gh October 2003 including background infonnation mission and operatiQUat ri~ statements concepts and operational requirements and contracting ana budget 1 documents Also we conducted interview
I 1
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(U) We performed this audit from Apri12003 through May 2004 in accoid~ce with generally accepted government auditing standards
(UffFOUQ-Umitation to Scope Because our objective was limited to
1
evaluating a Defense Hotline allegation relatingto the acquisition ofthe TRAILBLAZER and THINTIlREAD nrolttatns we did not review the roanalement control nroenunl i 1
1 ~
l (U) Use of Computer-Processed Data We did not use computer-processed data to perform this audit
1 1 (UfPOUO) Use ofTechnical Assistance Audit Follow-up and Teehnical Support Personnel assisted us during the audit The Technical Assessment Division assisted in the analysis ofNSA acquisition I l (V) General Accounting Office High-Rlsk Area The General Accounting Office has identified several high-risk areas in DoD Thisreport provides l coverage ofthe Infrastructure Inefficiencies and Infonnation Technology Investments high-risk areas l
(U) Prior Coverage
(UIFOE1OlDuring the last 5 years the Inspector General ofthe NSA issued one l report on TRAILBLAZER that discussed improperly based contract ~st increases non-eonfonnance in the management ofthe Statement ofWark and excessive labor rates for contractor personnel No prior coverage has been l conducted on the NSA THINTHRJAD Program during the last Syears
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o (U) Inspector General NSA
Q (U~eportNo ST~03middot0014 TRAILBLAZER lISIGINTPrograms Systems Engineering and Te()1mica1 Assistance Contract September 30 2004 o
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Appendix B TRAILBLAZER (U) ~
(U) Objectives of TRAILBLAZER and the Technical Demonstration Platform
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lS1fSI1be NSA Modernization Study July 13 2001 AfWnn-JLlithAN~~LClAt-___- Modernization Follow Up StudytJ Dece1nbet 2oo1 t stat~1
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i~______________________________~______________~ i
06 Finding 3 Discussion
iii (U) There was minimal user system technical or programmatic documentation
The existing documentation was insufficient to support the planned deployments
bull (U) There was no user documentation on how to use the tool That was inefficient and could lead to a significant increase in user error
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bull (U) TIUNTHREAD did not have a clearly stated documented set of ~ mission goals or objectives There was no program plan making it
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bull (U) A deqilled schedule including all activities related to the system and it deliverables before during and after deployment was not available A
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~_o_ -~ c-~gt (U) No installation and maintenance documentation was completed for -~~ -- lt=Jit~rtpersonnel although the team was working with the pilot site
~~- to ~evelOpinstald~atiQ1 dOC~rtation ad ofinstallatioD and --lt- mampntenanceOj-entatio
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bull (U) There~unQoperational support documtanonl - Lack ofsupport documIDtation could adversely affect timely correction or - Inrohtems and CQUll1eadtcf I
(U) The effects ofminimal documentation could be overcome ifan integrated team accomplished the development and deployment ofTHINTHREAD
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(U1F9OO) Recommendations Develop necessary docwnentation ni4t would
o Q necessitate an increase in the personnel devoted to documenting the systerh but is
essential to the successfuJ deployment and operation ofTIIINTHREAD The lack of this documentation presented a serious risk to the successful deployment Of THINTIIREAD
(U) Finding 4 Discussion ~
o AMiJOlO) Deg10wenl pJinwas slow to ~
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(bj (3) - P L 86-3 6 bull (U) THlNTHREAD did not identifY all the organizations requiring coordination through the various stages ofdeployment
(UiifofJoLRecommendations The findings presented a serious risk to successful deployment ofTHINTHREAD To mitigate those risks the following recommendations were suggested
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(U) Finding 5 Discnssion l (UIFOY~ Xhe customer service and user support processes for THlNTHREAD weremanualIy in~ensive and directly involved the technical staff l
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ttions or mOOifi~tions1 I l bull (UIIPOUQ) There was no formal trouble ticket mechanism in place Ifa
user or operator had a problem with TIiIN1HRBADs he contacted someone on the THINTHRBAD Program Team This contact depends on l personal acquaintance because no list ofTHINTHREAD personnel was readily available and there was no mechanism to locate the proper TIflNTHRBAD contact Similarly the status ofthe response to a request l could only be leamed by personal contact
bull (UllFOf167 There was no formal mechanism for managing externally lgenemted requirements to include submitting a new requirement to THINTHREAD or for following the progress ofthe work
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maintainin itb just a few userso _ middotmiddot--ihafpemon was a e to_~jer_orc ang ccording to user - - ______ requests-middotreceived (il1Ule telephone or by e-nw owever as more users
3) _PmiddotmiddotmiddotL---8middot~~ are added one person may have difficulty meeting the increased demand o - ------n-ThelackofperBQll~~~y become a problem as =INJHREAD was scaled to handle an lOcreas-eduserlo~ _ I
o o o bull (UFeYQ) A list ofWeb interface functionalities p~~pose4
was not incorporated into TIIINTHREAD 1-----1
o o
(UtfPOBe) There was nomiddot ptOQeSs for controllin~ and measuring operational programmatic and technical performance effectiveness ofTHINTIIREADJ once deployed
bull (UJlI6ttQ) TIIINTHREAD did not have a clearly stated set ofsystem specifications or a method to validate the THINTHREAD concept or perfonnance results Thus there was no way to determine ifthe system
79
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DOCIDe 6253346
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(euroUIFOOS] was successful or ifit failed which may lead to confusion in stakeholders understanding ofthe success ofTHINTHREAD 1bull (Uf~INTHREAD bad mechanisms for assessing progress and status within the system development phase However there were no systematic consistent mecbanisms for overall program measurement which included identifying test criteria establishing program schedules 1 and documenting a system baseline to address progress No feedback mechanisms had been identified such as risk management or contingency planning 1
bull (UIfffit6) Aside from schedule control there were no tools to measure progress towards program objectives because there were no formalized program objectives 1
bull (UFeuroffJe) THINTHREAD did not have Standards ofPerfonnance established for personnel developing THINTHREAD Iffuture 1TIlINTHREADdevelopment crosses organizational groups a common set ofStandards ofPerfonnance for personnel may become necessary
bull (UIfeOO) There was no configuration management process which could 1 pose a~sk when reporting system ~ro~lems and correcting tt~ I In addition the lack ofa configuration management prtl~ cOwa cause difficulty w~en upgrading or deploying versio~_and-aIso make rollback 1extremely nsky
bull (U17P6t1Q) Th~ fault or w~Jlgdet~on wt a~omated h necessary reactions and ~nseswere l-ot- _ _ __ l software provided ~sirtipIe wayo-ooeck sta1=-o=v=an=o=us==s==----- parameters through a W~jntefface However when an operatorrecowizcSmiddota prolemne must actively initiate conective measures l $omeumes-thafaction is a simple matter such as restarting a process At
- Qilierfifues physical hardware must be changed No corrective action bull- -- -- middotmiddotmiddotCould be executed ifan operator was not present to initiate a corrective l lt~-~~~~~gt bull a_cti_middoto_n_____________________--
i~~~p~ B~36--~--~I~_~__~_~_~~_____~~__~_~ l -
middotmiddot-middotmiddot----Q1IFOUO 1HINTHREAD had no established process for managing 1 reqUiremen~
(UfFOtJO) Reonu~dtioiis~--Thefindings that led to the recommendations l would not have revented the successfuIaepJoYment ofTIIINTHRBAD to
~ e recommendations weremadetQmP2ve=tb=e__--- e ency ofTHINTHREAD after it was deploYedll____--
The follOwing is a list ofrecommendations l L-_~--
bull (P(FQafjJ Develop processes and acquire automated tools based on cIearIx stated specifications for controlling and measuring the l ~=hfc ntipn8tand technical performance ofTHINTHREAD
80
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Omiddot (b) 3J-PL 86-36
bull (UIfOUO) Acquire ~ ~mmercia1ly available conij~tioK~ntro system to enable verstorung rollback and configuration management0 The system should interface with the trouble ficketing systeM aitd the requirements management system to Provi9CfulJ traceabilitY
1 o bull (UiAFeUOjDevelop Stand~ ofP~6imance(iffutWeTIinfrHREADdevelopment crosses orgaruzationlUmiddotgroups) i
1 bull (UnO~A~tomate reactiqns and responses to the existin~ fulfIt ando warmng detection systemL ~ J - 1o
bull (U~ 1stBblish a requirements management process for
o uWAD that is linked tol---__~______---I
(U) Finding 7 Discussiono e number and skill mix ofTHINTHREAD nnel was
o ~1iI~~~~=~nnel required for
13 H L Seuro-36---planning-and executing-installatio so there was a lack of --cfocumentatioDtPIQviding the necessary mam anoo and help desk supporto oonfigurapon managemen~-and planningYlg~~~u1ing CpUectively thyse
o ~_ shortoommgs jeated a senous nsk to successful comp1eti0nL _ J 1 ~_ _ 1-_--I
(UlFOtJ~ Recommendations The finding presented serious risk to successful deployment ofTHINTHREAD It was recommended to continue to identify and o I=~lhord~ofsdll~=-= ired fur
ij ~~lt~~-
a i~~~-PL 86-36 (bJ (5)
ru
81
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AppendixH (b) [l) (b) (3) -PL 86-36 i
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~ (U) Introduction
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(U) Needs Analysis Revisited i
1 82
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(b) (3)-PL 86-36 (U) System Capabilities Overviews
~ The followin section outlines the strenJ
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(U) Cost Analysis middotmiddot(lJ-3JFbull L 86-36
IThotlblwiJfiiinhetica1 soenariiuiiaiiidliowr--------- ay produce a more effective result in terms ofigtOth complexity and cost
A ew assumptions apply
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1 NCLASSIFIEDJlFOR OFFleb~l uscAppendix I Glossary (U) BY COMPILATON WHEN ASSO
WITH REST OF D-OCU=t=~IE=N--T__---J 1 (U) r------------------------7b)-(3~)--ampP 86middot36 1
1 l 1 1 1 1
Consultative Committee for International Telegraph and Telephone (CCIT1) 1Consultative Committee for International Telegraph and Telephone is the International organization responsible for the development ofcommunications standards Now called 1 the International Telecommunication Union Telecommunication Standardization Sector
(b)(3) PL 86middot36
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Elettronfc Industries As~odatlon (EIA) A group that specifies eJectrical transmission standards The Electronic Jndustries Association and Telecommunications Induslry I Association have developed numerous well-bown communications standards including l Electronic Industries Association and Telecommunications IndusfIy Association 232 and I Electronic Induslrles Association and Telecommunications Induslly Aosoclaion -449 I
(U)
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l International Telecommunication Union Telecommunkation Standardization ~ lSedor (lTV-T) International body that develops worldwide standards for
i
telecommunications teclmologies The International Telecommunication Union Telecommunication Standardization Sector carries out the functions ofthe former Consultative Committee for International Telegraph and Telephone l
i
International Organization for Standardization (ISO) International organization that is responsible for awide range ofstaruiards including those relevant to networking The l International Organization for Standardization developed the Open System Interconnection reference model a popular networking reference model
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I (b) (3) -T Institute of Electrical and Electronics Engineers (IEEE) 8023 Institute ofEIectrical and Electronics Engineers LAN protocol that specifies an implementation ofthe physical layer and the MAC sublayer ofthe data link layer Institute afElectrical and Electronics Engineers 8023 uses Carrier Sense Multiple Access Collision Detect access at a variety ofspeeds over a variety of physical media Extensions to the I Institute ofElectrical and Electronics Engineers 8023 standard specify implementations for Fast Ethernet
(b)3)-P L 86-36
Open System Interconnedion (OSI) International standard~tion program created by International Organization for Standardization and International Telecommunication Union Telecommunication Standardization Sector to develop standards for data networking that facilitate multimiddotvendor equipment interoperability
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Telecommunications Industry Associlltfon (IIA) Organization that developsstandards relating to telecommunications technologies Together the TelecommWlications Industry Association and the Electronic Industries Association have fOlDlalized standards such as Electronic Industries Association and Telecommunications Industry Association M232 for the electrical characteristics ofdata transmission
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Appendix J ~esponse to Management Comments (U)
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NSA will a ee to conduct an independent e believe that it will validate all of the assertions niMein our reSpons--egoeImiddotmiddot tOf General recommendations
F=~criedd~~fffl it~ th~~~~nH1p nlan~uA wad dl Iill Iwhich was conaucteaIn an openmiddot ~on1o proVlae ffi~esl oenent lor Agency mISSIOn and customers More Importantly tfiere h~ been no eVldence
documented during this Office ofInspector General investigauQl1 that supports that complaint -~ lib) [3J-lL 86-36 ~
(8181) Audit Response The report doi ~l million e TRAILBLAZE
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(U~anagement Comments NSA recommended that the audit report emphasis NSAs cooperation and responsiveness to Congress
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(UIFOU8) Management Comments NSA recommended that the audit report emphasis that the THINTHRBAD capability is valued by NSA
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~--------------------------------------------------~~--~(Sf51) Management Comments NSAj~~~~en~t~d~o~es~n~ot~a~~w~ithlAllth~eDfIoD~~___ Office cfIns etor Generars assessmen
(SSij Audit Response We acknowledge the fact that the current scope ofthe TRAILBLAZER is to provide the infonnation technology ftamework for the entire
104
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(euro) Management Comments NSA managements stated that TRAILBLAZER and ~e Technology Demonstration Platfonn have invested considerable effort to build a signal intelligence architecture that is open and scaleable applies DoQ commercial and NSA
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107
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(Sl8I)Management Comments NSA management comments stated that the Executive ~f
Summarys assertion that NSA disregarded solutions to Uf2ent national security needs ~) (1) is not accurate ~p) (3) -50 USC 40 (1lt) (3)-PL 86-3
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(SNSI) Audit Response NSA comments are inaccurate Major issues raised in the manaSement comments are addressed in the reoort sneciftcallvthe issue of
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108
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also needs clarification j
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(UJ~anagementComments NSAmanag~ent comments stated th~t fue TRAILBLAZER has long-established plans for external assessment ofthe Techlology Demonstration Platfonn for prepamtion for IfliJestone B The Independent Veri1jcAtion and Validation (JVampV) of29 Evaluation Criteria is being conducted by NSAs independent Office ofCorporate Assessmmits Test and Technical Evaluation eleimthlt (TIE) The Early Operational Assessmentiand Operational Assessment will be perfonned by JlTC which had establisheda presence in TRAILBLAZER spaces ~y November 2003 Results ofboth activitieS will be provided to the Milestone Deciaio4 Authority before Milestone B
i (U~ Audit Response TRAILBLAZER postponed Milestone B schedul~ Ifor December 2004 because of technical issues with the Technology Demonstration Platfonn February 200S is the earllest date that TRAILBLAZER will be readr fr MILESTONE B I ~
i
~anagementComments NSA manaampmlmn ~mts staled thatJhe )
I==lYbeprov1a~Mtlone
(8ffSf Management Comments NSA management comments ~tated that the EXecUtile Summarys statement that TRAILBLAZER development wasted I--_____J
109
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~ofdollars is not accurate As the middottlJlModemizanon Study obseni~ TRAILBLAZER is pot only about di~ptnietwork 7~ploitation but also encqIi7nasSs cultural transformation Ie pt9cesses and pohCles) --i ~~J
And although TRAILBLAZER is currently 11 tl1e L-re~v~erop=m=enr1-=ptas=-=elr-tr~-_-a~ dy delivered significant capabilities ~
~- ~ (SfJSl) Audit Response The NSA management comments are inacturate ~r Executive Sunmiary does not claim that TRAILBLAZER development wast
I Iofdollars Instead this phrase is only used to accurately describe p specific liotline complaint allegation that initiated this audit
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d stated that the
(s) Audit Response We have documented infonnation to support this statement
however because of fear ofreprlsru we agreed to keep the sources anonymous
111
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I ~Audit Response Our wording reflects information received from our so~ces We reviewed all ofthe comments below and checked our sources and made adjustlpents as required
112
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TI Appendix K Report Distribution (U)f[]
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Office of the Secretary ofDefense
11 Under Secretary ofDefense for Acquisition Technology and Logistics Under Secretary ofDefense (Comptroller) Under Secretary ofDefense for Intelligence
11 Assistant Secretary ofDefense for Netwerks and Infonnation Integration
11 Other Defense Organization
Director National Security Agency Inspector GeneraJ Natienal Security Agency1] Inspector General Defense Intelligence Agency Inspector General National Geospaual-Intelligence Agency Inspector General Natienal Reconnaissance Office
II Congressional Committees and Subcommittees Chairman and
Ranking Minority Member] Senate Subcommittee onDefense Committee en Appropriations Senate Committee on Anned Services] Senate Select Committee on Intelligence House Subcommittee on Defense Committee on Appropriations House Committee on Armed Services House Permanent Select Committee on Intelligence]
(11)]
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NATIONAL SECURITY AGENCI CENTRAL SECURITV SERVtCI
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StmJBCT (ll) Audit ofthe ~ for tbo TRiULlUAZBR ud 1HlNIHRBAD SYma dampbed 111llO 182004 (Projec No D2OO3AL-OlOO)
Deputy ChiefofStaff
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1
SECURITY CLASSIFICATION f(FiJ ( Cl 1 ] 1NSA STAFF PROCESSING FORM
TO
IKCC CONTROL NUMBERCoS DC09-017-05 THRU ACTION eXREQ SUSPENSE
~=-c=---------------------l 0 APPROVALSUBJECT KCC SUSPENSE (U) (COP liJIiCRSlIIGOMUffl Office of the IG of the Department of IX] SIGNATURE
ELEMENT SUSPENSEDefense Report on TRAILBLAZER and THINTHREAD Systems 0 INfORMATION
DISTRIBUTION
SUMMARY (u)
PIJRPOSE (GONFIDENFfAIoS202911pound3) Attached for your review and signature is the NSA consolidated response to the report from the DoD OIG on requirements for TRAILBLAZER and TIDNTHREAD systems
End als
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86-36
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OFFIce NAME AND DATE OFFICE NAME AND OAlE
ORG PHONE (Secure OATE PREPARED
DC09 963-5021 11 February 2005
SECURITY CLASSIfICATIONDerived from NSAlCSSM 1-52
DATED 23 November 2004 Declassify On 20291123
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NATIONAL SECURITY AGENCY FORT GEORGE G MEADE JiARY~AND 20755-6000
11 February 2005
MEMORANDUM FOR DEPUTY ASSISTANT INSPECTOR GENERAL FOR INTELLIGENCE AUDITS
SUBJECT (UIFOUO) DoD OIG Audit Report Requirements for the TRAILBLAZER and THINTHREAD Systems1 dated December 15 2004 (Report OS-INTELshy03 Project No D2003AL-OlOO) - INFORMATION MEMORANDUM
