DEPARTMENT OF HOMELAND SECURITY 

Office of Inspector General 

DHS Must Address Significant Security 

Vulnerabilities Prior To TWIC 

Implementation 

(Redacted) 

Office of Information Technology 

OIG-06-47 July 2006

Notice: The Department of Homeland Security, Office of Inspector General, has redacted this report 

for public release. A review under the Freedom of Information Act will be conducted upon request. 
Office of Inspector General 

U.S. Department of Homeland Security 

Washington, DC 20528

 

July 7, 2006 

Preface 

The Department of Homeland Security (DHS) Office of Inspector General (OIG) was established by 

the Homeland Security Act of 2002 (Public Law 107-296) by amendment to the Inspector General 

Act of 1978. This is one of a series of audit, inspection, and special reports prepared by our office as 

part of our DHS oversight responsibility to promote economy, effectiveness, and efficiency within 

the department. 

This report addresses our assessment of the adequacy of security controls implemented for the 

systems supporting the Transportation Worker Identification Credential (TWIC) program prototype. 

It is based on direct observations, security vulnerability assessments, and an analysis of applicable 

TWIC documents. We obtained additional supporting information through interviews with 

employees and officials in the TWIC Program Office and the Transportation Security 

Administration’s (TSA) Office of the Chief Information Officer (OCIO), as well as personnel 

located at the ----------- ---- ---- --- ; TWIC contractor facilities; TSA’s --------------------- Operations 

Center; TSA’s Screening Gateway; and U.S. Customs and Immigration Services’ (USCIS) card 

production facility. This report also includes an evaluation of the TWIC prototype systems against 

the Federal Information Security Management Act (FISMA) requirements. 

The recommendations herein have been developed to the best knowledge available to our office, and 

have been discussed in draft with those responsible for implementation. It is our hope that this 

report will result in more effective, efficient, and economical operations. We express our 

appreciation to all of those who contributed to the preparation of this report. 

 

Richard L. Skinner 

Inspector General 
Table of Contents/Abbreviations 

 

DHS Must Address Significant Security Vulnerabilities Prior To TWIC Implementation

Executive Summary....................................................................................................................... 1 

Background.................................................................................................................................... 2 

 

 Results of Audit ............................................................................................................................. 8 

Security Vulnerabilities Jeopardize TWIC Program Implementation.................................... 8 

Additional TWIC Program and Security-Related Concerns ................................................ 12 

Recommendations ................................................................................................................ 16 

Management Comments and OIG Analysis......................................................................... 16 

Appendices 

 Appendix A: Purpose, Scope, and Methodology ..................................................................... 19 

 Appendix B: Management’s Response.................................................................................... 22 

 Appendix C: TWIC System Layout......................................................................................... 26 

 Appendix D: Instances of Security Vulnerabilities Detected By Location & System............. 27 

 Appendix E: Number of Security Vulnerabilities Identified By Location .............................. 28 

 Appendix F: Summary of Significant Security Vulnerabilities Identified and 

Potential Threats................................................................................................. 29 

 Appendix G: Major Contributors to this Report ..................................................................... 31 

 Appendix H: Report Distribution............................................................................................. 31 

Abbreviations 

CIO Chief Information Officer 

DHS Department of Homeland Security 

FISMA Federal Information Security Management Act 

HSPD Homeland Security Presidential Directive 

ID Identification 

IDMS Identification Management System 

ISS Internet Security Systems 

ISSM Information Systems Security Manager 

ISSO Information Systems Security Officer 

IT Information Technology 

NIST National Institute of Standards and Technology 

OCIO Office of the Chief Information Officer 

OIG Office of Inspector General 

POA&M Plan of Action and Milestones 

------------ --------------- -------- --------------- ------------ - ------ ------- 

ST&E Security Testing and Evaluation 

---------- ----------------------------- ------------ ---------------- 
Table of Contents/Abbreviations 

 

DHS Must Address Significant Security Vulnerabilities Prior To TWIC Implementation

---------- ------------------------------- --------------- ----------- 

TSA Transportation Security Administration 

TWIC Transportation Worker Identification Credential 

USCG U. S. Coast Guard 

USCIS U. S. Customs and Immigration Services 
OIG 

Department of Homeland Security 

Office of Inspector General 

DHS Must Address Significant Security Vulnerabilities Prior To TWIC Implementation

Page 1 

Executive Summary 

We audited the information security management and access 

controls implemented for the systems supporting the 

Transportation Worker Identification Credential (TWIC) program 

prototype phase. TWIC is an important part of TSA’s efforts to 

improve the security of the nation’s transportation system. It 

establishes a system-wide, common credential that may be 

universally accepted across all transportation modes, for all 

personnel requiring unescorted physical access to secure areas and 

logical access to information and systems within transportation 

facilities. 

