United States General Accounting Office GAO Report to the Chairman, Subcommittee on Defense, Committee on Appropriations, House of Representatives June 1999 DEFENSE COMPUTERS Management Controls Are Critical to Effective Year 2000 Testing GAO/AIMD-99-172 United States General Accounting Office Accounting and Information Washington, D.C. 20548 Management Division B-282625 Letter June 30, 1999 The Honorable Jerry Lewis Chairman, Subcommittee on Defense Committee on Appropriations House of Representatives Dear Mr. Chairman: You requested that we review the Department of Defense’s (DOD) efforts to integrate and coordinate its various Year 2000 end-to-end test activities. 1 DOD’s approach to conducting Year 2000 end-to-end testing is to have • the military services conduct system integration testing, • the Office of the Secretary of Defense (OSD) coordinate, facilitate, and monitor test and evaluation activities carried out by the military services, Defense agencies, and Commanders in Chief (CINC)2 and, in some cases conduct end-to-end testing for key functional areas such as logistics, communications, and personnel, and • the CINCs conduct military operational exercises to verify their Year 2000 mission readiness. An important aspect of effective end-to-end testing is establishing and implementing management controls that help ensure that tests are planned, executed, and reported on, among other things, in an integrated fashion, and that managers receive timely, reliable, and verifiable information on test results and limitations. Thus, we agreed with your staff to determine whether (1) DOD’s plans recognize relationships and dependencies among these test and evaluation activities and (2) DOD has established the management controls to ensure that its various Year 2000 end-to-end test and evaluation activities are effectively integrated. As DOD conducts 1 End-to-end Year 2000 testing refers to testing performed to verify that a defined set of interrelated systems, which collectively support an organizational core business function or operation, interoperate as intended in a Year 2000 environment. There are three other phases of testing that should precede end-to-end testing, including software unit testing, software integration testing, and system acceptance testing. 2 CINCs are responsible for DOD’s unified combatant commands, which include the Atlantic Command, Central Command, European Command, Pacific Command, United States Forces Korea, Southern Command, Space Command, North American Aerospace Defense Command, Special Operations Command, Strategic Command, and Transportation Command. Leter Page 1 GAO/AIMD-99-172 Defense Computers B-282625 specific test and evaluation events, we will be separately reporting to you on the DOD’s effectiveness in managing these events, including its implementation of end-to-end test management controls. We performed our audit work from October 1998 through April 1999 in accordance with generally accepted government auditing standards. For additional information on our objectives, scope, and methodology, see appendix I. The Office of the Assistant Secretary of Defense provided written comments on a draft of this report. These comments are discussed at the end of this report and reprinted in appendix IV. Results in Brief DOD’s end-to-end test and evaluation plans that were available at the time of our review recognize relationships and dependencies among various end-to-end test and evaluation activities. For example, the North American Aerospace Defense Command (NORAD) operational evaluation plans3 linked the various service and Defense agency information systems to its mission-critical warfighting tasks and operational evaluation scenarios. Similarly, the Army systems integration test plan specified five phases of integration testing activities, one of which was end-to-end testing by the functional areas and another of which was operational evaluations by the combatant commands. We also found that OSD and the Joint Chiefs of Staff (JCS), in order to integrate its various Year 2000 end-to-end test activities, are establishing test and evaluation management controls (structures and processes) that are consistent with the end-to-end test management controls specified in our Year 2000 test guide.4 For example, in August 1998, the Secretary of Defense assigned the CINCs with responsibility for conducting Year 2000 exercises to verify operational readiness. Later in the same month, the Deputy Secretary of Defense assigned interorganizational responsibility and authority for the various end-to-end test activities to OSD functional area focal points to ensure Year 2000 readiness for key functional areas that support the combatant commands’ operations. Also, both OSD and JCS subsequently issued guidance to the military services, Defense agencies and activities, and the CINCs specifying how 3 NORAD’s plans for the first two phases of its operational evaluations were entitled Vigilant Virgo 99-1 and Amalgam Virgo 99-2. 4 Year 2000 Computing Crisis: A Testing Guide (GAO/AIMD-10.1.21, issued as an exposure draft in June 1998; issued in final in November 1998). Leter Page 2 GAO/AIMD-99-172 Defense Computers B-282625 these respective Year 2000 test and evaluation activities were to be planned, executed, and reported. Further, JCS and OSD have established data bases to collect specified data on the respective end-to-end test and evaluation activities. OSD has also established a Year 2000 test and evaluation function to independently evaluate, among other things, end-to-end test and evaluation results. To do this, the designated test director is in the process of defining an assurance-based approach and metrics for measuring the confidence that can be attached to specific test event results. However, this approach and associated metrics have yet to be established, and little time remains for doing so. While DOD’s planning efforts are being coordinated to recognize the relationships among end-to-end test and evaluation activities and it is establishing controls for managing these relationships, there are still significant challenges confronting DOD in the actual execution of these tests. The primary challenge, of course, is time. With less than 7 months remaining before the Year 2000 deadline, Defense cannot afford major slippages in its test and evaluation schedule nor does it have the luxury of redoing tests that prove ineffective or incomplete. Exacerbating this pressure is the fact that, according to Defense, 245 of DOD’s 2,038 mission-critical systems—some of which are needed to execute test and evaluation activities—are not yet Year 2000 compliant, and thus may require invocation of system contingency plans as part of the test and evaluation event. With so little time remaining for DOD’s many organizational components to conduct hundreds of related end-to-end test events, it will be important that end-to-end test and evaluation events are well-managed. In particular, DOD must ensure that its established controls are effectively implemented for each