(UIFtJtJ9+In response to the DoD OIG request for additional information on the TRAILBLAZER and THINTHREAD report NSACSS provides consolidated corporate comments from our Signals Intelligence Directorate Acquisition Organization and Information Technology Infrastructure Services Organization (now the Infalmation Technology Directorate)
NSAlCSS Resllonse
-teTSubsequent to the DoD OIG report the TRAILBLAZER Milestone has been I scheduled for late in the fourth quarter of FYOS from the previously scheduled earlyenr MS B Accordingly this now allows sufficient time for the conduct of the assessmeftt recommended by the DoD OIG
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MARIA N OCONNOR Chief ofStaff
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CONFfDENJfAIffS9291123
NSA STAFF PRO ESSING FORM EXflEG CONTROl NUMBER J(CC CONTROl NUMBER
DA4-04-05 ACTION EXAEG SUSPENSE
-------~_______________I fi] APPROVAL SUBJECT KCC SUSPENse (U~THINTHREAD I TRAILBLAZER 1G [iJ SIGNATURE
ELEMENT SUSPENSEAUDIT REPORT 0 INFORMATION
DISTRI8UTION
SUMMARV
PURPOSE (UtFeYO) To provide the recommended PEO input to the consolidated NSA response regarding actions requested by the final Department of Defense (DoD) Office ofInspector General (OIG) report 05-INTEL-03 Requirements for TRAlLBLAZER and THINTHREAD Systems of 15 December 2004
-tarIn response to ~hidraft7 in August the Agency concurred with comments ~-Tpe following is an excerpt fr9mthose comments laquo The Program Executive Office (PEO) is ta1tingmiddotth~ lead in estab1ishin~an independent review teruv- for Derforming this assessment with the intentiqn that itsJesuIts will be completed in timet I
f IMilestone B documentationraquo
~At the time of this statement (Aug (04) the TRAILBLAZER Milestone B (MSB) was scheduled for December (04 When the final report was published the PEO Assessment had not yet begun Concerned that the assessment could not be completed in time to support a December milestone the DoD OIG requested via the final report that they be provided NSA plans to eliminate the cost and schedule risks for completing the assessment
(GtSince release of the final Audit Report a DIRNSA-Chartered Transformational Advisory Panel (TAP) recommended TRAILBLAZER be rebaselined The MBB is now planned for late Fourth Quarter FY05
COOROINAilONIAPPROVAl
OFFICE NAME AND DATE OFFICE NAME AND DATE sg~degtt~tii
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~ (U~he development of this resP~98en~~en coordinated Wit~r-----lmd the TRAILBLAZER Program Manag~m~nt Office
~ RECOMMENDATION
1 (UJFeiffe1 A form~lRfsk Mitigation Plan is not recommended The PEO is committed to cogducting the assessment The team is currently being fOlriled a kick-offm~gjsj)Ianned for March and the team is expected to report to MrJ II INLT May 31st The cost and schedule impact ofconducting the assessment pose very low risk to the Transformational Programs
2 (UIF8YGl Recommend the response provided as an attachment be forwarded to the DoD OIa as part of the Agencys consolidated response to the Final Report
DOCIDe 3253346
1 1 Team Members (U)
(U) The Office of the Deputy Inspector General for Intelligence ofthe Department ofDefense Intelligence-Audit prepared this report Personnel ofthe Office ofthe Inspector General ofthe Department ofDefense who contributed to the report are listed below
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l (SlfSf) NSA Modernization Studies Thefirst NSA Modernization Stu4Y July 200It was conducted by The National Technology Alliance National penterfor Applied Technology after a thorough review ofon1roin~ activities withfu the TRAILBLAZER Program Management Officq 1
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(TSltsI)Studies Prior to THINTHREAD deployment the Technology Test and-I Evaluation Assessment Mar~ 25 2002 advised that the f~1Qwingj I 1 IactIOns be ~~~t------middotmiddot-middot-middot-~middot-
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86-36-1 ~----------------------------------------~
(U)Summary
(U) Management Comments on the Finding and Audit Response
(UJIIOtiO) ~ementComments The NSA management stated that the draft report did not mclude significant information or included wrong or misleading information The tomplete list ofmanagement tomments is in the Management Comments section ofthis report
23
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(U~Audit Response We obtained revieweG and analyzed many documents and we interviewed several NSA and contractor personnel to form the conclusions in this report We included all infonnation relevant to support the report findings and rCCQmmendatlons Many people we interviewed asked not to be identified fur fear ofmanagement reprisal We gathered information from many sources to support the finding Paragraphs frequently contain information from several sources to reinforce conclusions Based on management comments we made various editorial changes to the draft report See Appendix J for a completed audit responSe to each management comment
(U) Recommendations Management Comments and Audit Response
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(U) A We recommend that the Director National Seurity AgencyChief Central Security Service
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J (b) (l) (b) (3)-50 USC 403 ftfSlISij The NSA has clearly Ill8de great strides in seeking to
J bl (3)-PL 86-36 uansform itself in many areas However the NSA appeaIB to have
tlll1dt only modest progress in ilie area most important to irs future aequiring the techlUea1 ability to operate effectively against the e bull rzlnhaf t The NSA has lon2 known that
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J J (SNSI) en March 24 2000 the Director NSA signed the TRAlLBLAZER 1
charter to~te a new Signals Intelligence enterprise to exploit the global network ~~~with an estimated development cost Dfapproximatel as to respond to the opportunities and challenges provided by logies to design new operational practices for on-time delivery ofproducts and services in the manner that best met customer
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1 S7tsQneeds-unrestrained by past practices or past technologies TRAILBLAZER 1 had the following key responsibilities 1
bull (UtfiOOO) Ensure the execution ofa new NSA program transfonning the us Cryptologic System exploitation ofthe global network Map detailed digital network exploitation mission requirements to a cryptologic architecture and implement them and 1
bull (U~Act as the catalyst for transforming customer interaction and operational practices Begin the retooling ofNSA 1programmatically technologically and culturally to provide mission services and capabilities that are responsive to the emerging technology and customer needs 1
____- ___-----middot(lJ)IL--_____----I~RAILBLAZER (1) 1
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J - middot-middotmiddotmiddotmiddot middotmiddot middot-WhtNSAlfOderntzanOIl Study The House Permanent Select Committee - onlnteligence directed-th~ first NSA Mod~tion Study July 2001 which
was ~nauct~ by The NatiottalT~ologyAlliance 1lati0Jl1l ~enter fo Applied TechiiolQW After a thorough--re-lew rfommmg 8ctifjes Wltbm tbeJ TRAILBLAZER Pro~Management OffiCe_ __
r---lmd interviews withk~yprogram personnLebull1--th7e--NOa-=timiddoto-n--Cen--ter~fi-or---l ~ Techno1ogy team observe4~at fh~TBLAZER was noortvJ executed and bad an overly expenslv~ ______
The NSA Modernization Study recommlen~tM1ar------------I
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-(SSf) Seeolld NSA Modernization Study A second National Center for Applied Technology report a quick-look follow-on report was completed inJ
December 2001 The Chief Signals Intelligence Programs invited the original
study team to conduct a follow-on study to evaluate progress within the] TRAILBLAZER Program Management Office Despite noting some changes
J made in NSA management and the TRAlLBLAZER Program acquisition strategy that promised to address the conflicts and issues noted in the fust report the study team found that
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~~Durin FY 2901 NSA initial and fo110 internal teclmicalreviews(b) (1) (bl (3)-50 USC 403 l
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(U) TRAILBLAZER Acquisition
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J J ] (U) Summary ofManagement Comments on the Audit Finding
and Audit Response
J (UIFOlJet Management Comments NSA management referred to several statements in the report that did not include all referenced documents and that some paragraphs contained wrong or misleading information The complete listJ ofmanagement comments is located in the Management Comments section of this report
J (UJIiOff6) Audit Response We obtained reviewed and analyzed many documents to form the basis for the conclusions in this report We also interviewed several NSA and contractor personnel many ofwhom asked not to be identified for fear ofmanagement reprisal We ga~ered infonnation from
J J many sources to support the finding Paragraphs frequently contain infonnation
from several sources to reinforce conclusions See Appendix] for a complete audit response to each IDlUlagement comment
J (U) Recommendations Management Comments and Audit
Response lIb) (l (b) (3)-PL 86-36
j (b) (5)
(~RevisedRetommendatlon As a result ofmanagement cdmmei~ we
J IreV1sed Recommendations Bt and B3 to ctarlfythe intend1Use of
1 (UI1FOUQlYe recommeDd that the Director National Security J AgencyChlef Central Security Service ----------------------~~I (QDesJmatea team to 1 IJ
J (UIFOUO) Manlgement Comments The Director National Security AgencyChief Central Security Service partially concurred with the intent ofthe recommendation but was waiting for the results ofa cost and schedule impact J study before fully concurring The Program Executive Office is establishing an
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(U~) independent review team to complete the study before Milestone B scheduled for December 2004 because the study win have an effect en both the cost and schedule fer Milestone B
-(eT~~IitJlesponse Based on management comments we revised this l IrecommendatiQn The Director National Security AgencyChief Central
Security Servicecomments were responsive and the proposed actions meet the intent ofthe recomTneIJdation The immediate actions taken to designate an independent review teamt~ perfonn the assessment are commendable JMilestone B has slipped to Feb ~~maumu~wmiddotstJmiddotruamamJllSl~illJilmllL- time to com 1ete the assessmeii
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] 2 (UIFtYffOtprovide the results of the external assessment to the
TRAILBLAZER Teclmology Demonstration Platform Milestone Decision Authority (or use in making the ~estoneB decision J (Uf~Management Comments The Director National Security AgencyChief Central Security Service concurred The completion ofthe independent assessment is currently scheduled fer December 2004 J (U~AuditResponse Although the Director National Security AgencyChief Central Security Service concurred the concurrence is based on ]completing the assessment requested in Recommendation B1 We request that the National Security Agency management provide additional comments in response to the final report identifying NSA plans to eliminate the cost and ]schedule risks for completing the assessment
J (U~ _gemeat 6mments Tho Director National Security ]
- Ag~cy~ef-Gentrals~tyB~1~t~_~115urredt andjWtil that the assessment middotmiddot~middot -___teQuired m Recommendation B1 WIll De mcludedm-thL_______--
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1 ~ twe request additional comments in response to the firuit report identitYiIig NSA pans to eliminate the1 cost and schedule risks for completing the assessment l
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Appendix A Scope and Methodology (U) ~ ~ 1 1 -
(UitFooo-We reviewed documentation dating from November 200Qlu~~gh October 2003 including background infonnation mission and operatiQUat ri~ statements concepts and operational requirements and contracting ana budget 1 documents Also we conducted interview
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(U) We performed this audit from Apri12003 through May 2004 in accoid~ce with generally accepted government auditing standards
(UffFOUQ-Umitation to Scope Because our objective was limited to
1
evaluating a Defense Hotline allegation relatingto the acquisition ofthe TRAILBLAZER and THINTIlREAD nrolttatns we did not review the roanalement control nroenunl i 1
1 ~
l (U) Use of Computer-Processed Data We did not use computer-processed data to perform this audit
1 1 (UfPOUO) Use ofTechnical Assistance Audit Follow-up and Teehnical Support Personnel assisted us during the audit The Technical Assessment Division assisted in the analysis ofNSA acquisition I l (V) General Accounting Office High-Rlsk Area The General Accounting Office has identified several high-risk areas in DoD Thisreport provides l coverage ofthe Infrastructure Inefficiencies and Infonnation Technology Investments high-risk areas l
(U) Prior Coverage
(UIFOE1OlDuring the last 5 years the Inspector General ofthe NSA issued one l report on TRAILBLAZER that discussed improperly based contract ~st increases non-eonfonnance in the management ofthe Statement ofWark and excessive labor rates for contractor personnel No prior coverage has been l conducted on the NSA THINTHRJAD Program during the last Syears
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o (U) Inspector General NSA
Q (U~eportNo ST~03middot0014 TRAILBLAZER lISIGINTPrograms Systems Engineering and Te()1mica1 Assistance Contract September 30 2004 o
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(U) Objectives of TRAILBLAZER and the Technical Demonstration Platform
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lS1fSI1be NSA Modernization Study July 13 2001 AfWnn-JLlithAN~~LClAt-___- Modernization Follow Up StudytJ Dece1nbet 2oo1 t stat~1
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i~______________________________~______________~ i
06 Finding 3 Discussion
iii (U) There was minimal user system technical or programmatic documentation
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(U1F9OO) Recommendations Develop necessary docwnentation ni4t would
o Q necessitate an increase in the personnel devoted to documenting the systerh but is
essential to the successfuJ deployment and operation ofTIIINTHREAD The lack of this documentation presented a serious risk to the successful deployment Of THINTIIREAD
(U) Finding 4 Discussion ~
o AMiJOlO) Deg10wenl pJinwas slow to ~
J bull (UFf3UOlHi8toricaUy~ the TIIINTHREAD Program Team focused on
J the Drototvoe demonstration at the Dilot site The s scone did not
bull
J ]
~ IJ J bull (UIfIOUO) O~ ent and operation
were not identified The relationsbips between work roles throu out e system s life cycle were not defined The authorities for each work role bad not been identifiedJ The organizational structure set forth by the THINIHREAD Program Team focused on system development and did not address system
]
J 77 TOP SBCRRTApoundOAHNTlllN911a3J
noelD 325334
W~) dw1oymentl I A ]ThemmTHRBAD Program Team was defiriirig the
_l~-~~~~~~~~~l a~iionalwork roles necessary for deployuienl activities I
(bj (3) - P L 86-3 6 bull (U) THlNTHREAD did not identifY all the organizations requiring coordination through the various stages ofdeployment
(UiifofJoLRecommendations The findings presented a serious risk to successful deployment ofTHINTHREAD To mitigate those risks the following recommendations were suggested
-bull
(b) (3)-P bull L 66-36 bull (b) (5)
---_ bull shybull
(U) Finding 5 Discnssion l (UIFOY~ Xhe customer service and user support processes for THlNTHREAD weremanualIy in~ensive and directly involved the technical staff l
bull UJ1i10U~ The quality Ofservi~_aqg~IbeCeiv----Psing ________ -==-TIUNJlIREADwmnoonsistnt SomC1I1teiVieWedby
(b(3j-=P ~ i---6636 --- TeSiTechnology and Evaluati~Jl ~eam VIewed tlie T4ITHRBAr l --==--_--0___ ~oram Tea~ to b~ unresponsIve mg~eral customa support while-----=+--- __ )xEI1enced good responsIveness to then- requests for
ttions or mOOifi~tions1 I l bull (UIIPOUQ) There was no formal trouble ticket mechanism in place Ifa
user or operator had a problem with TIiIN1HRBADs he contacted someone on the THINTHRBAD Program Team This contact depends on l personal acquaintance because no list ofTHINTHREAD personnel was readily available and there was no mechanism to locate the proper TIflNTHRBAD contact Similarly the status ofthe response to a request l could only be leamed by personal contact
bull (UllFOf167 There was no formal mechanism for managing externally lgenemted requirements to include submitting a new requirement to THINTHREAD or for following the progress ofthe work
l78 FOP SHCREfNCOMINTIl29991123
l
rrC1D 3253346
fOP SECREfeuroiOlfHrff1129291123
o bull (U~ team was in charge of
maintainin itb just a few userso _ middotmiddot--ihafpemon was a e to_~jer_orc ang ccording to user - - ______ requests-middotreceived (il1Ule telephone or by e-nw owever as more users
3) _PmiddotmiddotmiddotL---8middot~~ are added one person may have difficulty meeting the increased demand o - ------n-ThelackofperBQll~~~y become a problem as =INJHREAD was scaled to handle an lOcreas-eduserlo~ _ I
o o o bull (UFeYQ) A list ofWeb interface functionalities p~~pose4
was not incorporated into TIIINTHREAD 1-----1
o o
(UtfPOBe) There was nomiddot ptOQeSs for controllin~ and measuring operational programmatic and technical performance effectiveness ofTHINTIIREADJ once deployed
bull (UJlI6ttQ) TIIINTHREAD did not have a clearly stated set ofsystem specifications or a method to validate the THINTHREAD concept or perfonnance results Thus there was no way to determine ifthe system
79
fOP SECRE1lleuroOMINTll18191123
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DOCIDe 6253346
TOP SECRSTltCO~HfflllQl9111~ 1 1
(euroUIFOOS] was successful or ifit failed which may lead to confusion in stakeholders understanding ofthe success ofTHINTHREAD 1bull (Uf~INTHREAD bad mechanisms for assessing progress and status within the system development phase However there were no systematic consistent mecbanisms for overall program measurement which included identifying test criteria establishing program schedules 1 and documenting a system baseline to address progress No feedback mechanisms had been identified such as risk management or contingency planning 1
bull (UIfffit6) Aside from schedule control there were no tools to measure progress towards program objectives because there were no formalized program objectives 1
bull (UFeuroffJe) THINTHREAD did not have Standards ofPerfonnance established for personnel developing THINTHREAD Iffuture 1TIlINTHREADdevelopment crosses organizational groups a common set ofStandards ofPerfonnance for personnel may become necessary
bull (UIfeOO) There was no configuration management process which could 1 pose a~sk when reporting system ~ro~lems and correcting tt~ I In addition the lack ofa configuration management prtl~ cOwa cause difficulty w~en upgrading or deploying versio~_and-aIso make rollback 1extremely nsky
bull (U17P6t1Q) Th~ fault or w~Jlgdet~on wt a~omated h necessary reactions and ~nseswere l-ot- _ _ __ l software provided ~sirtipIe wayo-ooeck sta1=-o=v=an=o=us==s==----- parameters through a W~jntefface However when an operatorrecowizcSmiddota prolemne must actively initiate conective measures l $omeumes-thafaction is a simple matter such as restarting a process At
- Qilierfifues physical hardware must be changed No corrective action bull- -- -- middotmiddotmiddotCould be executed ifan operator was not present to initiate a corrective l lt~-~~~~~gt bull a_cti_middoto_n_____________________--
i~~~p~ B~36--~--~I~_~__~_~_~~_____~~__~_~ l -
middotmiddot-middotmiddot----Q1IFOUO 1HINTHREAD had no established process for managing 1 reqUiremen~
(UfFOtJO) Reonu~dtioiis~--Thefindings that led to the recommendations l would not have revented the successfuIaepJoYment ofTIIINTHRBAD to
~ e recommendations weremadetQmP2ve=tb=e__--- e ency ofTHINTHREAD after it was deploYedll____--
The follOwing is a list ofrecommendations l L-_~--
bull (P(FQafjJ Develop processes and acquire automated tools based on cIearIx stated specifications for controlling and measuring the l ~=hfc ntipn8tand technical performance ofTHINTHREAD
80
TOP SECRBINC01ltIlHpoundl289113
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Omiddot (b) 3J-PL 86-36
bull (UIfOUO) Acquire ~ ~mmercia1ly available conij~tioK~ntro system to enable verstorung rollback and configuration management0 The system should interface with the trouble ficketing systeM aitd the requirements management system to Provi9CfulJ traceabilitY
1 o bull (UiAFeUOjDevelop Stand~ ofP~6imance(iffutWeTIinfrHREADdevelopment crosses orgaruzationlUmiddotgroups) i
1 bull (UnO~A~tomate reactiqns and responses to the existin~ fulfIt ando warmng detection systemL ~ J - 1o