Our audit objective was to determine whether adequate system 

security controls have been implemented on TWIC systems to 

protect sensitive and biometric data from unauthorized access, use, 

disclosure, disruption, modification, or destruction. Our audit 

work was based on direct observations; vulnerability and wireless 

system security scans; and an analysis of applicable TWIC 

documents. In addition, we interviewed management officials and 

security personnel located at the TWIC Program Office; TSA’s 

Office of Chief Information Officer (OCIO); ----------- -- ------- ; 

TWIC contractor’s main ------------------- offices and datacenter; 

--------------------- Operations Center; Screening Gateway; and, the 

USCIS facility. Fieldwork was conducted from November 2005 

through March 2006. 

We determined that significant security vulnerabilities existed 

relative to the TWIC prototype systems, documentation, and 

program management. Furthermore, we are raising a number of 

additional program and security-related concerns that we identified 

during the course of our fieldwork. Due to the number and 

significance of the weaknesses identified, TWIC prototype systems 

are vulnerable to various internal and external security threats.
DHS Must Address Significant Security Vulnerabilities Prior To TWIC Implementation

Page 2 

 

The security related issues identified may threaten the 

confidentiality, integrity, and availability of sensitive TWIC data. 

Until remedied, the significant security weaknesses jeopardize the 

certification and accreditation of the systems prior to full 

implementation of the TWIC program. 

We are recommending that the Assistant Secretary for TSA direct 

the Assistant Administrator and Chief Information Officer (CIO), 

Operational Process and Technology, to establish a formal 

structure for the oversight and management of security for the 

TWIC program. An effective security management structure, the 

timely remediation of system and configuration management 

vulnerabilities, and the revision and development of necessary 

security documentation and standard operating procedures are 

essential to attain a robust security posture for the TWIC program 

prior to full implementation. In response to our draft report, TSA 

concurred with and has already taken steps to implement the 

recommendations. 

Background 

The mission of TSA is to protect the nation’s transportation 

systems to ensure freedom of movement for people and commerce. 

The TWIC program is being developed in response to threats and 

vulnerabilities identified in our nation’s transportation system, in 

accordance with the requirements of the Aviation and 

Transportation Security Act of 2001 (Public Law 107-71),1 and the 

Maritime Transportation Security Act of 2002 (Public Law 

107-295),2 as well as other statutory mandates. TSA and the 

United States Coast Guard (USCG) are partnering to issue a joint 

regulation that will outline various requirements and applicability 

for TWIC to address the threats and vulnerabilities that have been 

detected in our nation’s transportation system. The regulation will 

seek to achieve the security benefits that Congress expected when 

1

 The Aviation and Transportation Security Act authorizes TSA to assess security threats to the 

transportation system and develop policies and programs to counter those threats, including background 

checks for transportation workers with unescorted access to secure areas. 2

 The Maritime Transportation Security Act requires increased security of the U. S. maritime domain, 

specifically ports, facilities, and vessels, including a requirement for the completion of background checks 

and issuance of biometric transportation security cards for all maritime personnel requiring access to 

secured areas of facilities and vessels. As the implementing agency of MTSA, the USCG implemented 

federal regulations to clearly outline the intent of the law and provide specific requirements to ensure 

compliance with the law. 33 C.F.R. §§ 101.100 et seq. 
DHS Must Address Significant Security Vulnerabilities Prior To TWIC Implementation

Page 3 

the Maritime Transportation Security Act was enacted without 

imposing unnecessary burdens on the regulated community. 

Initially, only seaports and airports will be covered by the 

regulation being developed. 