test event. Also, we are recommending that DOD ensure that controls are established for independently ensuring that CINCs, military services, and Defense agencies adhere to established end-to-end test and evaluation guidance, plans, and standards. By doing this, the department’s executive leadership can receive timely and reliable information on test results, progress, and limitations, such as gaps in the scope of end-to-end test events due to the unavailability of compliant systems or tested contingency plans. With such information, DOD leaders can act swiftly to address mission areas at risk by filling voids in test coverage either through additional end-to-end test and evaluation or through contingency planning. In commenting on a draft of this report, DOD concurred with our recommendations and noted that it is taking actions to implement a quality Page 3 GAO/AIMD-99-172 Defense Computers B-282625 assurance program and reinforce the importance of adhering to testing and evaluation management controls. Background To protect the security of the United States, DOD relies on a complex array of computer-dependent and mutually supportive organizational components, including the military services, CINCs, and Defense agencies. It also relies on a broad array of computer systems, which include weapon systems, command and control systems, satellite systems, inventory management systems, transportation management systems, health systems, financial systems, personnel systems, and payment systems. In turn, these systems share thousands of interface connections with systems belonging to private contractors, other government agencies, and international organizations. To effectively ensure that this immense and complex array of organizational units and supporting computer systems is ready for the Year 2000, DOD must verify not only that individual systems function correctly in a Year 2000 environment, but also that sets of interrelated and interconnected systems properly interoperate in such an environment. The depth and complexity of DOD’s organizational structure and its dependency on computer systems is further illustrated in appendix II. GAO’s Past Work on DOD’s Over the last 2 years, we have reviewed DOD’s Year 2000 efforts and Overall Year 2000 Program progress, and made recommendations to strengthen program management. In response, DOD has taken steps to implement our recommendations by Has Identified the Need for providing the controls and guidance needed to fix and test individual Management Controls systems. It has also appropriately shifted its focus to core business areas (i.e., functional areas such as logistics and communications, and combatant commands’ operational areas). Also, the Deputy Secretary has personally become actively engaged in directing and monitoring Year 2000 efforts. We recently testified that a key to the success of these steps rested in putting in place (i.e., establishing, implementing, and enforcing) effective management controls for DOD to have timely and reliable information to know what is going right and what is going wrong so that corrective action can be swift and effective.5 We also identified the need for DOD to gain greater visibility into each of its core business area’s Year 2000 risks and 5 Year 2000 Computing Crisis: Defense Has Made Progress, But Additional Management Controls Are Needed (GAO/T-AIMD-99-101, March 2, 1999). Page 4 GAO/AIMD-99-172 Defense Computers B-282625 readiness. One of the critical areas of visibility that we cited in this regard was end-to-end test activities. End-to-End Testing Is an Complete and thorough Year 2000 testing is essential to provide reasonable, Essential Part of an but not absolute, assurance that (1) new or modified systems process dates correctly and (2) an organization’s ability to perform core business Effective Year 2000 Test operations and functions will not be jeopardized after the millenium. To be Program done effectively, this testing should be managed in a structured and disciplined fashion. Our Year 2000 test guide defines a step-by-step framework for managing all Year 2000 test activities. This framework sets forth five levels of test activity supported by continuous management oversight and control. The first level establishes the organizational key processes needed to effectively direct and support the next four levels. The other four levels define key processes for planning, conducting, and reporting on tests of incrementally larger system components, beginning with tests of software units and culminating with tests of sets of interrelated systems, referred to as end-to-end testing. The purpose of end-to-end testing is to verify that a defined set of interrelated systems, which collectively support an organizational core business area or operation, interoperate as intended in an operational environment (either actual6 or simulated). These interrelated systems include not only those owned and managed by the organization, but also the external systems with which they interface. The boundaries for end-to-end tests are not fixed or predetermined, but rather vary depending on a given business function’s or operation’s system dependencies and criticality to the organizational mission. Therefore, in managing end-to-end test activities, it is important to analyze the interrelationships among core business functions/operations and their supporting systems and the mission impact and risk of date-induced systems failures. It is also important to work early and continually with functional/operational partners to ensure that related end-to-end test activities are effectively coordinated and integrated. 6 Risks of testing in the production environment must be thoroughly analyzed and precautions taken to preclude damage to systems and data. Page 5 GAO/AIMD-99-172 Defense Computers B-282625 DOD Has Initiated Year DOD has underway three closely related end-to-end test and evaluation efforts to verify that the department can perform core functional and 2000 End-to-End Test operational missions in a Year 2000 environment. These are: (1) military and Evaluation service-sponsored system integration tests, (2) functional area Year 2000 end-to-end tests, and (3) CINC operational evaluations. Because the Activities respective DOD organizational components that are conducting these test and evaluation efforts, as described earlier, are mutually dependent, each of these test efforts is also mutually dependent. Military Service System The military services are conducting system integration tests to ensure the Integration Testing correct functioning of the interfaces between interconnected systems and to demonstrate the Year 2000 readiness of selected business functions and operational capabilities. The services have developed system integration test plans that specify high-level test policy and schedules, and that build upon the individual system renovation and validation activities that they have already completed. The test plans specify how the military services will determine whether discrete systems can