bull (U~ 1stBblish a requirements management process for
o uWAD that is linked tol---__~______---I
(U) Finding 7 Discussiono e number and skill mix ofTHINTHREAD nnel was
o ~1iI~~~~=~nnel required for
13 H L Seuro-36---planning-and executing-installatio so there was a lack of --cfocumentatioDtPIQviding the necessary mam anoo and help desk supporto oonfigurapon managemen~-and planningYlg~~~u1ing CpUectively thyse
o ~_ shortoommgs jeated a senous nsk to successful comp1eti0nL _ J 1 ~_ _ 1-_--I
(UlFOtJ~ Recommendations The finding presented serious risk to successful deployment ofTHINTHREAD It was recommended to continue to identify and o I=~lhord~ofsdll~=-= ired fur
ij ~~lt~~-
a i~~~-PL 86-36 (bJ (5)
ru
81
TOP SBCHETlJC9MINTHa~llla
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DOCID 3253346
TOP 8ECRlSTACQlHNTl19l91113
AppendixH (b) [l) (b) (3) -PL 86-36 i
~
~ (U) Introduction
i
(U) Needs Analysis Revisited i
1 82
TOI SBCRETlJCOIUIfIllIaga911a3
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(b) (3)-PL 86-36 (U) System Capabilities Overviews
~ The followin section outlines the strenJ
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(b) (1)
(b~ (3)-PL 86-36
Jmiddotmiddottbl (3)-PL 66-36
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ifoC1D 3253346 (b) (1) (b) (3)-PL 86-36
TOP SECRETeO~IINTl~911J~
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1 (U) Optimal System
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f0f SECREfeuro8lHNfHamp911~3 ~
(U) Cost Analysis middotmiddot(lJ-3JFbull L 86-36
IThotlblwiJfiiinhetica1 soenariiuiiaiiidliowr--------- ay produce a more effective result in terms ofigtOth complexity and cost
A ew assumptions apply
-
86 ft)p SECItEf88Mffft7t2991123
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(U) Conclusion o
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87
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1 NCLASSIFIEDJlFOR OFFleb~l uscAppendix I Glossary (U) BY COMPILATON WHEN ASSO
WITH REST OF D-OCU=t=~IE=N--T__---J 1 (U) r------------------------7b)-(3~)--ampP 86middot36 1
1 l 1 1 1 1
Consultative Committee for International Telegraph and Telephone (CCIT1) 1Consultative Committee for International Telegraph and Telephone is the International organization responsible for the development ofcommunications standards Now called 1 the International Telecommunication Union Telecommunication Standardization Sector
(b)(3) PL 86middot36
1 1 1 1
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88 1
lOP iECRampTllemtlNTl~Q2ttt13 1
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lb)(3)-P 86-36 I
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Elettronfc Industries As~odatlon (EIA) A group that specifies eJectrical transmission standards The Electronic Jndustries Association and Telecommunications Induslry I Association have developed numerous well-bown communications standards including l Electronic Industries Association and Telecommunications IndusfIy Association 232 and I Electronic Induslrles Association and Telecommunications Induslly Aosoclaion -449 I
(U)
89 TOP 8JpoundCMT~I~9]911aa
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TOP 8ECRETzcOMlNllIl29291123 1 1
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l International Telecommunication Union Telecommunkation Standardization ~ lSedor (lTV-T) International body that develops worldwide standards for
i
telecommunications teclmologies The International Telecommunication Union Telecommunication Standardization Sector carries out the functions ofthe former Consultative Committee for International Telegraph and Telephone l
i
International Organization for Standardization (ISO) International organization that is responsible for awide range ofstaruiards including those relevant to networking The l International Organization for Standardization developed the Open System Interconnection reference model a popular networking reference model
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I (b) (3) -T Institute of Electrical and Electronics Engineers (IEEE) 8023 Institute ofEIectrical and Electronics Engineers LAN protocol that specifies an implementation ofthe physical layer and the MAC sublayer ofthe data link layer Institute afElectrical and Electronics Engineers 8023 uses Carrier Sense Multiple Access Collision Detect access at a variety ofspeeds over a variety of physical media Extensions to the I Institute ofElectrical and Electronics Engineers 8023 standard specify implementations for Fast Ethernet
(b)3)-P L 86-36
Open System Interconnedion (OSI) International standard~tion program created by International Organization for Standardization and International Telecommunication Union Telecommunication Standardization Sector to develop standards for data networking that facilitate multimiddotvendor equipment interoperability
b)(3)-PL Se-S6
(U)
91
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Telecommunications Industry Associlltfon (IIA) Organization that developsstandards relating to telecommunications technologies Together the TelecommWlications Industry Association and the Electronic Industries Association have fOlDlalized standards such as Electronic Industries Association and Telecommunications Industry Association M232 for the electrical characteristics ofdata transmission
(b)(3)-PL ~6-36
(U)
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1 --_~(U~)----~---------(b(braquo)(3(3F)P1-1 186-36
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Appendix J ~esponse to Management Comments (U)
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NSA will a ee to conduct an independent e believe that it will validate all of the assertions niMein our reSpons--egoeImiddotmiddot tOf General recommendations
F=~criedd~~fffl it~ th~~~~nH1p nlan~uA wad dl Iill Iwhich was conaucteaIn an openmiddot ~on1o proVlae ffi~esl oenent lor Agency mISSIOn and customers More Importantly tfiere h~ been no eVldence
documented during this Office ofInspector General investigauQl1 that supports that complaint -~ lib) [3J-lL 86-36 ~
(8181) Audit Response The report doi ~l million e TRAILBLAZE
9S
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98
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(U~anagement Comments NSA recommended that the audit report emphasis NSAs cooperation and responsiveness to Congress
i
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(UIFOU8) Management Comments NSA recommended that the audit report emphasis that the THINTHRBAD capability is valued by NSA
99
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--------------~--------~---- shy
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100 TOP SKCImTfCOlUPftV29291123
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_DOCID 325334amp (b) 1 J (b) (3)-PL 86-36TOP poundECImTIfCOJIItIlW19291123
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102
TOP SRCREfllCOrHftllQlllllll
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103
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~Management Comments TRAILBLAZER welcomes an open revi~Qf
~
~--------------------------------------------------~~--~(Sf51) Management Comments NSAj~~~~en~t~d~o~es~n~ot~a~~w~ithlAllth~eDfIoD~~___ Office cfIns etor Generars assessmen
(SSij Audit Response We acknowledge the fact that the current scope ofthe TRAILBLAZER is to provide the infonnation technology ftamework for the entire
104
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DOOID 3253346 (p) (1) bl (3)-PL 86-36
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(euro) Management Comments NSA managements stated that TRAILBLAZER and ~e Technology Demonstration Platfonn have invested considerable effort to build a signal intelligence architecture that is open and scaleable applies DoQ commercial and NSA
s 1
107
TOP SKCUTMG~IltWGa911l3
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Ldelines oDoD Directive 50002~
bull
(Sl8I)Management Comments NSA management comments stated that the Executive ~f
Summarys assertion that NSA disregarded solutions to Uf2ent national security needs ~) (1) is not accurate ~p) (3) -50 USC 40 (1lt) (3)-PL 86-3
j
t~
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middotL__------------------------------------------~------------~
(SNSI) Audit Response NSA comments are inaccurate Major issues raised in the manaSement comments are addressed in the reoort sneciftcallvthe issue of
i
108
fOP SECRBlEi1QAHNYl~91911la
-middotDOCID 3253346 ~--~-l (b) (1)
~ lib) (3)-50 USC 403TOP SKCKK171C()AtltIflOloJIllb) (3) -PL 86-36
-tetMngmntco_t8-~anag~t sta~tI1a11Jl~ilJ~~ltJj~-tyen~~ll~fi~lt~~r~-alltcI~aJ~~ r--lt1eDonsclraI1poundlJ+ oJthe~TA Studys rmiddot~mnlmll1lI1middot0IlL_--_4_~-+---~_middotmiddotmiddotmiddotmiddot~
also needs clarification j
I
I I
~
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(UJ~anagementComments NSAmanag~ent comments stated th~t fue TRAILBLAZER has long-established plans for external assessment ofthe Techlology Demonstration Platfonn for prepamtion for IfliJestone B The Independent Veri1jcAtion and Validation (JVampV) of29 Evaluation Criteria is being conducted by NSAs independent Office ofCorporate Assessmmits Test and Technical Evaluation eleimthlt (TIE) The Early Operational Assessmentiand Operational Assessment will be perfonned by JlTC which had establisheda presence in TRAILBLAZER spaces ~y November 2003 Results ofboth activitieS will be provided to the Milestone Deciaio4 Authority before Milestone B
i (U~ Audit Response TRAILBLAZER postponed Milestone B schedul~ Ifor December 2004 because of technical issues with the Technology Demonstration Platfonn February 200S is the earllest date that TRAILBLAZER will be readr fr MILESTONE B I ~
i
~anagementComments NSA manaampmlmn ~mts staled thatJhe )
I==lYbeprov1a~Mtlone
(8ffSf Management Comments NSA management comments ~tated that the EXecUtile Summarys statement that TRAILBLAZER development wasted I--_____J
109
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BOCIB 326334amp middotmiddotmiddotpl (1) thl (3) -50 USC 403
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~ofdollars is not accurate As the middottlJlModemizanon Study obseni~ TRAILBLAZER is pot only about di~ptnietwork 7~ploitation but also encqIi7nasSs cultural transformation Ie pt9cesses and pohCles) --i ~~J
And although TRAILBLAZER is currently 11 tl1e L-re~v~erop=m=enr1-=ptas=-=elr-tr~-_-a~ dy delivered significant capabilities ~
~- ~ (SfJSl) Audit Response The NSA management comments are inacturate ~r Executive Sunmiary does not claim that TRAILBLAZER development wast
I Iofdollars Instead this phrase is only used to accurately describe p specific liotline complaint allegation that initiated this audit
~
l
110 1OP 8PCBlSTlIeuro1lDfTlIl(tl9111~
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~anagement C~mments NSA management comments also qhestions the ~~=====z-=-~~==~=-~=~~~~essed=rstudies and
d stated that the
(s) Audit Response We have documented infonnation to support this statement
however because of fear ofreprlsru we agreed to keep the sources anonymous
111
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I ~Audit Response Our wording reflects information received from our so~ces We reviewed all ofthe comments below and checked our sources and made adjustlpents as required
112
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TI Appendix K Report Distribution (U)f[]
r[] (U)
Office of the Secretary ofDefense
11 Under Secretary ofDefense for Acquisition Technology and Logistics Under Secretary ofDefense (Comptroller) Under Secretary ofDefense for Intelligence
11 Assistant Secretary ofDefense for Netwerks and Infonnation Integration
11 Other Defense Organization
Director National Security Agency Inspector GeneraJ Natienal Security Agency1] Inspector General Defense Intelligence Agency Inspector General National Geospaual-Intelligence Agency Inspector General Natienal Reconnaissance Office
II Congressional Committees and Subcommittees Chairman and
Ranking Minority Member] Senate Subcommittee onDefense Committee en Appropriations Senate Committee on Anned Services] Senate Select Committee on Intelligence House Subcommittee on Defense Committee on Appropriations House Committee on Armed Services House Permanent Select Committee on Intelligence]
(11)]
]
]
]
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J 113
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National Security AgencyCentral Security Service Comments (U)
bull lampPIBatiflJJee1BftHD
NATIONAL SECURITY AGENCI CENTRAL SECURITV SERVtCI
OiIf ~amp II JUHt tuInlJlHO IOTSshyltIgt l~ AUgust 2004
StmJBCT (ll) Audit ofthe ~ for tbo TRiULlUAZBR ud 1HlNIHRBAD SYma dampbed 111llO 182004 (Projec No D2OO3AL-OlOO)
Deputy ChiefofStaff
raatNt-s__n IN bull D It
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1
SECURITY CLASSIFICATION f(FiJ ( Cl 1 ] 1NSA STAFF PROCESSING FORM
TO
IKCC CONTROL NUMBERCoS DC09-017-05 THRU ACTION eXREQ SUSPENSE
~=-c=---------------------l 0 APPROVALSUBJECT KCC SUSPENSE (U) (COP liJIiCRSlIIGOMUffl Office of the IG of the Department of IX] SIGNATURE
ELEMENT SUSPENSEDefense Report on TRAILBLAZER and THINTHREAD Systems 0 INfORMATION
DISTRIBUTION
SUMMARY (u)
PIJRPOSE (GONFIDENFfAIoS202911pound3) Attached for your review and signature is the NSA consolidated response to the report from the DoD OIG on requirements for TRAILBLAZER and TIDNTHREAD systems
End als
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OFFIce NAME AND DATE OFFICE NAME AND OAlE
ORG PHONE (Secure OATE PREPARED
DC09 963-5021 11 February 2005
SECURITY CLASSIfICATIONDerived from NSAlCSSM 1-52
DATED 23 November 2004 Declassify On 20291123
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NATIONAL SECURITY AGENCY FORT GEORGE G MEADE JiARY~AND 20755-6000
11 February 2005
MEMORANDUM FOR DEPUTY ASSISTANT INSPECTOR GENERAL FOR INTELLIGENCE AUDITS
SUBJECT (UIFOUO) DoD OIG Audit Report Requirements for the TRAILBLAZER and THINTHREAD Systems1 dated December 15 2004 (Report OS-INTELshy03 Project No D2003AL-OlOO) - INFORMATION MEMORANDUM
(UIFtJtJ9+In response to the DoD OIG request for additional information on the TRAILBLAZER and THINTHREAD report NSACSS provides consolidated corporate comments from our Signals Intelligence Directorate Acquisition Organization and Information Technology Infrastructure Services Organization (now the Infalmation Technology Directorate)
NSAlCSS Resllonse
-teTSubsequent to the DoD OIG report the TRAILBLAZER Milestone has been I scheduled for late in the fourth quarter of FYOS from the previously scheduled earlyenr MS B Accordingly this now allows sufficient time for the conduct of the assessmeftt recommended by the DoD OIG
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MARIA N OCONNOR Chief ofStaff
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CONFfDENJfAIffS9291123
NSA STAFF PRO ESSING FORM EXflEG CONTROl NUMBER J(CC CONTROl NUMBER
DA4-04-05 ACTION EXAEG SUSPENSE
-------~_______________I fi] APPROVAL SUBJECT KCC SUSPENse (U~THINTHREAD I TRAILBLAZER 1G [iJ SIGNATURE
ELEMENT SUSPENSEAUDIT REPORT 0 INFORMATION
DISTRI8UTION
SUMMARV
PURPOSE (UtFeYO) To provide the recommended PEO input to the consolidated NSA response regarding actions requested by the final Department of Defense (DoD) Office ofInspector General (OIG) report 05-INTEL-03 Requirements for TRAlLBLAZER and THINTHREAD Systems of 15 December 2004
-tarIn response to ~hidraft7 in August the Agency concurred with comments ~-Tpe following is an excerpt fr9mthose comments laquo The Program Executive Office (PEO) is ta1tingmiddotth~ lead in estab1ishin~an independent review teruv- for Derforming this assessment with the intentiqn that itsJesuIts will be completed in timet I
f IMilestone B documentationraquo
~At the time of this statement (Aug (04) the TRAILBLAZER Milestone B (MSB) was scheduled for December (04 When the final report was published the PEO Assessment had not yet begun Concerned that the assessment could not be completed in time to support a December milestone the DoD OIG requested via the final report that they be provided NSA plans to eliminate the cost and schedule risks for completing the assessment
(GtSince release of the final Audit Report a DIRNSA-Chartered Transformational Advisory Panel (TAP) recommended TRAILBLAZER be rebaselined The MBB is now planned for late Fourth Quarter FY05
COOROINAilONIAPPROVAl
OFFICE NAME AND DATE OFFICE NAME AND DATE sg~degtt~tii
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l)A4 963-7368 - 8 February 2005 -~---
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~ (U~he development of this resP~98en~~en coordinated Wit~r-----lmd the TRAILBLAZER Program Manag~m~nt Office
~ RECOMMENDATION
1 (UJFeiffe1 A form~lRfsk Mitigation Plan is not recommended The PEO is committed to cogducting the assessment The team is currently being fOlriled a kick-offm~gjsj)Ianned for March and the team is expected to report to MrJ II INLT May 31st The cost and schedule impact ofconducting the assessment pose very low risk to the Transformational Programs
2 (UIF8YGl Recommend the response provided as an attachment be forwarded to the DoD OIa as part of the Agencys consolidated response to the Final Report
DOCIDe 3253346
1 1 Team Members (U)
(U) The Office of the Deputy Inspector General for Intelligence ofthe Department ofDefense Intelligence-Audit prepared this report Personnel ofthe Office ofthe Inspector General ofthe Department ofDefense who contributed to the report are listed below
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l (SlfSf) NSA Modernization Studies Thefirst NSA Modernization Stu4Y July 200It was conducted by The National Technology Alliance National penterfor Applied Technology after a thorough review ofon1roin~ activities withfu the TRAILBLAZER Program Management Officq 1
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(U7FOYQ) The National Center for Applied Technology issued a second report a quick-Iooklt follow-on to the first report in December 2001 The Chie-4 Signals Intelligence Programs invited the original study team to conduct a foI1ow- OD study to evaluate progress within the TRAlLBLAZER Program Management Office Despite noting some changes made in NSA management and the TRAILBLAZER Programs acqUisition strategy that promised to address the conflicts and issues DOted in the first report the study team found that
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(TSltsI)Studies Prior to THINTHREAD deployment the Technology Test and-I Evaluation Assessment Mar~ 25 2002 advised that the f~1Qwingj I 1 IactIOns be ~~~t------middotmiddot-middot-middot-~middot-
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86-36-1 ~----------------------------------------~
(U)Summary
(U) Management Comments on the Finding and Audit Response
(UJIIOtiO) ~ementComments The NSA management stated that the draft report did not mclude significant information or included wrong or misleading information The tomplete list ofmanagement tomments is in the Management Comments section ofthis report
23
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(U~Audit Response We obtained revieweG and analyzed many documents and we interviewed several NSA and contractor personnel to form the conclusions in this report We included all infonnation relevant to support the report findings and rCCQmmendatlons Many people we interviewed asked not to be identified fur fear ofmanagement reprisal We gathered information from many sources to support the finding Paragraphs frequently contain information from several sources to reinforce conclusions Based on management comments we made various editorial changes to the draft report See Appendix J for a completed audit responSe to each management comment
(U) Recommendations Management Comments and Audit Response
_middotmiddotmiddotmiddotmiddotmiddot1 __ L_______________________-1
(U) A We recommend that the Director National Seurity AgencyChief Central Security Service
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J (U) The National Defense Authorization Act for FY 2002 stated that
J (b) (l) (b) (3)-50 USC 403 ftfSlISij The NSA has clearly Ill8de great strides in seeking to
J bl (3)-PL 86-36 uansform itself in many areas However the NSA appeaIB to have
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J J (SNSI) en March 24 2000 the Director NSA signed the TRAlLBLAZER 1
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1 S7tsQneeds-unrestrained by past practices or past technologies TRAILBLAZER 1 had the following key responsibilities 1
bull (UtfiOOO) Ensure the execution ofa new NSA program transfonning the us Cryptologic System exploitation ofthe global network Map detailed digital network exploitation mission requirements to a cryptologic architecture and implement them and 1
bull (U~Act as the catalyst for transforming customer interaction and operational practices Begin the retooling ofNSA 1programmatically technologically and culturally to provide mission services and capabilities that are responsive to the emerging technology and customer needs 1