work together to perform the military service’s missions, including organizing, training, and equipping their respective forces. For example, the Army plans to conduct the Air Defense Operations Test Case to demonstrate that the Air and Missile Defense Workstation can correctly exchange date/time information with Battlefield Functional Area Control Systems. As shown in figure 1, the military services have scheduled system integration tests from February 1999 through mid-October 1999. Figure 1: Military Service System Integration Test Schedule (Calendar Year 1999) JA N FEB M AR APR M AY JU N JU L AUG S EP OCT NOV DEC A rm y Navy M a rin e C orps A ir Fo rc e P rim ary eva lua tion Functional Area End-to-End In August 1998, the Deputy Secretary of Defense directed five OSD focal Testing points, known as Principal Staff Assistants (PSAs), to ensure that their Page 6 GAO/AIMD-99-172 Defense Computers B-282625 respective lines of business or functional areas would continue to operate in the Year 2000. Table 1: Functional Areas Designated for End-to-End Testing Communications Includes telecommunications and other systems used to transmit and receive information Logistics Includes management of material, operation of supply, maintenance activities, material transportation, base operations and support Health/Medical Includes providing medical care to active military personnel, dependents, and retirees Personnel Includes recruiting of new personnel, personnel relocation, civilian disability compensation, veterans education assistance, etc. Intelligence Includes collection, processing, integration, analysis and interpretation of available information concerning foreign countries or areas In response to the Deputy Secretary of Defense’s direction, the PSAs, in collaboration with the military services and Defense agencies, are at various stages of planning and conducting Year 2000 functional end-to-end tests. Specifically, the PSAs have directed the appropriate military service and Defense agency components to identify core business processes, or “threads,” within the respective functional areas. The PSAs are then to determine whether the military service and Defense agency testing and/or CINC Year 2000 operational evaluations (discussed in the next section) adequately assess the designated functional area threads. If not, the PSAs are to direct the appropriate military service or Defense agency component to develop, execute, and report the results of end-to-end tests to fill gaps in thread test coverage. In some cases, such as the health/medical functional area, the PSA may develop and execute the tests. An example of a thread within the logistics functional area is the process that a soldier in the field follows to requisition and receive ammunition from the forward ammunition depot using the unit’s automated requisitioning system and the appropriate distribution system. Testing this thread could involve the supply, transportation, reordering, and procurement activities. Concurrent with the military services’ and Defense agencies’ functional thread designations, the PSAs have drafted high-level functional area end-to-end test plans and schedules and coordinated them with the military services and Defense agencies. As illustrated in figure 2, these plans show Page 7 GAO/AIMD-99-172 Defense Computers B-282625 that functional area end-to-end testing of specified threads will occur through October 1999. Figure 2: End-to-End Testing Schedule for Functional Areas (Calendar Year 1999) JAN FEB MAR APR MAY JUN JUL AUG SEP OCT NOV DEC Logistics Personnel Medical Communications Intelligence Primary evaluation Backup evaluation (timeframes established to conduct additional or supplementary tests or evaluations, if necessary) CINC Operational In August 1998, the Secretary of Defense directed the CINCs to plan and Evaluations execute a series of simulated Year 2000 operational exercises. 7 According to the department, these exercises are to assess whether Defense can still perform the tasks that are critical to carrying out military missions in a Year 2000 environment (for example, tactical warning; transportation of goods, equipment, and personnel; deployment and sustainment of troops; command and control; air refueling; and aeromedical evacuation). DOD has defined almost 500 of these tasks. In response to the Secretary’s direction, each CINC designated a particular operational mission(s) to evaluate and specified the minimum set of tasks needed to perform the mission(s). The CINCs then identified the minimum number of automated systems, known collectively as thin lines, that would be required to complete the critical tasks. For example, NORAD identified a thin line of 65 specific systems needed to complete its Integrated Tactical Warning/Attack Assessment task. Accordingly, it subsequently planned and conducted an operational evaluation to assess its capability to perform this task in a Year 2000 environment. That is, NORAD evaluated the capability of its systems to track and forward missile and space air threats to the National Military Command Center and Cheyenne Mountain Operations 7 Memorandum from the Secretary of Defense, dated August 7, 1998, to the secretaries of the military departments, Chairman of the Joint Chiefs of Staff, Under Secretaries of Defense, et al., regarding Year 2000 compliance. Page 8 GAO/AIMD-99-172 Defense Computers B-282625 Center, with the mission support systems’ clocks rolled forward to January 1, 2000.8 The CINCs, in collaboration with the military services and Defense agencies that support their respective operational missions, report that they are at varying stages of planning and executing their Year 2000 operational evaluations. According to DOD, JCS has scheduled 32 of these operational evaluations through September 1999 that will exercise a subset of DOD’s tasks. As illustrated in figure 3, as of April 12, 1999, 13 evaluations had been reported as completed at seven different combatant commands. Figure 3: CINC Operational Evaluations Schedule (Calendar Year 1999) JAN FEB MAR APR MAY JUN JUL AUG SEP OCT NOV DEC USACOM USCENTCOM USEUCOM USPACOM USFK USSOCOM USSOUTHCOM USSPACECOM NORAD USSTRATCOM USTRANSCOM Primary evaluation Backup evaluation DOD Year 2000 The Deputy Secretary of Defense has acknowledged the need to ensure that DOD’s Year 2000 end-to-end testing efforts recognize key mission End-to-End Test Plans relationships and dependencies between the CINCs, OSD functional areas, Recognize military services, and Defense agencies. Moreover, recent DOD Year 2000 test guidance specifies that the test plans should define relevant Organizational and organizational and system relationships. Unless DOD’s end-to-end test System Dependencies plans do so, the likelihood that key operations and functions will be adequately tested is greatly reduced. 8 As noted in the introduction to this report, we will be reporting separately on DOD’s effectiveness in managing this and other test and evaluation events. Page 9 GAO/AIMD-99-172 Defense Computers B-282625 We reviewed available plans for early operational evaluations as well as draft plans for the initial five functional end-to-end tests and the military service integration tests. Our review showed that DOD’s Year 2000 end-to-end test and evaluation plans recognize relevant organization and supporting systems relationships and dependencies. The results of our review of the plans for the military service integration tests, functional area tests, and operational evaluations, respectively, are summarized below. Military Service System The military services have drafted system integration test plans. We Integration Test Plans reviewed the Army and the Navy system integration plans and found that they generally described relevant relationships with the functional area end-to-end test plans and the CINC operational evaluation plans.9 For example, the Army plan defined its integration testing in five phases: (1) individual system testing, (2) OSD functional end-to-end testing, (3) CINC operational evaluations, (4) Army operational evaluation (to cover any mission threads the OSD and CINC testing did not), and (5) contingency assessment.10 The Army plan also discussed the need to designate organizational responsibility for central, interorganizational coordination of each of the five phases. Functional Area End-to-End Each of the initial five functional areas—communications, logistics, Test Plans personnel, health/medical, and intelligence—have drafted test plans. Our review of drafts of these plans11 showed that all five generally addressed relevant relationships with the CINC operational evaluations. For example, the logistics draft plan described how some functional threads relate to CINC operational thin lines, and it defined processes for coordinating and integrating more detailed test planning, execution, and reporting activities. Also, the functional draft test plans generally described the relationships between the respective functional area testing and the military services’ system integration testing. For example, the logistics test plan specified 9 “U.S. Army Operation Order 99-01, Millennium Passage” (January 1999), “Naval Year 2000 Test Master Plan” (March 1999). 10 Assessment designed to evaluate the ability of DOD to go to war in an environment degraded by Year 2000 failures. 11 Updated plans included in our review were the December 15, 1998, plan for communications; the January 1999, plan for health and medical; the December 22, 1998, plan for intelligence; the January 31, 1999, plan for logistics; and the January 28, 1999, plan for personnel. Page 10 GAO/AIMD-99-172 Defense Computers B-282625 the military service and Defense agency components that are responsible for planning and conducting specific functional thread tests. CINC Operational We reviewed the operational evaluation plans for two completed CINC Evaluation Plans exercises that were performed jointly by NORAD and the U.S. Strategic Command. The first exercise,12 performed from December 2 through 4, 1998, focused primarily on the missile warning element of NORAD’s Integrated Tactical Warning and Attack Assessment function. The follow-on exercise,13 conducted from February 15 through 28, 1999, involved a comprehensive evaluation of NORAD and the Strategic Command’s thin-line systems for air warning, missile warning, space warning, and aerospace control. We found that these plans recognized the CINCs’ dependence on various functional areas and systems. For example, the plans recognized the military service and Defense agency functional systems needed to support the commands’ respective thin-line operational objectives. However, DOD’s execution of initial operational evaluations did not include actually testing certain thin-line functional systems, such as communications and intelligence systems, because the systems were not yet Year 2000 compliant. According to CINC documents, evaluations of the performance of these omitted systems will be included in other DOD organizations’ test plans and verified later. Also, at the time of our review, the DOD operational evaluations that we reviewed did not test any weapon systems. This is because DOD had originally chosen to rely on the military services’ weapon systems integration tests. Since then, DOD has recognized the importance of including weapon systems in selected operational exercises and expanded the exercises to include weapon systems. 12 Known as Vigilant Virgo 99-1. 13 Known as Amalgam Virgo 99-2. Page 11 GAO/AIMD-99-172 Defense Computers B-282625 DOD Is Establishing Our Year 2000 test guide defines management controls for effective Year 2000 test programs. These controls include organizational structures and Management Controls processes (i.e., policies, procedures, plans, and standards) for ensuring that for Integrating test activities, including end-to-end testing, are planned, executed, reported, and overseen in a structured and disciplined manner. End-to-End Testing In the case of end-to-end testing, our guide discusses the need to ensure that relationships among organizations and their systems are effectively managed through interorganizational controls (structures and processes) that govern how testing will be planned, executed, reported, and overseen, and how test results will be used. For example, our guide describes the need to: • clearly establish interorganizational responsibility and accountability for end-to-end test activities; • establish organizational expectations (i.e., policies and guidance) for planning and executing end-to-end testing, including such things as (1) test coverage, test conditions, test metrics, and test reporting content, format, and frequency, and (2) expectations for integrating and coordinating related test activities; and • establish mechanisms for ensuring that (1) end-to-end test expectations are being met, including quality assurance14 controls to validate that collected information is reliable and (2) collected information is effectively shared and used to take needed corrective action. Without such controls, organizations can limit both the effectiveness and efficiency of their end-to-end test activities. DOD has taken a number of actions to establish the management controls needed to integrate and coordinate its various end-to-end test and evaluation activities that are consistent with our Year 2000 test guide. First, DOD assigned interorganizational responsibility and accountability for end-to-end test activities to the OSD PSAs. Specifically, in August 1998,15 the Deputy Secretary of Defense charged the PSAs with ensuring that the 14 The purpose of this quality assurance is to independently ensure that test and evaluation activities and results are complete and accurate and conform to test and evaluation plans, guidance, and standards. 