____- ___-----middot(lJ)IL--_____----I~RAILBLAZER (1) 1
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J - middot-middotmiddotmiddotmiddot middotmiddot middot-WhtNSAlfOderntzanOIl Study The House Permanent Select Committee - onlnteligence directed-th~ first NSA Mod~tion Study July 2001 which
was ~nauct~ by The NatiottalT~ologyAlliance 1lati0Jl1l ~enter fo Applied TechiiolQW After a thorough--re-lew rfommmg 8ctifjes Wltbm tbeJ TRAILBLAZER Pro~Management OffiCe_ __
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-(SSf) Seeolld NSA Modernization Study A second National Center for Applied Technology report a quick-look follow-on report was completed inJ
December 2001 The Chief Signals Intelligence Programs invited the original
study team to conduct a follow-on study to evaluate progress within the] TRAILBLAZER Program Management Office Despite noting some changes
J made in NSA management and the TRAlLBLAZER Program acquisition strategy that promised to address the conflicts and issues noted in the fust report the study team found that
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J J ] (U) Summary ofManagement Comments on the Audit Finding
and Audit Response
J (UIFOlJet Management Comments NSA management referred to several statements in the report that did not include all referenced documents and that some paragraphs contained wrong or misleading information The complete listJ ofmanagement comments is located in the Management Comments section of this report
J (UJIiOff6) Audit Response We obtained reviewed and analyzed many documents to form the basis for the conclusions in this report We also interviewed several NSA and contractor personnel many ofwhom asked not to be identified for fear ofmanagement reprisal We ga~ered infonnation from
J J many sources to support the finding Paragraphs frequently contain infonnation
from several sources to reinforce conclusions See Appendix] for a complete audit response to each IDlUlagement comment
J (U) Recommendations Management Comments and Audit
Response lIb) (l (b) (3)-PL 86-36
j (b) (5)
(~RevisedRetommendatlon As a result ofmanagement cdmmei~ we
J IreV1sed Recommendations Bt and B3 to ctarlfythe intend1Use of
1 (UI1FOUQlYe recommeDd that the Director National Security J AgencyChlef Central Security Service ----------------------~~I (QDesJmatea team to 1 IJ
J (UIFOUO) Manlgement Comments The Director National Security AgencyChief Central Security Service partially concurred with the intent ofthe recommendation but was waiting for the results ofa cost and schedule impact J study before fully concurring The Program Executive Office is establishing an
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(U~) independent review team to complete the study before Milestone B scheduled for December 2004 because the study win have an effect en both the cost and schedule fer Milestone B
-(eT~~IitJlesponse Based on management comments we revised this l IrecommendatiQn The Director National Security AgencyChief Central
Security Servicecomments were responsive and the proposed actions meet the intent ofthe recomTneIJdation The immediate actions taken to designate an independent review teamt~ perfonn the assessment are commendable JMilestone B has slipped to Feb ~~maumu~wmiddotstJmiddotruamamJllSl~illJilmllL- time to com 1ete the assessmeii
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TRAILBLAZER Teclmology Demonstration Platform Milestone Decision Authority (or use in making the ~estoneB decision J (Uf~Management Comments The Director National Security AgencyChief Central Security Service concurred The completion ofthe independent assessment is currently scheduled fer December 2004 J (U~AuditResponse Although the Director National Security AgencyChief Central Security Service concurred the concurrence is based on ]completing the assessment requested in Recommendation B1 We request that the National Security Agency management provide additional comments in response to the final report identifying NSA plans to eliminate the cost and ]schedule risks for completing the assessment
J (U~ _gemeat 6mments Tho Director National Security ]
- Ag~cy~ef-Gentrals~tyB~1~t~_~115urredt andjWtil that the assessment middotmiddot~middot -___teQuired m Recommendation B1 WIll De mcludedm-thL_______--
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Appendix A Scope and Methodology (U) ~ ~ 1 1 -
(UitFooo-We reviewed documentation dating from November 200Qlu~~gh October 2003 including background infonnation mission and operatiQUat ri~ statements concepts and operational requirements and contracting ana budget 1 documents Also we conducted interview
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(U) We performed this audit from Apri12003 through May 2004 in accoid~ce with generally accepted government auditing standards
(UffFOUQ-Umitation to Scope Because our objective was limited to
1
evaluating a Defense Hotline allegation relatingto the acquisition ofthe TRAILBLAZER and THINTIlREAD nrolttatns we did not review the roanalement control nroenunl i 1
1 ~
l (U) Use of Computer-Processed Data We did not use computer-processed data to perform this audit
1 1 (UfPOUO) Use ofTechnical Assistance Audit Follow-up and Teehnical Support Personnel assisted us during the audit The Technical Assessment Division assisted in the analysis ofNSA acquisition I l (V) General Accounting Office High-Rlsk Area The General Accounting Office has identified several high-risk areas in DoD Thisreport provides l coverage ofthe Infrastructure Inefficiencies and Infonnation Technology Investments high-risk areas l
(U) Prior Coverage
(UIFOE1OlDuring the last 5 years the Inspector General ofthe NSA issued one l report on TRAILBLAZER that discussed improperly based contract ~st increases non-eonfonnance in the management ofthe Statement ofWark and excessive labor rates for contractor personnel No prior coverage has been l conducted on the NSA THINTHRJAD Program during the last Syears
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Q (U~eportNo ST~03middot0014 TRAILBLAZER lISIGINTPrograms Systems Engineering and Te()1mica1 Assistance Contract September 30 2004 o
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(U) Objectives of TRAILBLAZER and the Technical Demonstration Platform
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Q (U) Recommendations There were no reconunendations
(U) Finding 2 Discussion Q
bull
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(U) Recommendations See the recommendations for rnlNTHRBAD Findings I 3 through 7 to address these risks
J I 1
J J bull
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bull J bull
J bull
J bull (U) some THINTHREAD files could not be viewed to pursue ooaective actions
J 75 TOP SBCRBTtJC91HNTll29191133
J -~~---------------------------------
BOGID 329334
TOP SBCRETlaquotSOMJl5ITJl1019111J
(ulP6OO) Recommendations The issues previously mentioned would not
i~______________________________~______________~ i
06 Finding 3 Discussion
iii (U) There was minimal user system technical or programmatic documentation
The existing documentation was insufficient to support the planned deployments
bull (U) There was no user documentation on how to use the tool That was inefficient and could lead to a significant increase in user error
Difficulties using the tool can also lead to an increase in support calls that
l drained project resources
i l
bull (U) TIUNTHREAD did not have a clearly stated documented set of ~ mission goals or objectives There was no program plan making it
l
difficult to communicate infonnation about THINTImEAD at a
1 pmogrwrrunaticleveL
bull (U) A deqilled schedule including all activities related to the system and it deliverables before during and after deployment was not available A
J high-level schedule containing the chronology ofdeployment was if developed but a detailed schedule was essential for proper resource middot1i~1~~~t~ L 86-36 management costing and prediction
bullbullbullbullbull~_ ~~b~ ~~-~_bullbull
~_o_ -~ c-~gt (U) No installation and maintenance documentation was completed for -~~ -- lt=Jit~rtpersonnel although the team was working with the pilot site
~~- to ~evelOpinstald~atiQ1 dOC~rtation ad ofinstallatioD and --lt- mampntenanceOj-entatio
~ltj- ---t~----------- I _ ---- -- -- _-
bull (U) There~unQoperational support documtanonl - Lack ofsupport documIDtation could adversely affect timely correction or - Inrohtems and CQUll1eadtcf I
(U) The effects ofminimal documentation could be overcome ifan integrated team accomplished the development and deployment ofTHINTHREAD
76 TOP SRCHTIeuroOiHNlf1l28291123
reID 3253346 flgt) (3-PL 86-36
bullbullo o
(U1F9OO) Recommendations Develop necessary docwnentation ni4t would
o Q necessitate an increase in the personnel devoted to documenting the systerh but is
essential to the successfuJ deployment and operation ofTIIINTHREAD The lack of this documentation presented a serious risk to the successful deployment Of THINTIIREAD
(U) Finding 4 Discussion ~
o AMiJOlO) Deg10wenl pJinwas slow to ~
J bull (UFf3UOlHi8toricaUy~ the TIIINTHREAD Program Team focused on
J the Drototvoe demonstration at the Dilot site The s scone did not
bull
J ]
~ IJ J bull (UIfIOUO) O~ ent and operation
were not identified The relationsbips between work roles throu out e system s life cycle were not defined The authorities for each work role bad not been identifiedJ The organizational structure set forth by the THINIHREAD Program Team focused on system development and did not address system
]
J 77 TOP SBCRRTApoundOAHNTlllN911a3J
noelD 325334
W~) dw1oymentl I A ]ThemmTHRBAD Program Team was defiriirig the
_l~-~~~~~~~~~l a~iionalwork roles necessary for deployuienl activities I
(bj (3) - P L 86-3 6 bull (U) THlNTHREAD did not identifY all the organizations requiring coordination through the various stages ofdeployment
(UiifofJoLRecommendations The findings presented a serious risk to successful deployment ofTHINTHREAD To mitigate those risks the following recommendations were suggested
-bull
(b) (3)-P bull L 66-36 bull (b) (5)
---_ bull shybull
(U) Finding 5 Discnssion l (UIFOY~ Xhe customer service and user support processes for THlNTHREAD weremanualIy in~ensive and directly involved the technical staff l
bull UJ1i10U~ The quality Ofservi~_aqg~IbeCeiv----Psing ________ -==-TIUNJlIREADwmnoonsistnt SomC1I1teiVieWedby
(b(3j-=P ~ i---6636 --- TeSiTechnology and Evaluati~Jl ~eam VIewed tlie T4ITHRBAr l --==--_--0___ ~oram Tea~ to b~ unresponsIve mg~eral customa support while-----=+--- __ )xEI1enced good responsIveness to then- requests for
ttions or mOOifi~tions1 I l bull (UIIPOUQ) There was no formal trouble ticket mechanism in place Ifa
user or operator had a problem with TIiIN1HRBADs he contacted someone on the THINTHRBAD Program Team This contact depends on l personal acquaintance because no list ofTHINTHREAD personnel was readily available and there was no mechanism to locate the proper TIflNTHRBAD contact Similarly the status ofthe response to a request l could only be leamed by personal contact
bull (UllFOf167 There was no formal mechanism for managing externally lgenemted requirements to include submitting a new requirement to THINTHREAD or for following the progress ofthe work
l78 FOP SHCREfNCOMINTIl29991123
l
rrC1D 3253346
fOP SECREfeuroiOlfHrff1129291123
o bull (U~ team was in charge of
maintainin itb just a few userso _ middotmiddot--ihafpemon was a e to_~jer_orc ang ccording to user - - ______ requests-middotreceived (il1Ule telephone or by e-nw owever as more users
3) _PmiddotmiddotmiddotL---8middot~~ are added one person may have difficulty meeting the increased demand o - ------n-ThelackofperBQll~~~y become a problem as =INJHREAD was scaled to handle an lOcreas-eduserlo~ _ I
o o o bull (UFeYQ) A list ofWeb interface functionalities p~~pose4
was not incorporated into TIIINTHREAD 1-----1
o o
(UtfPOBe) There was nomiddot ptOQeSs for controllin~ and measuring operational programmatic and technical performance effectiveness ofTHINTIIREADJ once deployed
bull (UJlI6ttQ) TIIINTHREAD did not have a clearly stated set ofsystem specifications or a method to validate the THINTHREAD concept or perfonnance results Thus there was no way to determine ifthe system
79
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DOCIDe 6253346
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(euroUIFOOS] was successful or ifit failed which may lead to confusion in stakeholders understanding ofthe success ofTHINTHREAD 1bull (Uf~INTHREAD bad mechanisms for assessing progress and status within the system development phase However there were no systematic consistent mecbanisms for overall program measurement which included identifying test criteria establishing program schedules 1 and documenting a system baseline to address progress No feedback mechanisms had been identified such as risk management or contingency planning 1
bull (UIfffit6) Aside from schedule control there were no tools to measure progress towards program objectives because there were no formalized program objectives 1
bull (UFeuroffJe) THINTHREAD did not have Standards ofPerfonnance established for personnel developing THINTHREAD Iffuture 1TIlINTHREADdevelopment crosses organizational groups a common set ofStandards ofPerfonnance for personnel may become necessary
bull (UIfeOO) There was no configuration management process which could 1 pose a~sk when reporting system ~ro~lems and correcting tt~ I In addition the lack ofa configuration management prtl~ cOwa cause difficulty w~en upgrading or deploying versio~_and-aIso make rollback 1extremely nsky
bull (U17P6t1Q) Th~ fault or w~Jlgdet~on wt a~omated h necessary reactions and ~nseswere l-ot- _ _ __ l software provided ~sirtipIe wayo-ooeck sta1=-o=v=an=o=us==s==----- parameters through a W~jntefface However when an operatorrecowizcSmiddota prolemne must actively initiate conective measures l $omeumes-thafaction is a simple matter such as restarting a process At
- Qilierfifues physical hardware must be changed No corrective action bull- -- -- middotmiddotmiddotCould be executed ifan operator was not present to initiate a corrective l lt~-~~~~~gt bull a_cti_middoto_n_____________________--
i~~~p~ B~36--~--~I~_~__~_~_~~_____~~__~_~ l -
middotmiddot-middotmiddot----Q1IFOUO 1HINTHREAD had no established process for managing 1 reqUiremen~
(UfFOtJO) Reonu~dtioiis~--Thefindings that led to the recommendations l would not have revented the successfuIaepJoYment ofTIIINTHRBAD to
~ e recommendations weremadetQmP2ve=tb=e__--- e ency ofTHINTHREAD after it was deploYedll____--
The follOwing is a list ofrecommendations l L-_~--
bull (P(FQafjJ Develop processes and acquire automated tools based on cIearIx stated specifications for controlling and measuring the l ~=hfc ntipn8tand technical performance ofTHINTHREAD
80
TOP SECRBINC01ltIlHpoundl289113
rlCID 3253346bull TOP SIiCRETIJCOltHNTll29191123
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bull (UIfOUO) Acquire ~ ~mmercia1ly available conij~tioK~ntro system to enable verstorung rollback and configuration management0 The system should interface with the trouble ficketing systeM aitd the requirements management system to Provi9CfulJ traceabilitY
1 o bull (UiAFeUOjDevelop Stand~ ofP~6imance(iffutWeTIinfrHREADdevelopment crosses orgaruzationlUmiddotgroups) i
1 bull (UnO~A~tomate reactiqns and responses to the existin~ fulfIt ando warmng detection systemL ~ J - 1o
bull (U~ 1stBblish a requirements management process for
o uWAD that is linked tol---__~______---I
(U) Finding 7 Discussiono e number and skill mix ofTHINTHREAD nnel was
o ~1iI~~~~=~nnel required for
13 H L Seuro-36---planning-and executing-installatio so there was a lack of --cfocumentatioDtPIQviding the necessary mam anoo and help desk supporto oonfigurapon managemen~-and planningYlg~~~u1ing CpUectively thyse
o ~_ shortoommgs jeated a senous nsk to successful comp1eti0nL _ J 1 ~_ _ 1-_--I
(UlFOtJ~ Recommendations The finding presented serious risk to successful deployment ofTHINTHREAD It was recommended to continue to identify and o I=~lhord~ofsdll~=-= ired fur
ij ~~lt~~-
a i~~~-PL 86-36 (bJ (5)
ru
81
TOP SBCHETlJC9MINTHa~llla
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DOCID 3253346
TOP 8ECRlSTACQlHNTl19l91113
AppendixH (b) [l) (b) (3) -PL 86-36 i
~
~ (U) Introduction
i
(U) Needs Analysis Revisited i
1 82
TOI SBCRETlJCOIUIfIllIaga911a3
1Hb1 (3)- E bull L 86-36 H
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(b) (3)-PL 86-36 (U) System Capabilities Overviews
~ The followin section outlines the strenJ
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DOCID 3253346 1 1
(b) (1)
(b~ (3)-PL 86-36
Jmiddotmiddottbl (3)-PL 66-36
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ifoC1D 3253346 (b) (1) (b) (3)-PL 86-36
TOP SECRETeO~IINTl~911J~
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1 (U) Optimal System
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TOP S~euroRB1lf8fftNflliampll3]
DOCID 325334 (b) (1) (b) (3)-PL 86-36
f0f SECREfeuro8lHNfHamp911~3 ~
(U) Cost Analysis middotmiddot(lJ-3JFbull L 86-36
IThotlblwiJfiiinhetica1 soenariiuiiaiiidliowr--------- ay produce a more effective result in terms ofigtOth complexity and cost
A ew assumptions apply
-
86 ft)p SECItEf88Mffft7t2991123
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(U) Conclusion o
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Q o Q o
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Q TOP SGCRBTh09]11IHrl1939113a
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1 NCLASSIFIEDJlFOR OFFleb~l uscAppendix I Glossary (U) BY COMPILATON WHEN ASSO
WITH REST OF D-OCU=t=~IE=N--T__---J 1 (U) r------------------------7b)-(3~)--ampP 86middot36 1
1 l 1 1 1 1
Consultative Committee for International Telegraph and Telephone (CCIT1) 1Consultative Committee for International Telegraph and Telephone is the International organization responsible for the development ofcommunications standards Now called 1 the International Telecommunication Union Telecommunication Standardization Sector
(b)(3) PL 86middot36
1 1 1 1
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1
88 1
lOP iECRampTllemtlNTl~Q2ttt13 1
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(U)
lb)(3)-P 86-36 I
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1
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Elettronfc Industries As~odatlon (EIA) A group that specifies eJectrical transmission standards The Electronic Jndustries Association and Telecommunications Induslry I Association have developed numerous well-bown communications standards including l Electronic Industries Association and Telecommunications IndusfIy Association 232 and I Electronic Induslrles Association and Telecommunications Induslly Aosoclaion -449 I
(U)
89 TOP 8JpoundCMT~I~9]911aa
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noeID 3253346
TOP 8ECRETzcOMlNllIl29291123 1 1
(U)
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1 ~b)(3)middotP 86middot36
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l International Telecommunication Union Telecommunkation Standardization ~ lSedor (lTV-T) International body that develops worldwide standards for
i
telecommunications teclmologies The International Telecommunication Union Telecommunication Standardization Sector carries out the functions ofthe former Consultative Committee for International Telegraph and Telephone l
i
International Organization for Standardization (ISO) International organization that is responsible for awide range ofstaruiards including those relevant to networking The l International Organization for Standardization developed the Open System Interconnection reference model a popular networking reference model
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TOP SECREfllCOfltHffFll289113
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I (b) (3) -T Institute of Electrical and Electronics Engineers (IEEE) 8023 Institute ofEIectrical and Electronics Engineers LAN protocol that specifies an implementation ofthe physical layer and the MAC sublayer ofthe data link layer Institute afElectrical and Electronics Engineers 8023 uses Carrier Sense Multiple Access Collision Detect access at a variety ofspeeds over a variety of physical media Extensions to the I Institute ofElectrical and Electronics Engineers 8023 standard specify implementations for Fast Ethernet
(b)3)-P L 86-36
Open System Interconnedion (OSI) International standard~tion program created by International Organization for Standardization and International Telecommunication Union Telecommunication Standardization Sector to develop standards for data networking that facilitate multimiddotvendor equipment interoperability
b)(3)-PL Se-S6
(U)
91
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Telecommunications Industry Associlltfon (IIA) Organization that developsstandards relating to telecommunications technologies Together the TelecommWlications Industry Association and the Electronic Industries Association have fOlDlalized standards such as Electronic Industries Association and Telecommunications Industry Association M232 for the electrical characteristics ofdata transmission