15 Memorandum from the Deputy Secretary of Defense, dated August 24, 1998, to the secretaries of the military departments, Chairman of the Joint Chiefs of Staff, Under Secretaries of Defense, et al., regarding Year 2000 verification of national security capabilities. Page 12 GAO/AIMD-99-172 Defense Computers B-282625 various functions that support DOD’s operational missions can effectively operate in a Year 2000 environment. Second, DOD issued guidance and direction on Year 2000 test planning, execution, and reporting. For example, in addition to its guidance on creating and executing operational evaluations, JCS issued draft guidance in October 1998 to the CINCs defining how Year 2000 operational evaluations should be planned and executed. This guidance, which was updated in April 1999,16 addressed the need to ensure that these evaluations are coordinated with functional end-to-end tests and military service integration tests, and how the results should be analyzed and reported. Also, in late 1998, the Office of the Assistant Secretary of Defense for Command, Control, Communications, and Intelligence (OASD/C3I) began briefing functional representatives in Defense agencies and the military services on test expectations. Further, in March 1999, OASD/C3I issued appendix I to DOD’s Year 2000 Management Plan, 17 which provides additional guidance on planning, executing, and evaluating functional end-to-end testing. Third, DOD is establishing mechanisms for collecting information on end-to-end test progress and results and ensuring that it is reliable and available for management action. For example, JCS has developed a central data base to store and analyze selected data about each operational evaluation that the CINCs are required to report in their plans and in reports that are to be submitted to the Joint Chiefs of Staff following the evaluations.18 OSD is defining end-to-end functional test metrics that will be collected from the functional thin line/system integration tests and stored/analyzed in an OSD data base. Also, in December 1998, OASD/C3I and JCS began holding biweekly Year 2000 meetings19 with representatives from OASD/C3I, JCS, the CINCs, the military services, and the Defense agencies. The purpose of these meetings is to facilitate coordination and integration of the various end-to-end test activities that cut across 16 Joint Staff Year 2000 Operational Evaluation Guide, Version 3.0, April 1, 1999. 17 DOD Year 2000 Management Plan, Version 2.0, appendix I, Guidelines to Support DOD Y2K Operational Readiness. 18 Joint Chiefs of Staff guidance requires the CINCs to submit reports 7 days and 30 days after the completion of a Year 2000 test that describe the evaluation, the critical mission(s) and task(s) and thin line systems that were assessed, failures that occurred during the evaluation, and actions to correct problems. 19 Known within Defense as synchronization meetings. Page 13 GAO/AIMD-99-172 Defense Computers B-282625 organizational boundaries. Further, in February 1999, OASD/C3I established a Year 2000 test and evaluation function to independently evaluate, among other things, end-to-end test and evaluation results. To do this, the designated test director is in the process of defining an assurance-based approach and metrics for measuring the confidence that can be attached to specific test event results. However, this quality assurance approach and associated metrics have yet to be established, and little time remains for doing so. DOD Must Ensure That An effective system of internal management controls requires both timely establishment of such controls (i.e., definition and institutional awareness Its End-to-End Test and understanding) and consistent implementation of the controls (i.e., Events Effectively adherence and enforcement). As discussed above, we found that with the exception of the end-to-end test and evaluation quality assurance process, Implement Established DOD has established end-to-end test management controls that are Management Controls consistent with our Year 2000 test guide. However, establishing controls is only part of what DOD needs to do to ensure that its end-to-end test activities are effectively managed. DOD must also ensure that these controls are adhered to and enforced in planning, executing, and reporting the results of actual end-to-end test events. Fully implementing and enforcing these end-to-end test management controls would be important if DOD was conducting only a handful of Year 2000 end-to-end test events and its component organizations’ missions were not so dependent on compliant systems. However, DOD is conducting literally hundreds of end-to-end test activities and events within an intense 9-month period (February to mid-October 1999), and some of these activities are closely related. As a result, adherence to these controls is absolutely critical. To illustrate this criticality, we discussed earlier in the report that some systems that are to be part of the thin-line operational evaluations are not yet compliant and thus are unavailable for a given test event. As of March 31, 1999, 245 of 2,038 mission-critical systems, some of which may be included in an operational evaluation, were reported as being not yet compliant.20 In cases where systems are not yet ready, CINCs can either (1) implement the system contingency plan, (2) postpone the operational 20 Appendix III provides examples of key systems that are currently behind schedule and describes their importance to Defense’s mission. Page 14 GAO/AIMD-99-172 Defense Computers B-282625 evaluation until the necessary thin line of systems is ready, (3) not test the system and assume proper functioning of the thin line of systems, or (4) count on other DOD organizations to verify the missing thin line at a later date. Regardless, these delays and gaps can not only affect the particular end-to-end test event, but also can affect related test events. While DOD is establishing end-to-end test management controls for identification and disposition of these delays and gaps in its various end-to-end test events, these controls must be followed to be effective. To do less could limit DOD’s end-to-end testing effectiveness, and thus its Year 2000 operational readiness. Conclusions DOD has underway or planned hundreds of related Year 2000 end-to-end test and evaluation activities that must be completed in a relatively short time. Thus far, DOD is taking steps to ensure that these related end-to-end activities are effectively coordinated. This is evidenced by the fact that draft and final test and evaluation plans for the various functional and operational mission areas recognize relevant interorganizational relationships and dependencies, and the fact that important management controls have either been established or are being established. However, DOD is far from successfully completing its various Year 2000 end-to-end test activities, and much remains to be addressed and accomplished. To effectively do so, DOD must ensure that it completes efforts to establish end-to-end test management controls specified in our Year 2000 test guide—namely, establishing an independent quality assurance program for ensuring that its test guidance, plans, and standards are being met and that any deviations or other reasons for low confidence in end-to-end test