(b)(3)-PL ~6-36
(U)
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1 --_~(U~)----~---------(b(braquo)(3(3F)P1-1 186-36
1 1 1 1 1 1 1 1 1 l
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-DOGID aaSaa46
Appendix J ~esponse to Management Comments (U)
bullbullbullbullbull
bullbullbullbullbullbullbullbullbullbullbullbull
bullbull
- ~gt~
~ -
yshy
~)l) [bl (3)
~
gt
NSA will a ee to conduct an independent e believe that it will validate all of the assertions niMein our reSpons--egoeImiddotmiddot tOf General recommendations
F=~criedd~~fffl it~ th~~~~nH1p nlan~uA wad dl Iill Iwhich was conaucteaIn an openmiddot ~on1o proVlae ffi~esl oenent lor Agency mISSIOn and customers More Importantly tfiere h~ been no eVldence
documented during this Office ofInspector General investigauQl1 that supports that complaint -~ lib) [3J-lL 86-36 ~
(8181) Audit Response The report doi ~l million e TRAILBLAZE
9S
FOP SfiCRBtYICOMlN1Yli92911la
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96 TOP SBCRJITIIC8f1fBUTIl29291123
DOCID 3253346 b) (1) fp) (3)-PL 86-36
--TOt SfJCRBThCO~IIN1l~Qa9111a
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TOP SKCIYSTJlC0Mlt4TJllQ1P111l
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98
tOP SECRfi~4Ie8rHNfl891123
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-DOCIDe 3253346 (b) (1) (b) (3)-PL 86-36
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i
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(U~anagement Comments NSA recommended that the audit report emphasis NSAs cooperation and responsiveness to Congress
i
i
(UIFOU8) Management Comments NSA recommended that the audit report emphasis that the THINTHRBAD capability is valued by NSA
99
TOP SRCHTllC8M1ftT1I299tt3
--------------~--------~---- shy
(b) (1)DOCID 326334i (b (3-PL 86-36
TOP SF3CRET-C~ifHTJ292911a3
100 TOP SKCImTfCOlUPftV29291123
--------_-------------------------- shy
_DOCID 325334amp (b) 1 J (b) (3)-PL 86-36TOP poundECImTIfCOJIItIlW19291123
(fJlSI)Ma
101
fOP SBCR1lfllCOrHNlVl28113
(b) (1) tb) 3) -so usc 403DOOID 3253346 (1) (3)-PL 86-36
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102
TOP SRCREfllCOrHftllQlllllll
f)OCID 326334 (b) (1) (b) (3)-PL 86-36
YOf SRCREfHe6J1fHNFl2929112~middot
103
TOP SECRIlTHeuro8ltIRiTll9l91113
DOCID 3253346
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~-
~Management Comments TRAILBLAZER welcomes an open revi~Qf
~
~--------------------------------------------------~~--~(Sf51) Management Comments NSAj~~~~en~t~d~o~es~n~ot~a~~w~ithlAllth~eDfIoD~~___ Office cfIns etor Generars assessmen
(SSij Audit Response We acknowledge the fact that the current scope ofthe TRAILBLAZER is to provide the infonnation technology ftamework for the entire
104
TOP 81SCBETIIC91HHfW29l9111iJ
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DOOID 3253346 (p) (1) bl (3)-PL 86-36
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(b) (1)DeeID 3aS334e (b) (3) -50 USC 403 b) (3)-PL B6-36
1
TOP SpoundCRSIlIC811tl1l11lJDltll13
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rOC1D 3253346 lib) (1) Kb) (3) -50 USC 403 ihl (3)-PL 66-36TOP SECRET1euro9MINT1I29291123
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~ t - S ~
i
1
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(euro) Management Comments NSA managements stated that TRAILBLAZER and ~e Technology Demonstration Platfonn have invested considerable effort to build a signal intelligence architecture that is open and scaleable applies DoQ commercial and NSA
s 1
107
TOP SKCUTMG~IltWGa911l3
DOC)]) 3253J4i TOP SECREThCOlflNTlllOlsn 12 3
Ldelines oDoD Directive 50002~
bull
(Sl8I)Management Comments NSA management comments stated that the Executive ~f
Summarys assertion that NSA disregarded solutions to Uf2ent national security needs ~) (1) is not accurate ~p) (3) -50 USC 40 (1lt) (3)-PL 86-3
j
t~
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middotL__------------------------------------------~------------~
(SNSI) Audit Response NSA comments are inaccurate Major issues raised in the manaSement comments are addressed in the reoort sneciftcallvthe issue of
i
108
fOP SECRBlEi1QAHNYl~91911la
-middotDOCID 3253346 ~--~-l (b) (1)
~ lib) (3)-50 USC 403TOP SKCKK171C()AtltIflOloJIllb) (3) -PL 86-36
-tetMngmntco_t8-~anag~t sta~tI1a11Jl~ilJ~~ltJj~-tyen~~ll~fi~lt~~r~-alltcI~aJ~~ r--lt1eDonsclraI1poundlJ+ oJthe~TA Studys rmiddot~mnlmll1lI1middot0IlL_--_4_~-+---~_middotmiddotmiddotmiddotmiddot~
also needs clarification j
I
I I
~
i
(UJ~anagementComments NSAmanag~ent comments stated th~t fue TRAILBLAZER has long-established plans for external assessment ofthe Techlology Demonstration Platfonn for prepamtion for IfliJestone B The Independent Veri1jcAtion and Validation (JVampV) of29 Evaluation Criteria is being conducted by NSAs independent Office ofCorporate Assessmmits Test and Technical Evaluation eleimthlt (TIE) The Early Operational Assessmentiand Operational Assessment will be perfonned by JlTC which had establisheda presence in TRAILBLAZER spaces ~y November 2003 Results ofboth activitieS will be provided to the Milestone Deciaio4 Authority before Milestone B
i (U~ Audit Response TRAILBLAZER postponed Milestone B schedul~ Ifor December 2004 because of technical issues with the Technology Demonstration Platfonn February 200S is the earllest date that TRAILBLAZER will be readr fr MILESTONE B I ~
i
~anagementComments NSA manaampmlmn ~mts staled thatJhe )
I==lYbeprov1a~Mtlone
(8ffSf Management Comments NSA management comments ~tated that the EXecUtile Summarys statement that TRAILBLAZER development wasted I--_____J
109
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BOCIB 326334amp middotmiddotmiddotpl (1) thl (3) -50 USC 403
OP SJBCRETC01tnNTl~9~1123 (~)( 3 - P L 86-36 -~ftt t
-$ -~ ~
~ofdollars is not accurate As the middottlJlModemizanon Study obseni~ TRAILBLAZER is pot only about di~ptnietwork 7~ploitation but also encqIi7nasSs cultural transformation Ie pt9cesses and pohCles) --i ~~J
And although TRAILBLAZER is currently 11 tl1e L-re~v~erop=m=enr1-=ptas=-=elr-tr~-_-a~ dy delivered significant capabilities ~
~- ~ (SfJSl) Audit Response The NSA management comments are inacturate ~r Executive Sunmiary does not claim that TRAILBLAZER development wast
I Iofdollars Instead this phrase is only used to accurately describe p specific liotline complaint allegation that initiated this audit
~
l
110 1OP 8PCBlSTlIeuro1lDfTlIl(tl9111~
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~anagement C~mments NSA management comments also qhestions the ~~=====z-=-~~==~=-~=~~~~essed=rstudies and
d stated that the
(s) Audit Response We have documented infonnation to support this statement
however because of fear ofreprlsru we agreed to keep the sources anonymous
111
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~l ~
I ~Audit Response Our wording reflects information received from our so~ces We reviewed all ofthe comments below and checked our sources and made adjustlpents as required
112
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TI Appendix K Report Distribution (U)f[]
r[] (U)
Office of the Secretary ofDefense
11 Under Secretary ofDefense for Acquisition Technology and Logistics Under Secretary ofDefense (Comptroller) Under Secretary ofDefense for Intelligence
11 Assistant Secretary ofDefense for Netwerks and Infonnation Integration
11 Other Defense Organization
Director National Security Agency Inspector GeneraJ Natienal Security Agency1] Inspector General Defense Intelligence Agency Inspector General National Geospaual-Intelligence Agency Inspector General Natienal Reconnaissance Office
II Congressional Committees and Subcommittees Chairman and
Ranking Minority Member] Senate Subcommittee onDefense Committee en Appropriations Senate Committee on Anned Services] Senate Select Committee on Intelligence House Subcommittee on Defense Committee on Appropriations House Committee on Armed Services House Permanent Select Committee on Intelligence]
(11)]
]
]
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J 113
crop SHCRfifflUOMfNTIl28i91123]
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1 1 1 1 1 1 1 1 l l l l l
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3253346
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National Security AgencyCentral Security Service Comments (U)
bull lampPIBatiflJJee1BftHD
NATIONAL SECURITY AGENCI CENTRAL SECURITV SERVtCI
OiIf ~amp II JUHt tuInlJlHO IOTSshyltIgt l~ AUgust 2004
StmJBCT (ll) Audit ofthe ~ for tbo TRiULlUAZBR ud 1HlNIHRBAD SYma dampbed 111llO 182004 (Projec No D2OO3AL-OlOO)
Deputy ChiefofStaff
raatNt-s__n IN bull D It
115 TOP SECRGTlJ(JQltlHT1I1CJ291123
DOoID 3263346
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1
SECURITY CLASSIFICATION f(FiJ ( Cl 1 ] 1NSA STAFF PROCESSING FORM
TO
IKCC CONTROL NUMBERCoS DC09-017-05 THRU ACTION eXREQ SUSPENSE
~=-c=---------------------l 0 APPROVALSUBJECT KCC SUSPENSE (U) (COP liJIiCRSlIIGOMUffl Office of the IG of the Department of IX] SIGNATURE
ELEMENT SUSPENSEDefense Report on TRAILBLAZER and THINTHREAD Systems 0 INfORMATION
DISTRIBUTION
SUMMARY (u)
PIJRPOSE (GONFIDENFfAIoS202911pound3) Attached for your review and signature is the NSA consolidated response to the report from the DoD OIG on requirements for TRAILBLAZER and TIDNTHREAD systems
End als
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OFFIce NAME AND DATE OFFICE NAME AND OAlE
ORG PHONE (Secure OATE PREPARED
DC09 963-5021 11 February 2005
SECURITY CLASSIfICATIONDerived from NSAlCSSM 1-52
DATED 23 November 2004 Declassify On 20291123
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NATIONAL SECURITY AGENCY FORT GEORGE G MEADE JiARY~AND 20755-6000
11 February 2005
MEMORANDUM FOR DEPUTY ASSISTANT INSPECTOR GENERAL FOR INTELLIGENCE AUDITS
SUBJECT (UIFOUO) DoD OIG Audit Report Requirements for the TRAILBLAZER and THINTHREAD Systems1 dated December 15 2004 (Report OS-INTELshy03 Project No D2003AL-OlOO) - INFORMATION MEMORANDUM
(UIFtJtJ9+In response to the DoD OIG request for additional information on the TRAILBLAZER and THINTHREAD report NSACSS provides consolidated corporate comments from our Signals Intelligence Directorate Acquisition Organization and Information Technology Infrastructure Services Organization (now the Infalmation Technology Directorate)
NSAlCSS Resllonse
-teTSubsequent to the DoD OIG report the TRAILBLAZER Milestone has been I scheduled for late in the fourth quarter of FYOS from the previously scheduled earlyenr MS B Accordingly this now allows sufficient time for the conduct of the assessmeftt recommended by the DoD OIG
e lIla ze r
b M 2005 Y ay - i
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If_ bave anY QUestiODrr need additional information Pbgt6~~t
(b) (l)
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MARIA N OCONNOR Chief ofStaff
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CONFfDENJfAIffS9291123
NSA STAFF PRO ESSING FORM EXflEG CONTROl NUMBER J(CC CONTROl NUMBER
DA4-04-05 ACTION EXAEG SUSPENSE
-------~_______________I fi] APPROVAL SUBJECT KCC SUSPENse (U~THINTHREAD I TRAILBLAZER 1G [iJ SIGNATURE
ELEMENT SUSPENSEAUDIT REPORT 0 INFORMATION
DISTRI8UTION
SUMMARV
PURPOSE (UtFeYO) To provide the recommended PEO input to the consolidated NSA response regarding actions requested by the final Department of Defense (DoD) Office ofInspector General (OIG) report 05-INTEL-03 Requirements for TRAlLBLAZER and THINTHREAD Systems of 15 December 2004
-tarIn response to ~hidraft7 in August the Agency concurred with comments ~-Tpe following is an excerpt fr9mthose comments laquo The Program Executive Office (PEO) is ta1tingmiddotth~ lead in estab1ishin~an independent review teruv- for Derforming this assessment with the intentiqn that itsJesuIts will be completed in timet I
f IMilestone B documentationraquo
~At the time of this statement (Aug (04) the TRAILBLAZER Milestone B (MSB) was scheduled for December (04 When the final report was published the PEO Assessment had not yet begun Concerned that the assessment could not be completed in time to support a December milestone the DoD OIG requested via the final report that they be provided NSA plans to eliminate the cost and schedule risks for completing the assessment
(GtSince release of the final Audit Report a DIRNSA-Chartered Transformational Advisory Panel (TAP) recommended TRAILBLAZER be rebaselined The MBB is now planned for late Fourth Quarter FY05
COOROINAilONIAPPROVAl
OFFICE NAME AND DATE OFFICE NAME AND DATE sg~degtt~tii
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963-8675I J ~ ORG PHONE (S6-cyhl) ~-
DATE PREPAREO ~~
l)A4 963-7368 - 8 February 2005 -~---
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FORM Aamps6 REV NOV 1)$ SECURlt ~SSlFI~ilON Oerlved From ($upe~ A8796FE894 =gt l- _COtfFfBENHtu whfch is OOS()feco Declassify On ~~ - of bullmiddotmiddotmiddotmiddotfi bullNSN 754(-FMQOt-5485 - l - _ (b )()3 -Po L bull 8 6-36
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~ (U~he development of this resP~98en~~en coordinated Wit~r-----lmd the TRAILBLAZER Program Manag~m~nt Office
~ RECOMMENDATION
1 (UJFeiffe1 A form~lRfsk Mitigation Plan is not recommended The PEO is committed to cogducting the assessment The team is currently being fOlriled a kick-offm~gjsj)Ianned for March and the team is expected to report to MrJ II INLT May 31st The cost and schedule impact ofconducting the assessment pose very low risk to the Transformational Programs
2 (UIF8YGl Recommend the response provided as an attachment be forwarded to the DoD OIa as part of the Agencys consolidated response to the Final Report
DOCIDe 3253346
1 1 Team Members (U)
(U) The Office of the Deputy Inspector General for Intelligence ofthe Department ofDefense Intelligence-Audit prepared this report Personnel ofthe Office ofthe Inspector General ofthe Department ofDefense who contributed to the report are listed below
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l (SlfSf) NSA Modernization Studies Thefirst NSA Modernization Stu4Y July 200It was conducted by The National Technology Alliance National penterfor Applied Technology after a thorough review ofon1roin~ activities withfu the TRAILBLAZER Program Management Officq 1
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(U)Summary
(U) Management Comments on the Finding and Audit Response
(UJIIOtiO) ~ementComments The NSA management stated that the draft report did not mclude significant information or included wrong or misleading information The tomplete list ofmanagement tomments is in the Management Comments section ofthis report
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(U~Audit Response We obtained revieweG and analyzed many documents and we interviewed several NSA and contractor personnel to form the conclusions in this report We included all infonnation relevant to support the report findings and rCCQmmendatlons Many people we interviewed asked not to be identified fur fear ofmanagement reprisal We gathered information from many sources to support the finding Paragraphs frequently contain information from several sources to reinforce conclusions Based on management comments we made various editorial changes to the draft report See Appendix J for a completed audit responSe to each management comment
(U) Recommendations Management Comments and Audit Response
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J (b) (l) (b) (3)-50 USC 403 ftfSlISij The NSA has clearly Ill8de great strides in seeking to
J bl (3)-PL 86-36 uansform itself in many areas However the NSA appeaIB to have
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1 S7tsQneeds-unrestrained by past practices or past technologies TRAILBLAZER 1 had the following key responsibilities 1
bull (UtfiOOO) Ensure the execution ofa new NSA program transfonning the us Cryptologic System exploitation ofthe global network Map detailed digital network exploitation mission requirements to a cryptologic architecture and implement them and 1
bull (U~Act as the catalyst for transforming customer interaction and operational practices Begin the retooling ofNSA 1programmatically technologically and culturally to provide mission services and capabilities that are responsive to the emerging technology and customer needs 1
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was ~nauct~ by The NatiottalT~ologyAlliance 1lati0Jl1l ~enter fo Applied TechiiolQW After a thorough--re-lew rfommmg 8ctifjes Wltbm tbeJ TRAILBLAZER Pro~Management OffiCe_ __
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December 2001 The Chief Signals Intelligence Programs invited the original
study team to conduct a follow-on study to evaluate progress within the] TRAILBLAZER Program Management Office Despite noting some changes
J made in NSA management and the TRAlLBLAZER Program acquisition strategy that promised to address the conflicts and issues noted in the fust report the study team found that
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and Audit Response
J (UIFOlJet Management Comments NSA management referred to several statements in the report that did not include all referenced documents and that some paragraphs contained wrong or misleading information The complete listJ ofmanagement comments is located in the Management Comments section of this report
J (UJIiOff6) Audit Response We obtained reviewed and analyzed many documents to form the basis for the conclusions in this report We also interviewed several NSA and contractor personnel many ofwhom asked not to be identified for fear ofmanagement reprisal We ga~ered infonnation from
J J many sources to support the finding Paragraphs frequently contain infonnation
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J (U) Recommendations Management Comments and Audit
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(~RevisedRetommendatlon As a result ofmanagement cdmmei~ we
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1 (UI1FOUQlYe recommeDd that the Director National Security J AgencyChlef Central Security Service ----------------------~~I (QDesJmatea team to 1 IJ
J (UIFOUO) Manlgement Comments The Director National Security AgencyChief Central Security Service partially concurred with the intent ofthe recommendation but was waiting for the results ofa cost and schedule impact J study before fully concurring The Program Executive Office is establishing an
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(U~) independent review team to complete the study before Milestone B scheduled for December 2004 because the study win have an effect en both the cost and schedule fer Milestone B
-(eT~~IitJlesponse Based on management comments we revised this l IrecommendatiQn The Director National Security AgencyChief Central
Security Servicecomments were responsive and the proposed actions meet the intent ofthe recomTneIJdation The immediate actions taken to designate an independent review teamt~ perfonn the assessment are commendable JMilestone B has slipped to Feb ~~maumu~wmiddotstJmiddotruamamJllSl~illJilmllL- time to com 1ete the assessmeii
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TRAILBLAZER Teclmology Demonstration Platform Milestone Decision Authority (or use in making the ~estoneB decision J (Uf~Management Comments The Director National Security AgencyChief Central Security Service concurred The completion ofthe independent assessment is currently scheduled fer December 2004 J (U~AuditResponse Although the Director National Security AgencyChief Central Security Service concurred the concurrence is based on ]completing the assessment requested in Recommendation B1 We request that the National Security Agency management provide additional comments in response to the final report identifying NSA plans to eliminate the cost and ]schedule risks for completing the assessment
J (U~ _gemeat 6mments Tho Director National Security ]
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Appendix A Scope and Methodology (U) ~ ~ 1 1 -
(UitFooo-We reviewed documentation dating from November 200Qlu~~gh October 2003 including background infonnation mission and operatiQUat ri~ statements concepts and operational requirements and contracting ana budget 1 documents Also we conducted interview
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(U) We performed this audit from Apri12003 through May 2004 in accoid~ce with generally accepted government auditing standards
(UffFOUQ-Umitation to Scope Because our objective was limited to
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evaluating a Defense Hotline allegation relatingto the acquisition ofthe TRAILBLAZER and THINTIlREAD nrolttatns we did not review the roanalement control nroenunl i 1
1 ~
l (U) Use of Computer-Processed Data We did not use computer-processed data to perform this audit
1 1 (UfPOUO) Use ofTechnical Assistance Audit Follow-up and Teehnical Support Personnel assisted us during the audit The Technical Assessment Division assisted in the analysis ofNSA acquisition I l (V) General Accounting Office High-Rlsk Area The General Accounting Office has identified several high-risk areas in DoD Thisreport provides l coverage ofthe Infrastructure Inefficiencies and Infonnation Technology Investments high-risk areas l