results are brought to the attention of senior managers. Also, it must ensure that it effectively implements all of the controls it has included in its various plans so that DOD executive leadership receives timely and reliable information on end-to-end test results and limitations. With such information, DOD leaders can act swiftly to correct known problems and to fill voids in test coverage either through additional end-to-end test and evaluation or through contingency planning. Recommendations We recommend that the Secretary of Defense (1) direct the Assistant Secretary for C3I to immediately implement a quality assurance program for end-to-end test and evaluation activities under the newly designated Page 15 GAO/AIMD-99-172 Defense Computers B-282625 Year 2000 test director to provide independent evaluations of test event results and (2) reiterate to the OSD, JCS, and military service end-to-end testing principals the importance of ensuring that established end-to-end test and evaluation management controls are implemented and enforced on their respective end-to-end events, and that deviations from these controls be disclosed through existing Year 2000 reporting mechanisms. Agency Comments and The Office of the Assistant Secretary of Defense provided written comments on a draft of this report, which are reprinted in appendix IV. Our Evaluation DOD concurred with both of our recommendations and outlined the actions it has planned, or already begun, to implement them. Regarding our recommendation that Defense immediately implement a quality assurance program for end-to-end test and evaluation activities, Defense acknowledged that such a program should have been implemented in the design phase of its testing activities and stated that it has initiated steps to implement a program that will include (1) Inspector General independent audits of test results, (2) military service operational test agencies’ review of test results, and (3) funding to support service and agency operated independent verification and validation activities. Regarding our recommendation that the Deputy Secretary of Defense reiterate the importance of ensuring that test and evaluation management controls are implemented and enforced, Defense stated that it has begun implementing our recommendation by making modifications to its Year 2000 guidance and by reinforcing the importance of adhering to management and reporting controls at Year 2000 Executive-Service Principals’ meetings, Year 2000 Steering Committee meetings, and the synchronization meetings. We are sending copies of this report to Representative John P. Murtha, Ranking Minority Member, Subcommittee on Defense, House Appropriations Committee, Senator John Warner, Chairman, and Senator Carl Levin, Ranking Minority Member, Senate Committee on Armed Services; Senator Ted Stevens, Chairman, and Senator Daniel Inouye, Ranking Minority Member, Subcommittee on Defense, Senate Committee on Appropriations; Representative Floyd Spence, Chairman, and Ike Skelton, Ranking Minority Member, House Committee on Armed Services. We are also sending copies to the Honorable John Koskinen, Chair of the President’s Year 2000 Conversion Council; the Honorable William Cohen, Secretary of Defense; the Honorable John Hamre, Deputy Secretary of Defense; General Henry Shelton, Chairman of the Joint Chiefs of Staff, Arthur Money, Senior Civilian Official of the Office of the Assistant Page 16 GAO/AIMD-99-172 Defense Computers B-282625 Secretary of Defense for Command, Control, Communications, and Intelligence; and the Honorable Jacob J. Lew, Director, Office of Management and Budget. Copies will also be made available to others upon request. If you have any questions about this report, please call me at (202) 512-6240. Other key contributors of this report are listed in appendix V. Sincerely yours, Jack L. Brock, Jr. Director, Governmentwide and Defense Information Systems Page 17 GAO/AIMD-99-172 Defense Computers Contents Letter 1 Appendix I 20 Objectives, Scope, and Methodology Appendix II 22 Complexity of DOD’s Organizational Structure and Reliance on Computer Systems Appendix III 28 Examples of Key DOD Mission-Critical Systems Reported to Be Behind Schedule Appendix IV 29 Comments From the Department of Defense Appendix V 32 GAO Contact and Staff Acknowledgements Table Table 1: Functional Areas Designated for End-to-End Testing 7 Page 18 GAO/AIMD-99-172 Defense Computers Contents Figures Figure 1: Military Service System Integration Test Schedule (Calendar Year 1999) 6 Figure 2: End-to-End Testing Schedule for Functional Areas (Calendar Year 1999) 8 Figure 3: CINC Operational Evaluations Schedule (Calendar Year 1999) 9 Figure II.1: High-Level DOD Organizational Chart 23 Figure II.2: High-Level Army Organizational Chart 24 Figure II.3: High-Level Army Materiel Command Organizational Chart 25 Abbreviations C3I Command, Control, Communications, and Intelligence CINC Commanders in Chief CIO Chief Information Officer DOD Department of Defense DSN Defense Switch Network GCCS Global Command and Control System JCS Joint Chiefs of Staff NORAD North American Aerospace Defense Command OASD/C3I Office of the Assistant Secretary of Defense for Command, Control, Communications, and Intelligence OSD Office of the Secretary of Defense PSA Principal Staff Assistant TBMCS Theater Battle Management Core System Page 19 GAO/AIMD-99-172 Defense Computers Appendix I Objectives, Scope, and Methodology AppeIx ndi Our objectives were to determine if (1) DOD’s plans for Year 2000 functional tests, military service integration tests, and operational evaluations recognize the relationships and dependencies among these test and evaluation activities and (2) DOD has established the management controls to ensure that its various Year 2000 end-to-end test and evaluation activities are effectively integrated. As such, this report does not address controls related to other Year 2000-related test activities, including software unit testing, software integration testing, and system acceptance testing. Nor does it address the actual implementation of controls for specific end-to-end test activities. To accomplish the first objective, we reviewed Defense’s Year 2000 Management Plan (Version 2.0, December 1998). We also analyzed end-to-end test plans initially issued in the October 1998 time frame by DOD officials at the direction of the Deputy Secretary of Defense for five functional areas: communications, health and medical, intelligence, logistics, and personnel. Since these plans were considered to be working documents, we also analyzed updated plans issued from December 1998 through January 1999 for the same five functions.1 In addition, we obtained and reviewed test plans for two of the operational evaluations performed at the North American Aerospace Defense Command (NORAD) and U.S. Strategic Command, and also witnessed operational tests conducted during February 1999 at NORAD. We also reviewed integration testing plans for each of the military services—the Army, Navy, Air Force, and Marine Corps. We discussed these plans with the Deputy Secretary of Defense and other responsible DOD executives, including the Senior Civilian Official of the Office of the Assistant Secretary of Defense for Command, Control, Communications, and Intelligence, who serves in the capacity of the DOD Chief Information Officer (CIO), the Deputy CIO, Joint Chiefs of Staff and CINC officials, and Defense agency and military service personnel. To accomplish the second objective, we reviewed Defense’s Year 2000 Management Plan (Version 2.0, December 1998) and DOD Year 2000 guidance, such as guidance provided in memoranda regarding the Year 2000 initiative issued by the Secretary of Defense on August 7, 1998, and the Deputy Secretary of Defense on August 24, 1998, and other DOD guidance. We compared DOD’s plans and guidance to controls defined in our Year 1 Updated plans included in our review were the December 15, 1998, plan for communications; the January 1999, plan for health and medical; the December 22, 1998, plan for intelligence; the January 31, 1999, plan for logistics; and the January 28, 1999, plan for personnel. Page 20 GAO/AIMD-99-172 Defense Computers Appendix I Objectives, Scope, and Methodology 2000 test guide2 as a basis for identifying strengths and weaknesses. We also discussed Defense’s management controls for Year 2000 testing efforts with the Deputy Secretary of Defense; CIO officials; Joint Chiefs of Staff and CINC officials; and Defense agency and military service personnel. Further, we attended monthly DOD Year 2000 Steering Committee meetings, Year 2000 synchronization meetings, and Year 2000 training sessions where various efforts to address DOD testing issues were discussed. We performed our audit work from October 1998 through April 1999 in accordance with generally accepted government auditing standards. 2 Year 2000 Computing Crisis: A Testing Guide (GAO/AIMD-10.1.21). Published as an exposure draft in June 1998 and finalized in November 1998. Page 21 GAO/AIMD-99-172 Defense Computers Appendix II Complexity of DOD’s Organizational Structure and Reliance on Computer Systems ApIpexndi DOD is the largest and most complex organization in the world. To accomplish its missions, DOD employs a matrixed organizational structure. Administratively, DOD is organized into the following major organizational units: the Office of the Secretary of Defense (OSD); the Joint Chiefs of Staff (JCS); the unified combatant commands, such as the Atlantic Command and the Transportation Command; and the military services (Army, Navy, Air Force, and Marine Corps). (See figure II.1.) Page 22 GAO/AIMD-99-172 Defense Computers Appendix II Complexity of DOD’s Organizational Structure and Reliance on Computer Systems Figure II.1: High-Level DOD Organizational Chart Secretary of Defense Deputy Secretary of Defense Department of the Department of the Office of the Department of the Navy Joint Chiefs of Staff Army Air Force Secretary of Defense Secretary of the Chairman JCS Secretary of the Navy Air Force The Joint Staff Under Under Under Secretaries Vice Chairman, JCS A Secretary Secretary Assistant Secretaries Chief Commandant Chief Chief of Staff, Army and and of Defense of of of Assistant Assistant and Equivalents Chief of Naval Naval Marine Staff Secretaries Secretaries Operations Operations Corps Air Force of the of the Navy Air Force Chief of Staff, Air Force Commandant, Marine Corps Marine Navy Air Force Corps Major Major Major Commands Commands Commands & Agencies & Agencies & Agencies DOD Field Activities Defense Agencies Unified Combatant Commands American Forces Information Service Defense Advanced Research Projects Agency Atlantic Command Defense Prisoner of War/Military Ballistic Missile Defense Organization Central Command Police Office Defense Commissary Agency European Command DOD Education Activity Defense Contract Audit Agency Pacific Command DOD Human Resources Activity Defense Finance and Accounting Service • United States Forces Korea Office of Economic Adjustment Defense Information Systems Agency Southern Command TRICARE Management Activity Defense Intelligence Agency Space Command Washington Headquarters Services Defense Legal Services Agency • NORAD Defense Logistics Agency Special Operations Command Defense Security Cooperation Agency Strategic Command Defense Security Service Transportation Command Defense Threat Reduction Agency National Imagery and Mapping Agency* National Security Agency/Central Security Service* *Reports directly to Secretary of Defense Under OSD are numerous large Defense agencies and field activities, including the Defense Logistics Agency, Defense Finance and Accounting Service, and Defense Information Systems Agency. Similarly, under each of the military services are many large organizational units. For example, the Army has 15 major commands and numerous other functional activities, Page 23 GAO/AIMD-99-172 Defense Computers Appendix II Complexity of DOD’s Organizational Structure and Reliance on Computer Systems such as the Army Materiel Command and the 8th U.S. Army. (See figure II.2.) Figure II.2: High-Level Army Organizational Chart A Department of the Army Secretary of the Army Under Secretary of the Army Chief of Staff Army Assistant Secretaries: Director of Information Systems for Command, Control, Communications Civil Works and Computers Financial Management The Inspector General & Comptroller The Auditor General Installations & Environment Chief of Legislative Liaison Manpower & Reserve Chief of Public Affairs Affairs Director of Office Small & Acquisition, Logistics Disadvantaged Business Utilization & Technology Deputy Chiefs of Staff: ACS Installation Management Major Commands: Intelligence Corps of Engineers Chief of Engineers Logistics Criminal Investigation Command Operations & Plans The Surgeon General Medical Command Personnel Intelligence and Security Command Chief National Guard Bureau Military District of Washington Chief Army Reserve Space and Missile Defense Command The Judge Advocate General Forces Command Training and Doctrine Command Chief of Chaplains Special Operations Command Military Traffic Management Command B Army Materiel Command U.S. Army Europe and 7th Army 8th U.S. Army U.S. Army Pacific U.S. Army South All of these Army units are in turn very large organizations. The Army Materiel Command alone employs more than 65,000 civilian and military employees at 285 locations worldwide, and ranks in business volume with Page 24 GAO/AIMD-99-172 Defense Computers Appendix II Complexity of DOD’s Organizational Structure and Reliance on Computer Systems the top 10 corporations in the U.S. It consists of nine subordinate commands (e.g., the Army Aviation and Missile Command, the Army Communications-Electronics Command, and the Army Research Laboratory) and 11 reporting activities (e.g., the Army Materiel Systems Analysis Activity and Army Materiel Command-Europe). (See figure II.3.) Figure II.3: High-Level Army Materiel Command Organizational Chart B Army Materiel Command (AMC) Major Separate Subordinate Reporting