(U) Prior Coverage
(UIFOE1OlDuring the last 5 years the Inspector General ofthe NSA issued one l report on TRAILBLAZER that discussed improperly based contract ~st increases non-eonfonnance in the management ofthe Statement ofWark and excessive labor rates for contractor personnel No prior coverage has been l conducted on the NSA THINTHRJAD Program during the last Syears
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(U) Objectives of TRAILBLAZER and the Technical Demonstration Platform
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(b) (1) (b) (3) -P L 86-36---shy
1TOP 8ECUTIICQlIIINTfllQ191133
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TOP SECRBTlleuroOlIINf(29a91123
rpOCID 3263348
(b) (3)-PL 86-36 1
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(U) Preliminary r~hoP THINTIIREAD was performed by the Test Technology and Evaluatiordeam in February 2002 but the formal evaluation was
l executed from March 1 2002tIuough March 18 2002
(U) Summary of TBINT~nI1 J
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73
TOP SeCRBfIlCOllIMfi82911D J
DOCID 3253346 1TOP SECRITI1euro9Hffflll9191123
1 (U) General Recommendations
1(UFet1t1) Thd IAssessment Study made the followingrecommendati-bdsimr------
1 1 1 1 1 1
bullbull
rsc~=t~~1~UmiOV91 ksectxfind~nted 1 U) Finding 1 Discussion 1
U~There _eno technical issues that would prevent THlNTIIREAD 1~~ I 1
1 1 1 1
bull (U) Current THINTHREAD system develo~entprocedures were effective and a cooperative development effort was proceeding smoothly 1 with the pilot site
174
TOP 8BCH1euroOHNfl281911Z3 l
3253346JOC ) (b) (3) -p L 86-36
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Q (U) Recommendations There were no reconunendations
(U) Finding 2 Discussion Q
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(U) Recommendations See the recommendations for rnlNTHRBAD Findings I 3 through 7 to address these risks
J I 1
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bull J bull
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J bull (U) some THINTHREAD files could not be viewed to pursue ooaective actions
J 75 TOP SBCRBTtJC91HNTll29191133
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BOGID 329334
TOP SBCRETlaquotSOMJl5ITJl1019111J
(ulP6OO) Recommendations The issues previously mentioned would not
i~______________________________~______________~ i
06 Finding 3 Discussion
iii (U) There was minimal user system technical or programmatic documentation
The existing documentation was insufficient to support the planned deployments
bull (U) There was no user documentation on how to use the tool That was inefficient and could lead to a significant increase in user error
Difficulties using the tool can also lead to an increase in support calls that
l drained project resources
i l
bull (U) TIUNTHREAD did not have a clearly stated documented set of ~ mission goals or objectives There was no program plan making it
l
difficult to communicate infonnation about THINTImEAD at a
1 pmogrwrrunaticleveL
bull (U) A deqilled schedule including all activities related to the system and it deliverables before during and after deployment was not available A
J high-level schedule containing the chronology ofdeployment was if developed but a detailed schedule was essential for proper resource middot1i~1~~~t~ L 86-36 management costing and prediction
bullbullbullbullbull~_ ~~b~ ~~-~_bullbull
~_o_ -~ c-~gt (U) No installation and maintenance documentation was completed for -~~ -- lt=Jit~rtpersonnel although the team was working with the pilot site
~~- to ~evelOpinstald~atiQ1 dOC~rtation ad ofinstallatioD and --lt- mampntenanceOj-entatio
~ltj- ---t~----------- I _ ---- -- -- _-
bull (U) There~unQoperational support documtanonl - Lack ofsupport documIDtation could adversely affect timely correction or - Inrohtems and CQUll1eadtcf I
(U) The effects ofminimal documentation could be overcome ifan integrated team accomplished the development and deployment ofTHINTHREAD
76 TOP SRCHTIeuroOiHNlf1l28291123
reID 3253346 flgt) (3-PL 86-36
bullbullo o
(U1F9OO) Recommendations Develop necessary docwnentation ni4t would
o Q necessitate an increase in the personnel devoted to documenting the systerh but is
essential to the successfuJ deployment and operation ofTIIINTHREAD The lack of this documentation presented a serious risk to the successful deployment Of THINTIIREAD
(U) Finding 4 Discussion ~
o AMiJOlO) Deg10wenl pJinwas slow to ~
J bull (UFf3UOlHi8toricaUy~ the TIIINTHREAD Program Team focused on
J the Drototvoe demonstration at the Dilot site The s scone did not
bull
J ]
~ IJ J bull (UIfIOUO) O~ ent and operation
were not identified The relationsbips between work roles throu out e system s life cycle were not defined The authorities for each work role bad not been identifiedJ The organizational structure set forth by the THINIHREAD Program Team focused on system development and did not address system
]
J 77 TOP SBCRRTApoundOAHNTlllN911a3J
noelD 325334
W~) dw1oymentl I A ]ThemmTHRBAD Program Team was defiriirig the
_l~-~~~~~~~~~l a~iionalwork roles necessary for deployuienl activities I
(bj (3) - P L 86-3 6 bull (U) THlNTHREAD did not identifY all the organizations requiring coordination through the various stages ofdeployment
(UiifofJoLRecommendations The findings presented a serious risk to successful deployment ofTHINTHREAD To mitigate those risks the following recommendations were suggested
-bull
(b) (3)-P bull L 66-36 bull (b) (5)
---_ bull shybull
(U) Finding 5 Discnssion l (UIFOY~ Xhe customer service and user support processes for THlNTHREAD weremanualIy in~ensive and directly involved the technical staff l
bull UJ1i10U~ The quality Ofservi~_aqg~IbeCeiv----Psing ________ -==-TIUNJlIREADwmnoonsistnt SomC1I1teiVieWedby
(b(3j-=P ~ i---6636 --- TeSiTechnology and Evaluati~Jl ~eam VIewed tlie T4ITHRBAr l --==--_--0___ ~oram Tea~ to b~ unresponsIve mg~eral customa support while-----=+--- __ )xEI1enced good responsIveness to then- requests for
ttions or mOOifi~tions1 I l bull (UIIPOUQ) There was no formal trouble ticket mechanism in place Ifa
user or operator had a problem with TIiIN1HRBADs he contacted someone on the THINTHRBAD Program Team This contact depends on l personal acquaintance because no list ofTHINTHREAD personnel was readily available and there was no mechanism to locate the proper TIflNTHRBAD contact Similarly the status ofthe response to a request l could only be leamed by personal contact
bull (UllFOf167 There was no formal mechanism for managing externally lgenemted requirements to include submitting a new requirement to THINTHREAD or for following the progress ofthe work
l78 FOP SHCREfNCOMINTIl29991123
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rrC1D 3253346
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o bull (U~ team was in charge of
maintainin itb just a few userso _ middotmiddot--ihafpemon was a e to_~jer_orc ang ccording to user - - ______ requests-middotreceived (il1Ule telephone or by e-nw owever as more users
3) _PmiddotmiddotmiddotL---8middot~~ are added one person may have difficulty meeting the increased demand o - ------n-ThelackofperBQll~~~y become a problem as =INJHREAD was scaled to handle an lOcreas-eduserlo~ _ I
o o o bull (UFeYQ) A list ofWeb interface functionalities p~~pose4
was not incorporated into TIIINTHREAD 1-----1
o o
(UtfPOBe) There was nomiddot ptOQeSs for controllin~ and measuring operational programmatic and technical performance effectiveness ofTHINTIIREADJ once deployed
bull (UJlI6ttQ) TIIINTHREAD did not have a clearly stated set ofsystem specifications or a method to validate the THINTHREAD concept or perfonnance results Thus there was no way to determine ifthe system
79
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DOCIDe 6253346
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(euroUIFOOS] was successful or ifit failed which may lead to confusion in stakeholders understanding ofthe success ofTHINTHREAD 1bull (Uf~INTHREAD bad mechanisms for assessing progress and status within the system development phase However there were no systematic consistent mecbanisms for overall program measurement which included identifying test criteria establishing program schedules 1 and documenting a system baseline to address progress No feedback mechanisms had been identified such as risk management or contingency planning 1
bull (UIfffit6) Aside from schedule control there were no tools to measure progress towards program objectives because there were no formalized program objectives 1
bull (UFeuroffJe) THINTHREAD did not have Standards ofPerfonnance established for personnel developing THINTHREAD Iffuture 1TIlINTHREADdevelopment crosses organizational groups a common set ofStandards ofPerfonnance for personnel may become necessary
bull (UIfeOO) There was no configuration management process which could 1 pose a~sk when reporting system ~ro~lems and correcting tt~ I In addition the lack ofa configuration management prtl~ cOwa cause difficulty w~en upgrading or deploying versio~_and-aIso make rollback 1extremely nsky
bull (U17P6t1Q) Th~ fault or w~Jlgdet~on wt a~omated h necessary reactions and ~nseswere l-ot- _ _ __ l software provided ~sirtipIe wayo-ooeck sta1=-o=v=an=o=us==s==----- parameters through a W~jntefface However when an operatorrecowizcSmiddota prolemne must actively initiate conective measures l $omeumes-thafaction is a simple matter such as restarting a process At
- Qilierfifues physical hardware must be changed No corrective action bull- -- -- middotmiddotmiddotCould be executed ifan operator was not present to initiate a corrective l lt~-~~~~~gt bull a_cti_middoto_n_____________________--
i~~~p~ B~36--~--~I~_~__~_~_~~_____~~__~_~ l -
middotmiddot-middotmiddot----Q1IFOUO 1HINTHREAD had no established process for managing 1 reqUiremen~
(UfFOtJO) Reonu~dtioiis~--Thefindings that led to the recommendations l would not have revented the successfuIaepJoYment ofTIIINTHRBAD to
~ e recommendations weremadetQmP2ve=tb=e__--- e ency ofTHINTHREAD after it was deploYedll____--
The follOwing is a list ofrecommendations l L-_~--
bull (P(FQafjJ Develop processes and acquire automated tools based on cIearIx stated specifications for controlling and measuring the l ~=hfc ntipn8tand technical performance ofTHINTHREAD
80
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bull (UIfOUO) Acquire ~ ~mmercia1ly available conij~tioK~ntro system to enable verstorung rollback and configuration management0 The system should interface with the trouble ficketing systeM aitd the requirements management system to Provi9CfulJ traceabilitY
1 o bull (UiAFeUOjDevelop Stand~ ofP~6imance(iffutWeTIinfrHREADdevelopment crosses orgaruzationlUmiddotgroups) i
1 bull (UnO~A~tomate reactiqns and responses to the existin~ fulfIt ando warmng detection systemL ~ J - 1o
bull (U~ 1stBblish a requirements management process for
o uWAD that is linked tol---__~______---I
(U) Finding 7 Discussiono e number and skill mix ofTHINTHREAD nnel was
o ~1iI~~~~=~nnel required for
13 H L Seuro-36---planning-and executing-installatio so there was a lack of --cfocumentatioDtPIQviding the necessary mam anoo and help desk supporto oonfigurapon managemen~-and planningYlg~~~u1ing CpUectively thyse
o ~_ shortoommgs jeated a senous nsk to successful comp1eti0nL _ J 1 ~_ _ 1-_--I
(UlFOtJ~ Recommendations The finding presented serious risk to successful deployment ofTHINTHREAD It was recommended to continue to identify and o I=~lhord~ofsdll~=-= ired fur
ij ~~lt~~-
a i~~~-PL 86-36 (bJ (5)
ru
81
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DOCID 3253346
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AppendixH (b) [l) (b) (3) -PL 86-36 i
~
~ (U) Introduction
i
(U) Needs Analysis Revisited i
1 82
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1Hb1 (3)- E bull L 86-36 H
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(b) (3)-PL 86-36 (U) System Capabilities Overviews
~ The followin section outlines the strenJ
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DOCID 3253346 1 1
(b) (1)
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Jmiddotmiddottbl (3)-PL 66-36
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ifoC1D 3253346 (b) (1) (b) (3)-PL 86-36
TOP SECRETeO~IINTl~911J~
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1 (U) Optimal System
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(U) Cost Analysis middotmiddot(lJ-3JFbull L 86-36
IThotlblwiJfiiinhetica1 soenariiuiiaiiidliowr--------- ay produce a more effective result in terms ofigtOth complexity and cost
A ew assumptions apply
-
86 ft)p SECItEf88Mffft7t2991123
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(U) Conclusion o
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Q o Q o
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Q TOP SGCRBTh09]11IHrl1939113a
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1 NCLASSIFIEDJlFOR OFFleb~l uscAppendix I Glossary (U) BY COMPILATON WHEN ASSO
WITH REST OF D-OCU=t=~IE=N--T__---J 1 (U) r------------------------7b)-(3~)--ampP 86middot36 1
1 l 1 1 1 1
Consultative Committee for International Telegraph and Telephone (CCIT1) 1Consultative Committee for International Telegraph and Telephone is the International organization responsible for the development ofcommunications standards Now called 1 the International Telecommunication Union Telecommunication Standardization Sector
(b)(3) PL 86middot36
1 1 1 1
(U)
1
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lOP iECRampTllemtlNTl~Q2ttt13 1
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3253346
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(U)
lb)(3)-P 86-36 I
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Elettronfc Industries As~odatlon (EIA) A group that specifies eJectrical transmission standards The Electronic Jndustries Association and Telecommunications Induslry I Association have developed numerous well-bown communications standards including l Electronic Industries Association and Telecommunications IndusfIy Association 232 and I Electronic Induslrles Association and Telecommunications Induslly Aosoclaion -449 I
(U)
89 TOP 8JpoundCMT~I~9]911aa
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noeID 3253346
TOP 8ECRETzcOMlNllIl29291123 1 1
(U)
1 1
1 ~b)(3)middotP 86middot36
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l International Telecommunication Union Telecommunkation Standardization ~ lSedor (lTV-T) International body that develops worldwide standards for
i
telecommunications teclmologies The International Telecommunication Union Telecommunication Standardization Sector carries out the functions ofthe former Consultative Committee for International Telegraph and Telephone l
i
International Organization for Standardization (ISO) International organization that is responsible for awide range ofstaruiards including those relevant to networking The l International Organization for Standardization developed the Open System Interconnection reference model a popular networking reference model
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(U)
I (b) (3) -T Institute of Electrical and Electronics Engineers (IEEE) 8023 Institute ofEIectrical and Electronics Engineers LAN protocol that specifies an implementation ofthe physical layer and the MAC sublayer ofthe data link layer Institute afElectrical and Electronics Engineers 8023 uses Carrier Sense Multiple Access Collision Detect access at a variety ofspeeds over a variety of physical media Extensions to the I Institute ofElectrical and Electronics Engineers 8023 standard specify implementations for Fast Ethernet
(b)3)-P L 86-36
Open System Interconnedion (OSI) International standard~tion program created by International Organization for Standardization and International Telecommunication Union Telecommunication Standardization Sector to develop standards for data networking that facilitate multimiddotvendor equipment interoperability
b)(3)-PL Se-S6
(U)
91
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Telecommunications Industry Associlltfon (IIA) Organization that developsstandards relating to telecommunications technologies Together the TelecommWlications Industry Association and the Electronic Industries Association have fOlDlalized standards such as Electronic Industries Association and Telecommunications Industry Association M232 for the electrical characteristics ofdata transmission
(b)(3)-PL ~6-36
(U)
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1 --_~(U~)----~---------(b(braquo)(3(3F)P1-1 186-36
1 1 1 1 1 1 1 1 1 l
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-DOGID aaSaa46
Appendix J ~esponse to Management Comments (U)
bullbullbullbullbull
bullbullbullbullbullbullbullbullbullbullbullbull
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- ~gt~
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~)l) [bl (3)
~
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NSA will a ee to conduct an independent e believe that it will validate all of the assertions niMein our reSpons--egoeImiddotmiddot tOf General recommendations
F=~criedd~~fffl it~ th~~~~nH1p nlan~uA wad dl Iill Iwhich was conaucteaIn an openmiddot ~on1o proVlae ffi~esl oenent lor Agency mISSIOn and customers More Importantly tfiere h~ been no eVldence
documented during this Office ofInspector General investigauQl1 that supports that complaint -~ lib) [3J-lL 86-36 ~
(8181) Audit Response The report doi ~l million e TRAILBLAZE
9S
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96 TOP SBCRJITIIC8f1fBUTIl29291123
DOCID 3253346 b) (1) fp) (3)-PL 86-36
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98
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-DOCIDe 3253346 (b) (1) (b) (3)-PL 86-36
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(U~anagement Comments NSA recommended that the audit report emphasis NSAs cooperation and responsiveness to Congress
i
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(UIFOU8) Management Comments NSA recommended that the audit report emphasis that the THINTHRBAD capability is valued by NSA
99
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--------_-------------------------- shy
_DOCID 325334amp (b) 1 J (b) (3)-PL 86-36TOP poundECImTIfCOJIItIlW19291123
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102
TOP SRCREfllCOrHftllQlllllll
f)OCID 326334 (b) (1) (b) (3)-PL 86-36
YOf SRCREfHe6J1fHNFl2929112~middot
103
TOP SECRIlTHeuro8ltIRiTll9l91113
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~-
~Management Comments TRAILBLAZER welcomes an open revi~Qf
~
~--------------------------------------------------~~--~(Sf51) Management Comments NSAj~~~~en~t~d~o~es~n~ot~a~~w~ithlAllth~eDfIoD~~___ Office cfIns etor Generars assessmen
(SSij Audit Response We acknowledge the fact that the current scope ofthe TRAILBLAZER is to provide the infonnation technology ftamework for the entire
104
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1
TOP SpoundCRSIlIC811tl1l11lJDltll13
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rOC1D 3253346 lib) (1) Kb) (3) -50 USC 403 ihl (3)-PL 66-36TOP SECRET1euro9MINT1I29291123
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~ t - S ~
i
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(euro) Management Comments NSA managements stated that TRAILBLAZER and ~e Technology Demonstration Platfonn have invested considerable effort to build a signal intelligence architecture that is open and scaleable applies DoQ commercial and NSA
s 1
107
TOP SKCUTMG~IltWGa911l3
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Ldelines oDoD Directive 50002~
bull
(Sl8I)Management Comments NSA management comments stated that the Executive ~f
Summarys assertion that NSA disregarded solutions to Uf2ent national security needs ~) (1) is not accurate ~p) (3) -50 USC 40 (1lt) (3)-PL 86-3
j
t~
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middotL__------------------------------------------~------------~
(SNSI) Audit Response NSA comments are inaccurate Major issues raised in the manaSement comments are addressed in the reoort sneciftcallvthe issue of
i
108
fOP SECRBlEi1QAHNYl~91911la
-middotDOCID 3253346 ~--~-l (b) (1)
~ lib) (3)-50 USC 403TOP SKCKK171C()AtltIflOloJIllb) (3) -PL 86-36
-tetMngmntco_t8-~anag~t sta~tI1a11Jl~ilJ~~ltJj~-tyen~~ll~fi~lt~~r~-alltcI~aJ~~ r--lt1eDonsclraI1poundlJ+ oJthe~TA Studys rmiddot~mnlmll1lI1middot0IlL_--_4_~-+---~_middotmiddotmiddotmiddotmiddot~
also needs clarification j
I
I I
~
i
(UJ~anagementComments NSAmanag~ent comments stated th~t fue TRAILBLAZER has long-established plans for external assessment ofthe Techlology Demonstration Platfonn for prepamtion for IfliJestone B The Independent Veri1jcAtion and Validation (JVampV) of29 Evaluation Criteria is being conducted by NSAs independent Office ofCorporate Assessmmits Test and Technical Evaluation eleimthlt (TIE) The Early Operational Assessmentiand Operational Assessment will be perfonned by JlTC which had establisheda presence in TRAILBLAZER spaces ~y November 2003 Results ofboth activitieS will be provided to the Milestone Deciaio4 Authority before Milestone B
i (U~ Audit Response TRAILBLAZER postponed Milestone B schedul~ Ifor December 2004 because of technical issues with the Technology Demonstration Platfonn February 200S is the earllest date that TRAILBLAZER will be readr fr MILESTONE B I ~
i
~anagementComments NSA manaampmlmn ~mts staled thatJhe )
I==lYbeprov1a~Mtlone
(8ffSf Management Comments NSA management comments ~tated that the EXecUtile Summarys statement that TRAILBLAZER development wasted I--_____J
109
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OP SJBCRETC01tnNTl~9~1123 (~)( 3 - P L 86-36 -~ftt t
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~ofdollars is not accurate As the middottlJlModemizanon Study obseni~ TRAILBLAZER is pot only about di~ptnietwork 7~ploitation but also encqIi7nasSs cultural transformation Ie pt9cesses and pohCles) --i ~~J
And although TRAILBLAZER is currently 11 tl1e L-re~v~erop=m=enr1-=ptas=-=elr-tr~-_-a~ dy delivered significant capabilities ~
~- ~ (SfJSl) Audit Response The NSA management comments are inacturate ~r Executive Sunmiary does not claim that TRAILBLAZER development wast
I Iofdollars Instead this phrase is only used to accurately describe p specific liotline complaint allegation that initiated this audit
~
l
110 1OP 8PCBlSTlIeuro1lDfTlIl(tl9111~
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~anagement C~mments NSA management comments also qhestions the ~~=====z-=-~~==~=-~=~~~~essed=rstudies and
d stated that the
(s) Audit Response We have documented infonnation to support this statement
however because of fear ofreprlsru we agreed to keep the sources anonymous
111
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~l ~
I ~Audit Response Our wording reflects information received from our so~ces We reviewed all ofthe comments below and checked our sources and made adjustlpents as required
112
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TI Appendix K Report Distribution (U)f[]
r[] (U)
Office of the Secretary ofDefense
11 Under Secretary ofDefense for Acquisition Technology and Logistics Under Secretary ofDefense (Comptroller) Under Secretary ofDefense for Intelligence
11 Assistant Secretary ofDefense for Netwerks and Infonnation Integration
11 Other Defense Organization
Director National Security Agency Inspector GeneraJ Natienal Security Agency1] Inspector General Defense Intelligence Agency Inspector General National Geospaual-Intelligence Agency Inspector General Natienal Reconnaissance Office
II Congressional Committees and Subcommittees Chairman and
Ranking Minority Member] Senate Subcommittee onDefense Committee en Appropriations Senate Committee on Anned Services] Senate Select Committee on Intelligence House Subcommittee on Defense Committee on Appropriations House Committee on Armed Services House Permanent Select Committee on Intelligence]
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1
SECURITY CLASSIFICATION f(FiJ ( Cl 1 ] 1NSA STAFF PROCESSING FORM
TO
IKCC CONTROL NUMBERCoS DC09-017-05 THRU ACTION eXREQ SUSPENSE
~=-c=---------------------l 0 APPROVALSUBJECT KCC SUSPENSE (U) (COP liJIiCRSlIIGOMUffl Office of the IG of the Department of IX] SIGNATURE
ELEMENT SUSPENSEDefense Report on TRAILBLAZER and THINTHREAD Systems 0 INfORMATION
DISTRIBUTION
SUMMARY (u)
PIJRPOSE (GONFIDENFfAIoS202911pound3) Attached for your review and signature is the NSA consolidated response to the report from the DoD OIG on requirements for TRAILBLAZER and TIDNTHREAD systems
End als
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OFFIce NAME AND DATE OFFICE NAME AND OAlE
ORG PHONE (Secure OATE PREPARED
DC09 963-5021 11 February 2005
SECURITY CLASSIfICATIONDerived from NSAlCSSM 1-52
DATED 23 November 2004 Declassify On 20291123
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NATIONAL SECURITY AGENCY FORT GEORGE G MEADE JiARY~AND 20755-6000
11 February 2005
MEMORANDUM FOR DEPUTY ASSISTANT INSPECTOR GENERAL FOR INTELLIGENCE AUDITS
SUBJECT (UIFOUO) DoD OIG Audit Report Requirements for the TRAILBLAZER and THINTHREAD Systems1 dated December 15 2004 (Report OS-INTELshy03 Project No D2003AL-OlOO) - INFORMATION MEMORANDUM
(UIFtJtJ9+In response to the DoD OIG request for additional information on the TRAILBLAZER and THINTHREAD report NSACSS provides consolidated corporate comments from our Signals Intelligence Directorate Acquisition Organization and Information Technology Infrastructure Services Organization (now the Infalmation Technology Directorate)
NSAlCSS Resllonse
-teTSubsequent to the DoD OIG report the TRAILBLAZER Milestone has been I scheduled for late in the fourth quarter of FYOS from the previously scheduled earlyenr MS B Accordingly this now allows sufficient time for the conduct of the assessmeftt recommended by the DoD OIG
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NSA STAFF PRO ESSING FORM EXflEG CONTROl NUMBER J(CC CONTROl NUMBER
DA4-04-05 ACTION EXAEG SUSPENSE
-------~_______________I fi] APPROVAL SUBJECT KCC SUSPENse (U~THINTHREAD I TRAILBLAZER 1G [iJ SIGNATURE
ELEMENT SUSPENSEAUDIT REPORT 0 INFORMATION
DISTRI8UTION
SUMMARV
PURPOSE (UtFeYO) To provide the recommended PEO input to the consolidated NSA response regarding actions requested by the final Department of Defense (DoD) Office ofInspector General (OIG) report 05-INTEL-03 Requirements for TRAlLBLAZER and THINTHREAD Systems of 15 December 2004
-tarIn response to ~hidraft7 in August the Agency concurred with comments ~-Tpe following is an excerpt fr9mthose comments laquo The Program Executive Office (PEO) is ta1tingmiddotth~ lead in estab1ishin~an independent review teruv- for Derforming this assessment with the intentiqn that itsJesuIts will be completed in timet I
f IMilestone B documentationraquo
~At the time of this statement (Aug (04) the TRAILBLAZER Milestone B (MSB) was scheduled for December (04 When the final report was published the PEO Assessment had not yet begun Concerned that the assessment could not be completed in time to support a December milestone the DoD OIG requested via the final report that they be provided NSA plans to eliminate the cost and schedule risks for completing the assessment
(GtSince release of the final Audit Report a DIRNSA-Chartered Transformational Advisory Panel (TAP) recommended TRAILBLAZER be rebaselined The MBB is now planned for late Fourth Quarter FY05
COOROINAilONIAPPROVAl
OFFICE NAME AND DATE OFFICE NAME AND DATE sg~degtt~tii
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~ RECOMMENDATION
1 (UJFeiffe1 A form~lRfsk Mitigation Plan is not recommended The PEO is committed to cogducting the assessment The team is currently being fOlriled a kick-offm~gjsj)Ianned for March and the team is expected to report to MrJ II INLT May 31st The cost and schedule impact ofconducting the assessment pose very low risk to the Transformational Programs
2 (UIF8YGl Recommend the response provided as an attachment be forwarded to the DoD OIa as part of the Agencys consolidated response to the Final Report
DOCIDe 3253346
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(U) The Office of the Deputy Inspector General for Intelligence ofthe Department ofDefense Intelligence-Audit prepared this report Personnel ofthe Office ofthe Inspector General ofthe Department ofDefense who contributed to the report are listed below
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l (SlfSf) NSA Modernization Studies Thefirst NSA Modernization Stu4Y July 200It was conducted by The National Technology Alliance National penterfor Applied Technology after a thorough review ofon1roin~ activities withfu the TRAILBLAZER Program Management Officq 1
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(U)Summary
(U) Management Comments on the Finding and Audit Response
(UJIIOtiO) ~ementComments The NSA management stated that the draft report did not mclude significant information or included wrong or misleading information The tomplete list ofmanagement tomments is in the Management Comments section ofthis report
23
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(U~Audit Response We obtained revieweG and analyzed many documents and we interviewed several NSA and contractor personnel to form the conclusions in this report We included all infonnation relevant to support the report findings and rCCQmmendatlons Many people we interviewed asked not to be identified fur fear ofmanagement reprisal We gathered information from many sources to support the finding Paragraphs frequently contain information from several sources to reinforce conclusions Based on management comments we made various editorial changes to the draft report See Appendix J for a completed audit responSe to each management comment
(U) Recommendations Management Comments and Audit Response
_middotmiddotmiddotmiddotmiddotmiddot1 __ L_______________________-1
(U) A We recommend that the Director National Seurity AgencyChief Central Security Service
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J (U) The National Defense Authorization Act for FY 2002 stated that
J (b) (l) (b) (3)-50 USC 403 ftfSlISij The NSA has clearly Ill8de great strides in seeking to
J bl (3)-PL 86-36 uansform itself in many areas However the NSA appeaIB to have
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J J (SNSI) en March 24 2000 the Director NSA signed the TRAlLBLAZER 1
charter to~te a new Signals Intelligence enterprise to exploit the global network ~~~with an estimated development cost Dfapproximatel as to respond to the opportunities and challenges provided by logies to design new operational practices for on-time delivery ofproducts and services in the manner that best met customer
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1 S7tsQneeds-unrestrained by past practices or past technologies TRAILBLAZER 1 had the following key responsibilities 1
bull (UtfiOOO) Ensure the execution ofa new NSA program transfonning the us Cryptologic System exploitation ofthe global network Map detailed digital network exploitation mission requirements to a cryptologic architecture and implement them and 1
bull (U~Act as the catalyst for transforming customer interaction and operational practices Begin the retooling ofNSA 1programmatically technologically and culturally to provide mission services and capabilities that are responsive to the emerging technology and customer needs 1
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was ~nauct~ by The NatiottalT~ologyAlliance 1lati0Jl1l ~enter fo Applied TechiiolQW After a thorough--re-lew rfommmg 8ctifjes Wltbm tbeJ TRAILBLAZER Pro~Management OffiCe_ __
r---lmd interviews withk~yprogram personnLebull1--th7e--NOa-=timiddoto-n--Cen--ter~fi-or---l ~ Techno1ogy team observe4~at fh~TBLAZER was noortvJ executed and bad an overly expenslv~ ______
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-(SSf) Seeolld NSA Modernization Study A second National Center for Applied Technology report a quick-look follow-on report was completed inJ
December 2001 The Chief Signals Intelligence Programs invited the original
study team to conduct a follow-on study to evaluate progress within the] TRAILBLAZER Program Management Office Despite noting some changes
J made in NSA management and the TRAlLBLAZER Program acquisition strategy that promised to address the conflicts and issues noted in the fust report the study team found that
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J J ] (U) Summary ofManagement Comments on the Audit Finding
and Audit Response
J (UIFOlJet Management Comments NSA management referred to several statements in the report that did not include all referenced documents and that some paragraphs contained wrong or misleading information The complete listJ ofmanagement comments is located in the Management Comments section of this report
J (UJIiOff6) Audit Response We obtained reviewed and analyzed many documents to form the basis for the conclusions in this report We also interviewed several NSA and contractor personnel many ofwhom asked not to be identified for fear ofmanagement reprisal We ga~ered infonnation from
J J many sources to support the finding Paragraphs frequently contain infonnation
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J (U) Recommendations Management Comments and Audit
Response lIb) (l (b) (3)-PL 86-36
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(~RevisedRetommendatlon As a result ofmanagement cdmmei~ we
J IreV1sed Recommendations Bt and B3 to ctarlfythe intend1Use of
1 (UI1FOUQlYe recommeDd that the Director National Security J AgencyChlef Central Security Service ----------------------~~I (QDesJmatea team to 1 IJ
J (UIFOUO) Manlgement Comments The Director National Security AgencyChief Central Security Service partially concurred with the intent ofthe recommendation but was waiting for the results ofa cost and schedule impact J study before fully concurring The Program Executive Office is establishing an
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(U~) independent review team to complete the study before Milestone B scheduled for December 2004 because the study win have an effect en both the cost and schedule fer Milestone B
-(eT~~IitJlesponse Based on management comments we revised this l IrecommendatiQn The Director National Security AgencyChief Central
Security Servicecomments were responsive and the proposed actions meet the intent ofthe recomTneIJdation The immediate actions taken to designate an independent review teamt~ perfonn the assessment are commendable JMilestone B has slipped to Feb ~~maumu~wmiddotstJmiddotruamamJllSl~illJilmllL- time to com 1ete the assessmeii
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TRAILBLAZER Teclmology Demonstration Platform Milestone Decision Authority (or use in making the ~estoneB decision J (Uf~Management Comments The Director National Security AgencyChief Central Security Service concurred The completion ofthe independent assessment is currently scheduled fer December 2004 J (U~AuditResponse Although the Director National Security AgencyChief Central Security Service concurred the concurrence is based on ]completing the assessment requested in Recommendation B1 We request that the National Security Agency management provide additional comments in response to the final report identifying NSA plans to eliminate the cost and ]schedule risks for completing the assessment
J (U~ _gemeat 6mments Tho Director National Security ]
- Ag~cy~ef-Gentrals~tyB~1~t~_~115urredt andjWtil that the assessment middotmiddot~middot -___teQuired m Recommendation B1 WIll De mcludedm-thL_______--
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Appendix A Scope and Methodology (U) ~ ~ 1 1 -
(UitFooo-We reviewed documentation dating from November 200Qlu~~gh October 2003 including background infonnation mission and operatiQUat ri~ statements concepts and operational requirements and contracting ana budget 1 documents Also we conducted interview
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(U) We performed this audit from Apri12003 through May 2004 in accoid~ce with generally accepted government auditing standards
(UffFOUQ-Umitation to Scope Because our objective was limited to
1
evaluating a Defense Hotline allegation relatingto the acquisition ofthe TRAILBLAZER and THINTIlREAD nrolttatns we did not review the roanalement control nroenunl i 1
1 ~
l (U) Use of Computer-Processed Data We did not use computer-processed data to perform this audit
1 1 (UfPOUO) Use ofTechnical Assistance Audit Follow-up and Teehnical Support Personnel assisted us during the audit The Technical Assessment Division assisted in the analysis ofNSA acquisition I l (V) General Accounting Office High-Rlsk Area The General Accounting Office has identified several high-risk areas in DoD Thisreport provides l coverage ofthe Infrastructure Inefficiencies and Infonnation Technology Investments high-risk areas l
(U) Prior Coverage
(UIFOE1OlDuring the last 5 years the Inspector General ofthe NSA issued one l report on TRAILBLAZER that discussed improperly based contract ~st increases non-eonfonnance in the management ofthe Statement ofWark and excessive labor rates for contractor personnel No prior coverage has been l conducted on the NSA THINTHRJAD Program during the last Syears
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Q (U~eportNo ST~03middot0014 TRAILBLAZER lISIGINTPrograms Systems Engineering and Te()1mica1 Assistance Contract September 30 2004 o
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(U) Objectives of TRAILBLAZER and the Technical Demonstration Platform
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(U) Preliminary r~hoP THINTIIREAD was performed by the Test Technology and Evaluatiordeam in February 2002 but the formal evaluation was
l executed from March 1 2002tIuough March 18 2002
(U) Summary of TBINT~nI1 J
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1 (U) General Recommendations
1(UFet1t1) Thd IAssessment Study made the followingrecommendati-bdsimr------
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rsc~=t~~1~UmiOV91 ksectxfind~nted 1 U) Finding 1 Discussion 1
U~There _eno technical issues that would prevent THlNTIIREAD 1~~ I 1
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bull (U) Current THINTHREAD system develo~entprocedures were effective and a cooperative development effort was proceeding smoothly 1 with the pilot site
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Q (U) Recommendations There were no reconunendations
(U) Finding 2 Discussion Q
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(U) Recommendations See the recommendations for rnlNTHRBAD Findings I 3 through 7 to address these risks
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J bull (U) some THINTHREAD files could not be viewed to pursue ooaective actions
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BOGID 329334
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(ulP6OO) Recommendations The issues previously mentioned would not
i~______________________________~______________~ i
06 Finding 3 Discussion
iii (U) There was minimal user system technical or programmatic documentation
The existing documentation was insufficient to support the planned deployments
bull (U) There was no user documentation on how to use the tool That was inefficient and could lead to a significant increase in user error
Difficulties using the tool can also lead to an increase in support calls that
l drained project resources
i l
bull (U) TIUNTHREAD did not have a clearly stated documented set of ~ mission goals or objectives There was no program plan making it
l
difficult to communicate infonnation about THINTImEAD at a
1 pmogrwrrunaticleveL
bull (U) A deqilled schedule including all activities related to the system and it deliverables before during and after deployment was not available A
J high-level schedule containing the chronology ofdeployment was if developed but a detailed schedule was essential for proper resource middot1i~1~~~t~ L 86-36 management costing and prediction
bullbullbullbullbull~_ ~~b~ ~~-~_bullbull
~_o_ -~ c-~gt (U) No installation and maintenance documentation was completed for -~~ -- lt=Jit~rtpersonnel although the team was working with the pilot site
~~- to ~evelOpinstald~atiQ1 dOC~rtation ad ofinstallatioD and --lt- mampntenanceOj-entatio
~ltj- ---t~----------- I _ ---- -- -- _-
bull (U) There~unQoperational support documtanonl - Lack ofsupport documIDtation could adversely affect timely correction or - Inrohtems and CQUll1eadtcf I
(U) The effects ofminimal documentation could be overcome ifan integrated team accomplished the development and deployment ofTHINTHREAD
76 TOP SRCHTIeuroOiHNlf1l28291123
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bullbullo o
(U1F9OO) Recommendations Develop necessary docwnentation ni4t would
o Q necessitate an increase in the personnel devoted to documenting the systerh but is
essential to the successfuJ deployment and operation ofTIIINTHREAD The lack of this documentation presented a serious risk to the successful deployment Of THINTIIREAD
(U) Finding 4 Discussion ~
o AMiJOlO) Deg10wenl pJinwas slow to ~
J bull (UFf3UOlHi8toricaUy~ the TIIINTHREAD Program Team focused on
J the Drototvoe demonstration at the Dilot site The s scone did not
bull
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~ IJ J bull (UIfIOUO) O~ ent and operation
were not identified The relationsbips between work roles throu out e system s life cycle were not defined The authorities for each work role bad not been identifiedJ The organizational structure set forth by the THINIHREAD Program Team focused on system development and did not address system
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J 77 TOP SBCRRTApoundOAHNTlllN911a3J
noelD 325334
W~) dw1oymentl I A ]ThemmTHRBAD Program Team was defiriirig the
_l~-~~~~~~~~~l a~iionalwork roles necessary for deployuienl activities I
(bj (3) - P L 86-3 6 bull (U) THlNTHREAD did not identifY all the organizations requiring coordination through the various stages ofdeployment