Commands Activities Aviation & Missile Command Systems Analysis Activity Research Laboratory Europe Communications-Electronics Command Inspector General Activity Industrial Operations Command Installations and Service Activity Soldiers & Biological Chemical Command Logistics Support Activity Simulation, Training & Instrumentation Command School of Engineering and Logistics Tank-Automotive & Armaments Command Field Assistance Science and Technology Test and Evaluation Command International Cooperative Programs Activity Security Assistance Command Intelligence and Technology Security Activity Integrated Procurement Systems Office Logistics Support Element Page 25 GAO/AIMD-99-172 Defense Computers Appendix II Complexity of DOD’s Organizational Structure and Reliance on Computer Systems Operationally, DOD’s combatant forces are assigned to a combatant command. Each of these combatant commands is responsible for military operations for specified geographic regions or theaters of operations. To support each of these commands, DOD has assigned specific operational support responsibilities to its many other organizational units, including OSD, the military services, Defense agencies, and other commands. For example, if a conflict erupted in the Pacific or Indian Oceans, the Pacific Command would be the DOD organizational unit responsible for all military operations in that region, and its CINC would report directly to the National Command Authority, which consists of the President of the United States and the Secretary of Defense. Also, the Pacific Command CINC would be supported by (1) military service components (e.g., U.S. Army Pacific, Marine Forces Pacific, U.S. Pacific Fleet, U.S. Pacific Air Forces), (2) subordinate unified commands (e.g., 8th U.S. Army, U.S. Forces Japan, U.S. Forces Korea), (3) standing joint task forces (e.g., Joint Interagency Task Force West, Joint Task Force-Full Accounting), and (4) other supporting units (e.g., Asia-Pacific Center for Security Studies, Joint Intelligence Center Pacific). In short, this specified mix of DOD organizational entities, and their supporting systems, would interoperate to collectively fulfill the specified Pacific Command mission. DOD’s Organizations DOD relies extensively on computer systems. Its portfolio includes weapon systems, command and control systems, satellite systems, Are System Reliant inventory management systems, transportation management systems, health systems, financial systems, personnel systems, and payment systems. Collectively, DOD reports that it operates and maintains more than 1.5 million computers, 28,000 systems, and 10,000 networks. Further, DOD exchanges information with thousands of public and private sector business partners, which involve thousands of system and network interfaces. Each of DOD’s organizational units is also system reliant. For example, the Army depends on about 1,200 systems, of which roughly 400 are considered by the Army to be mission-critical. Each of its major commands similarly is system dependent. The Army Materiel Command, for example, has reported that it depends on approximately 650,000 computer applications and system infrastructure devices, about 1,800 of which support weapon systems (e.g., the AH-64A Apache and AH-64D Apache Longbow attack helicopters, the M1A2 Abrams tank system, the M2/M3A3 Bradley fighting vehicle, and the Patriot missile system). The command also reports that it Page 26 GAO/AIMD-99-172 Defense Computers Appendix II Complexity of DOD’s Organizational Structure and Reliance on Computer Systems is responsible for 81 mission-critical business systems that involve 350 data exchange interfaces. L ertet Page 27 GAO/AIMD-99-172 Defense Computers Appendix III Examples of Key DOD Mission-Critical Systems Reported to Be Behind Schedule AIpIexndi We testified in March 19991 and April 19992 that while Defense had recently made progress by providing the controls and guidance needed to fix and test systems, it was behind schedule. The following are three examples of some of these systems. • First, the Global Command and Control System (GCCS) system is deployed at more than 600 sites worldwide and is Defense's primary system for generating a common operating picture of the battlefield for planning, executing, and managing military operations. Completion of the component-level GCCS at some locations is currently scheduled for as late as September 30, 1999. • Second, the Defense Switch Network (DSN), scheduled to be completed by September 30, 1999, is the primary long-distance voice communications service for DOD. DSN provides both dedicated and common-user voice communications services at all priority levels for command and control and special command and control users as well as routine service for administrative users throughout the department. • Third, the Theater Battle Management Core System (TBMCS) is being developed by the Air Force and is intended to replace three Year 2000 non-compliant legacy systems. TBMCS is to be a primary support tool used by theater commanders to provide information to the warfighter and for peacetime and humanitarian operations. Because of developmental problems that have resulted in schedule slippages, the Air Force does not expect to fully implement TBMCS until September 30, 1999, at the earliest. Schedule slippages have also caused the Air Force to remediate a legacy system, the Contingency Theater Automation Planning System—scheduled to be completed in September 1999—in the event of further delays to TBMCS. 1 Year 2000 Computing Crisis: Defense Has Made Progress, But Additional Management Controls Are Needed (GAO/T-AIMD-99-101, March 2, 1999). 2 Year 2000 Computing Crisis: Federal Government Making Progress But Critical Issues Must Still Be Addressed to Minimize Disruptions (GAO/T-AIMD-99-144, April 14, 1999). Page 28 GAO/AIMD-99-172 Defense Computers Appendix IV Comments From the Department of Defense ApV Ienxdi Page 29 GAO/AIMD-99-172 Defense Computers Appendix IV Comments From the Department of Defense Page 30 GAO/AIMD-99-172 Defense Computers Appendix IV Comments From the Department of Defense Page 31 GAO/AIMD-99-172 Defense Computers Appendix V GAO Contact and Staff Acknowledgements ApV enxdi GAO Contact Randolph C. Hite, (202) 512-6240 Acknowledgements In addition to the above contact, Ronald B. Bageant, Scott A. Binder, Cristina T. Chaplain, Katherine I. Chu, Richard B. Hung, Steven M. Hunter, Myong S. Kim, Robert P. Kissel, Jr., Denice M. Millett, Madhav S. Panwar, Robert G. Preston, Karen S. Sifford, Alicia L. Sommers, and Yvonne J. Vigil made key contributions to this report. (511656) L ertet Page 32 GAO/AIMD-99-172 Defense Computers Ordering Information The first copy of each GAO report and testimony is free. Additional copies are $2 each. 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Defense Computers: Management Controls Are Critical to Effective Year 2000 Testing
Published by the Government Accountability Office on 1999-06-30.
Below is a raw (and likely hideous) rendition of the original report. (PDF)