(UiifofJoLRecommendations The findings presented a serious risk to successful deployment ofTHINTHREAD To mitigate those risks the following recommendations were suggested
-bull
(b) (3)-P bull L 66-36 bull (b) (5)
---_ bull shybull
(U) Finding 5 Discnssion l (UIFOY~ Xhe customer service and user support processes for THlNTHREAD weremanualIy in~ensive and directly involved the technical staff l
bull UJ1i10U~ The quality Ofservi~_aqg~IbeCeiv----Psing ________ -==-TIUNJlIREADwmnoonsistnt SomC1I1teiVieWedby
(b(3j-=P ~ i---6636 --- TeSiTechnology and Evaluati~Jl ~eam VIewed tlie T4ITHRBAr l --==--_--0___ ~oram Tea~ to b~ unresponsIve mg~eral customa support while-----=+--- __ )xEI1enced good responsIveness to then- requests for
ttions or mOOifi~tions1 I l bull (UIIPOUQ) There was no formal trouble ticket mechanism in place Ifa
user or operator had a problem with TIiIN1HRBADs he contacted someone on the THINTHRBAD Program Team This contact depends on l personal acquaintance because no list ofTHINTHREAD personnel was readily available and there was no mechanism to locate the proper TIflNTHRBAD contact Similarly the status ofthe response to a request l could only be leamed by personal contact
bull (UllFOf167 There was no formal mechanism for managing externally lgenemted requirements to include submitting a new requirement to THINTHREAD or for following the progress ofthe work
l78 FOP SHCREfNCOMINTIl29991123
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maintainin itb just a few userso _ middotmiddot--ihafpemon was a e to_~jer_orc ang ccording to user - - ______ requests-middotreceived (il1Ule telephone or by e-nw owever as more users
3) _PmiddotmiddotmiddotL---8middot~~ are added one person may have difficulty meeting the increased demand o - ------n-ThelackofperBQll~~~y become a problem as =INJHREAD was scaled to handle an lOcreas-eduserlo~ _ I
o o o bull (UFeYQ) A list ofWeb interface functionalities p~~pose4
was not incorporated into TIIINTHREAD 1-----1
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(UtfPOBe) There was nomiddot ptOQeSs for controllin~ and measuring operational programmatic and technical performance effectiveness ofTHINTIIREADJ once deployed
bull (UJlI6ttQ) TIIINTHREAD did not have a clearly stated set ofsystem specifications or a method to validate the THINTHREAD concept or perfonnance results Thus there was no way to determine ifthe system
79
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(euroUIFOOS] was successful or ifit failed which may lead to confusion in stakeholders understanding ofthe success ofTHINTHREAD 1bull (Uf~INTHREAD bad mechanisms for assessing progress and status within the system development phase However there were no systematic consistent mecbanisms for overall program measurement which included identifying test criteria establishing program schedules 1 and documenting a system baseline to address progress No feedback mechanisms had been identified such as risk management or contingency planning 1
bull (UIfffit6) Aside from schedule control there were no tools to measure progress towards program objectives because there were no formalized program objectives 1
bull (UFeuroffJe) THINTHREAD did not have Standards ofPerfonnance established for personnel developing THINTHREAD Iffuture 1TIlINTHREADdevelopment crosses organizational groups a common set ofStandards ofPerfonnance for personnel may become necessary
bull (UIfeOO) There was no configuration management process which could 1 pose a~sk when reporting system ~ro~lems and correcting tt~ I In addition the lack ofa configuration management prtl~ cOwa cause difficulty w~en upgrading or deploying versio~_and-aIso make rollback 1extremely nsky
bull (U17P6t1Q) Th~ fault or w~Jlgdet~on wt a~omated h necessary reactions and ~nseswere l-ot- _ _ __ l software provided ~sirtipIe wayo-ooeck sta1=-o=v=an=o=us==s==----- parameters through a W~jntefface However when an operatorrecowizcSmiddota prolemne must actively initiate conective measures l $omeumes-thafaction is a simple matter such as restarting a process At
- Qilierfifues physical hardware must be changed No corrective action bull- -- -- middotmiddotmiddotCould be executed ifan operator was not present to initiate a corrective l lt~-~~~~~gt bull a_cti_middoto_n_____________________--
i~~~p~ B~36--~--~I~_~__~_~_~~_____~~__~_~ l -
middotmiddot-middotmiddot----Q1IFOUO 1HINTHREAD had no established process for managing 1 reqUiremen~
(UfFOtJO) Reonu~dtioiis~--Thefindings that led to the recommendations l would not have revented the successfuIaepJoYment ofTIIINTHRBAD to
~ e recommendations weremadetQmP2ve=tb=e__--- e ency ofTHINTHREAD after it was deploYedll____--
The follOwing is a list ofrecommendations l L-_~--
bull (P(FQafjJ Develop processes and acquire automated tools based on cIearIx stated specifications for controlling and measuring the l ~=hfc ntipn8tand technical performance ofTHINTHREAD
80
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Omiddot (b) 3J-PL 86-36
bull (UIfOUO) Acquire ~ ~mmercia1ly available conij~tioK~ntro system to enable verstorung rollback and configuration management0 The system should interface with the trouble ficketing systeM aitd the requirements management system to Provi9CfulJ traceabilitY
1 o bull (UiAFeUOjDevelop Stand~ ofP~6imance(iffutWeTIinfrHREADdevelopment crosses orgaruzationlUmiddotgroups) i
1 bull (UnO~A~tomate reactiqns and responses to the existin~ fulfIt ando warmng detection systemL ~ J - 1o
bull (U~ 1stBblish a requirements management process for
o uWAD that is linked tol---__~______---I
(U) Finding 7 Discussiono e number and skill mix ofTHINTHREAD nnel was
o ~1iI~~~~=~nnel required for
13 H L Seuro-36---planning-and executing-installatio so there was a lack of --cfocumentatioDtPIQviding the necessary mam anoo and help desk supporto oonfigurapon managemen~-and planningYlg~~~u1ing CpUectively thyse
o ~_ shortoommgs jeated a senous nsk to successful comp1eti0nL _ J 1 ~_ _ 1-_--I
(UlFOtJ~ Recommendations The finding presented serious risk to successful deployment ofTHINTHREAD It was recommended to continue to identify and o I=~lhord~ofsdll~=-= ired fur
ij ~~lt~~-
a i~~~-PL 86-36 (bJ (5)
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81
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DOCID 3253346
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AppendixH (b) [l) (b) (3) -PL 86-36 i
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~ (U) Introduction
i
(U) Needs Analysis Revisited i
1 82
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(b) (3)-PL 86-36 (U) System Capabilities Overviews
~ The followin section outlines the strenJ
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1 (U) Optimal System
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(U) Cost Analysis middotmiddot(lJ-3JFbull L 86-36
IThotlblwiJfiiinhetica1 soenariiuiiaiiidliowr--------- ay produce a more effective result in terms ofigtOth complexity and cost
A ew assumptions apply
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(U) Conclusion o
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1 NCLASSIFIEDJlFOR OFFleb~l uscAppendix I Glossary (U) BY COMPILATON WHEN ASSO
WITH REST OF D-OCU=t=~IE=N--T__---J 1 (U) r------------------------7b)-(3~)--ampP 86middot36 1
1 l 1 1 1 1
Consultative Committee for International Telegraph and Telephone (CCIT1) 1Consultative Committee for International Telegraph and Telephone is the International organization responsible for the development ofcommunications standards Now called 1 the International Telecommunication Union Telecommunication Standardization Sector
(b)(3) PL 86middot36
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Elettronfc Industries As~odatlon (EIA) A group that specifies eJectrical transmission standards The Electronic Jndustries Association and Telecommunications Induslry I Association have developed numerous well-bown communications standards including l Electronic Industries Association and Telecommunications IndusfIy Association 232 and I Electronic Induslrles Association and Telecommunications Induslly Aosoclaion -449 I
(U)
89 TOP 8JpoundCMT~I~9]911aa
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l International Telecommunication Union Telecommunkation Standardization ~ lSedor (lTV-T) International body that develops worldwide standards for
i
telecommunications teclmologies The International Telecommunication Union Telecommunication Standardization Sector carries out the functions ofthe former Consultative Committee for International Telegraph and Telephone l
i
International Organization for Standardization (ISO) International organization that is responsible for awide range ofstaruiards including those relevant to networking The l International Organization for Standardization developed the Open System Interconnection reference model a popular networking reference model
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I (b) (3) -T Institute of Electrical and Electronics Engineers (IEEE) 8023 Institute ofEIectrical and Electronics Engineers LAN protocol that specifies an implementation ofthe physical layer and the MAC sublayer ofthe data link layer Institute afElectrical and Electronics Engineers 8023 uses Carrier Sense Multiple Access Collision Detect access at a variety ofspeeds over a variety of physical media Extensions to the I Institute ofElectrical and Electronics Engineers 8023 standard specify implementations for Fast Ethernet
(b)3)-P L 86-36
Open System Interconnedion (OSI) International standard~tion program created by International Organization for Standardization and International Telecommunication Union Telecommunication Standardization Sector to develop standards for data networking that facilitate multimiddotvendor equipment interoperability
b)(3)-PL Se-S6
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91
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Telecommunications Industry Associlltfon (IIA) Organization that developsstandards relating to telecommunications technologies Together the TelecommWlications Industry Association and the Electronic Industries Association have fOlDlalized standards such as Electronic Industries Association and Telecommunications Industry Association M232 for the electrical characteristics ofdata transmission
(b)(3)-PL ~6-36
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Appendix J ~esponse to Management Comments (U)
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NSA will a ee to conduct an independent e believe that it will validate all of the assertions niMein our reSpons--egoeImiddotmiddot tOf General recommendations
F=~criedd~~fffl it~ th~~~~nH1p nlan~uA wad dl Iill Iwhich was conaucteaIn an openmiddot ~on1o proVlae ffi~esl oenent lor Agency mISSIOn and customers More Importantly tfiere h~ been no eVldence
documented during this Office ofInspector General investigauQl1 that supports that complaint -~ lib) [3J-lL 86-36 ~
(8181) Audit Response The report doi ~l million e TRAILBLAZE
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(U~anagement Comments NSA recommended that the audit report emphasis NSAs cooperation and responsiveness to Congress
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(UIFOU8) Management Comments NSA recommended that the audit report emphasis that the THINTHRBAD capability is valued by NSA
99
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103
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~Management Comments TRAILBLAZER welcomes an open revi~Qf
~
~--------------------------------------------------~~--~(Sf51) Management Comments NSAj~~~~en~t~d~o~es~n~ot~a~~w~ithlAllth~eDfIoD~~___ Office cfIns etor Generars assessmen
(SSij Audit Response We acknowledge the fact that the current scope ofthe TRAILBLAZER is to provide the infonnation technology ftamework for the entire
104
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(euro) Management Comments NSA managements stated that TRAILBLAZER and ~e Technology Demonstration Platfonn have invested considerable effort to build a signal intelligence architecture that is open and scaleable applies DoQ commercial and NSA
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107
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(Sl8I)Management Comments NSA management comments stated that the Executive ~f
Summarys assertion that NSA disregarded solutions to Uf2ent national security needs ~) (1) is not accurate ~p) (3) -50 USC 40 (1lt) (3)-PL 86-3
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(SNSI) Audit Response NSA comments are inaccurate Major issues raised in the manaSement comments are addressed in the reoort sneciftcallvthe issue of
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108
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also needs clarification j
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(UJ~anagementComments NSAmanag~ent comments stated th~t fue TRAILBLAZER has long-established plans for external assessment ofthe Techlology Demonstration Platfonn for prepamtion for IfliJestone B The Independent Veri1jcAtion and Validation (JVampV) of29 Evaluation Criteria is being conducted by NSAs independent Office ofCorporate Assessmmits Test and Technical Evaluation eleimthlt (TIE) The Early Operational Assessmentiand Operational Assessment will be perfonned by JlTC which had establisheda presence in TRAILBLAZER spaces ~y November 2003 Results ofboth activitieS will be provided to the Milestone Deciaio4 Authority before Milestone B
i (U~ Audit Response TRAILBLAZER postponed Milestone B schedul~ Ifor December 2004 because of technical issues with the Technology Demonstration Platfonn February 200S is the earllest date that TRAILBLAZER will be readr fr MILESTONE B I ~
i
~anagementComments NSA manaampmlmn ~mts staled thatJhe )
I==lYbeprov1a~Mtlone
(8ffSf Management Comments NSA management comments ~tated that the EXecUtile Summarys statement that TRAILBLAZER development wasted I--_____J
109
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~ofdollars is not accurate As the middottlJlModemizanon Study obseni~ TRAILBLAZER is pot only about di~ptnietwork 7~ploitation but also encqIi7nasSs cultural transformation Ie pt9cesses and pohCles) --i ~~J
And although TRAILBLAZER is currently 11 tl1e L-re~v~erop=m=enr1-=ptas=-=elr-tr~-_-a~ dy delivered significant capabilities ~
~- ~ (SfJSl) Audit Response The NSA management comments are inacturate ~r Executive Sunmiary does not claim that TRAILBLAZER development wast
I Iofdollars Instead this phrase is only used to accurately describe p specific liotline complaint allegation that initiated this audit
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110 1OP 8PCBlSTlIeuro1lDfTlIl(tl9111~
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d stated that the
(s) Audit Response We have documented infonnation to support this statement
however because of fear ofreprlsru we agreed to keep the sources anonymous
111
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112
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11 Under Secretary ofDefense for Acquisition Technology and Logistics Under Secretary ofDefense (Comptroller) Under Secretary ofDefense for Intelligence
11 Assistant Secretary ofDefense for Netwerks and Infonnation Integration
11 Other Defense Organization
Director National Security Agency Inspector GeneraJ Natienal Security Agency1] Inspector General Defense Intelligence Agency Inspector General National Geospaual-Intelligence Agency Inspector General Natienal Reconnaissance Office
II Congressional Committees and Subcommittees Chairman and
Ranking Minority Member] Senate Subcommittee onDefense Committee en Appropriations Senate Committee on Anned Services] Senate Select Committee on Intelligence House Subcommittee on Defense Committee on Appropriations House Committee on Armed Services House Permanent Select Committee on Intelligence]
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1
SECURITY CLASSIFICATION f(FiJ ( Cl 1 ] 1NSA STAFF PROCESSING FORM
TO
IKCC CONTROL NUMBERCoS DC09-017-05 THRU ACTION eXREQ SUSPENSE
~=-c=---------------------l 0 APPROVALSUBJECT KCC SUSPENSE (U) (COP liJIiCRSlIIGOMUffl Office of the IG of the Department of IX] SIGNATURE
ELEMENT SUSPENSEDefense Report on TRAILBLAZER and THINTHREAD Systems 0 INfORMATION
DISTRIBUTION
SUMMARY (u)
PIJRPOSE (GONFIDENFfAIoS202911pound3) Attached for your review and signature is the NSA consolidated response to the report from the DoD OIG on requirements for TRAILBLAZER and TIDNTHREAD systems
End als
Alb) 13l-PL lj
86-36
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OFFIce NAME AND DATE OFFICE NAME AND OAlE
ORG PHONE (Secure OATE PREPARED
DC09 963-5021 11 February 2005
SECURITY CLASSIfICATIONDerived from NSAlCSSM 1-52
DATED 23 November 2004 Declassify On 20291123
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NATIONAL SECURITY AGENCY FORT GEORGE G MEADE JiARY~AND 20755-6000
11 February 2005
MEMORANDUM FOR DEPUTY ASSISTANT INSPECTOR GENERAL FOR INTELLIGENCE AUDITS
SUBJECT (UIFOUO) DoD OIG Audit Report Requirements for the TRAILBLAZER and THINTHREAD Systems1 dated December 15 2004 (Report OS-INTELshy03 Project No D2003AL-OlOO) - INFORMATION MEMORANDUM
(UIFtJtJ9+In response to the DoD OIG request for additional information on the TRAILBLAZER and THINTHREAD report NSACSS provides consolidated corporate comments from our Signals Intelligence Directorate Acquisition Organization and Information Technology Infrastructure Services Organization (now the Infalmation Technology Directorate)
NSAlCSS Resllonse
-teTSubsequent to the DoD OIG report the TRAILBLAZER Milestone has been I scheduled for late in the fourth quarter of FYOS from the previously scheduled earlyenr MS B Accordingly this now allows sufficient time for the conduct of the assessmeftt recommended by the DoD OIG
e lIla ze r
b M 2005 Y ay - i
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If_ bave anY QUestiODrr need additional information Pbgt6~~t
(b) (l)
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MARIA N OCONNOR Chief ofStaff
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CONFfDENJfAIffS9291123
NSA STAFF PRO ESSING FORM EXflEG CONTROl NUMBER J(CC CONTROl NUMBER
DA4-04-05 ACTION EXAEG SUSPENSE
-------~_______________I fi] APPROVAL SUBJECT KCC SUSPENse (U~THINTHREAD I TRAILBLAZER 1G [iJ SIGNATURE
ELEMENT SUSPENSEAUDIT REPORT 0 INFORMATION
DISTRI8UTION
SUMMARV
PURPOSE (UtFeYO) To provide the recommended PEO input to the consolidated NSA response regarding actions requested by the final Department of Defense (DoD) Office ofInspector General (OIG) report 05-INTEL-03 Requirements for TRAlLBLAZER and THINTHREAD Systems of 15 December 2004
-tarIn response to ~hidraft7 in August the Agency concurred with comments ~-Tpe following is an excerpt fr9mthose comments laquo The Program Executive Office (PEO) is ta1tingmiddotth~ lead in estab1ishin~an independent review teruv- for Derforming this assessment with the intentiqn that itsJesuIts will be completed in timet I
f IMilestone B documentationraquo
~At the time of this statement (Aug (04) the TRAILBLAZER Milestone B (MSB) was scheduled for December (04 When the final report was published the PEO Assessment had not yet begun Concerned that the assessment could not be completed in time to support a December milestone the DoD OIG requested via the final report that they be provided NSA plans to eliminate the cost and schedule risks for completing the assessment
(GtSince release of the final Audit Report a DIRNSA-Chartered Transformational Advisory Panel (TAP) recommended TRAILBLAZER be rebaselined The MBB is now planned for late Fourth Quarter FY05
COOROINAilONIAPPROVAl
OFFICE NAME AND DATE OFFICE NAME AND DATE sg~degtt~tii
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DATE PREPAREO ~~
l)A4 963-7368 - 8 February 2005 -~---
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FORM Aamps6 REV NOV 1)$ SECURlt ~SSlFI~ilON Oerlved From ($upe~ A8796FE894 =gt l- _COtfFfBENHtu whfch is OOS()feco Declassify On ~~ - of bullmiddotmiddotmiddotmiddotfi bullNSN 754(-FMQOt-5485 - l - _ (b )()3 -Po L bull 8 6-36
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~ (U~he development of this resP~98en~~en coordinated Wit~r-----lmd the TRAILBLAZER Program Manag~m~nt Office
~ RECOMMENDATION
1 (UJFeiffe1 A form~lRfsk Mitigation Plan is not recommended The PEO is committed to cogducting the assessment The team is currently being fOlriled a kick-offm~gjsj)Ianned for March and the team is expected to report to MrJ II INLT May 31st The cost and schedule impact ofconducting the assessment pose very low risk to the Transformational Programs
2 (UIF8YGl Recommend the response provided as an attachment be forwarded to the DoD OIa as part of the Agencys consolidated response to the Final Report
DOCIDe 3253346
1 1 Team Members (U)
(U) The Office of the Deputy Inspector General for Intelligence ofthe Department ofDefense Intelligence-Audit prepared this report Personnel ofthe Office ofthe Inspector General ofthe Department ofDefense who contributed to the report are listed below
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