The TWIC is a secure identification card that is about the size of a 

credit card. This card can be used by transportation workers3 for 

unescorted physical access4

 to secure areas and logical (cyber) 

access to information and systems within transportation facilities. 

The TWIC verifies a transportation worker’s identity by linking a 

person’s claimed identity and background information to that 

person’s stored physical characteristics. Figure 1 contains a TWIC 

prototype card example. 

Figure 1 

Source: ------- -------- - TWIC Program Brief 

 

3

 A transportation worker is defined as any owner, operator, or contractor assisting or engaged in the 

movement of cargo, sale of goods within a transportation facility, or the development and maintenance of 

information technology (IT) systems. Any person within the transportation industry whose job may require 

unescorted access to a secure area or transportation industry site might be eligible for a TWIC card. 4

 Unescorted access is the permission granted to an individual to enter a facility or computer system 

without requiring an authorized individual to accompany them. 
DHS Must Address Significant Security Vulnerabilities Prior To TWIC Implementation

Page 4 

TWIC Program Objectives

The TWIC program is to design and field a common credential or 

standard for all transportation workers across the U.S. who require 

unescorted access to secure areas at seaport, airport, rail, pipeline, 

trucking, and other mass-transit facilities. A TWIC card is to serve 

as an integrated credential-based identity management system for 

all those transportation workers. The requirements for this 

credentialing include the verification of each TWIC holder’s 

identity, a successful background/threat assessment, and the use of 

biometric technology to link each credential to its rightful holder. 

The TWIC program goals are to: (1) improve security by reducing 

risks associated with fraudulent or altered credentials by using 

biometrics to positively match an individual to the credential; 

(2) enhance commerce by reducing the need for multiple 

credentials/vetting and leverage current security investments; and 

(3) protect personal privacy by collecting minimal personal data 

stored on a secure system and network. Additionally, the TWIC 

program is to serve as a model in meeting the mandatory 

requirements for a government-wide standard for a secure and 

reliable form of identification issued by the federal government to 

its employees, including contractor employees, as outlined in 

Homeland Security Presidential Directive 12 (HSPD-12).5

TWIC Program Phases

The TWIC program consists of five phases: 

TWIC Program 

Phase I Planning 

Phase II Technology Evaluation 

Phase III Prototype 

Phase IV Implementation 

Phase V Operations and Maintenance 

 

5

 HSPD-12, the Policy for a Common Identification Standard for Federal Employees and Contractors, 

mandated by the President, established a government-wide standard for secure and reliable forms of 

identification issued by the federal government to its employees and contractors (including contractor 

employees) to enhance security, increase government efficiency, reduce identity fraud, and protect personal 

privacy. 
DHS Must Address Significant Security Vulnerabilities Prior To TWIC Implementation

Page 5 

 

Currently, the TWIC program is in a sustainment period, which is 

the time period between prototype and implementation. The scope 

of our audit was focused on the systems supporting the prototype, 

Phase III of the program, which began November 17, 2004 and 

ended June 30, 2005. Transportation worker and facility 

participation in the prototype was on a completely voluntary 

basis.6

The goals of the prototype system were to: 

• Assess the performance of the TWIC identity management 

architecture and business processes. 

• Assess performance of the TWIC credential as an access 

control tool. 

• Assess the readiness of the TWIC system to be implemented. 

Additionally, the “prototype phase” tested the conceptual TWIC 

identity management and business processes, which included 

enrolling workers, conducting security threat assessments, issuing 

TWICs, and daily usage of the credential. A TWIC Prototype 

Report, compiled by the TWIC contractor and issued 

August 29, 2005, documents the prototype testing results, lessons 

learned, and recommendations to be addressed prior to and during 

the full implementation of the TWIC program. 

A major challenge during the prototype phase emerged because 

some participating ports did not have an infrastructure to support 

the program. Each facility must have an infrastructure to support 

the use of the TWIC card in order to participate in the program. 

Originally, 37 facilities were expected to participate during the 

prototype phase. Nine of the 37 sites opted out of the prototype 

due to the unavailability of an infrastructure to support card 

testing. Many of the remaining participating transportation 

facilities required installation of some physical access components; 

installing this infrastructure in places where none existed caused 

significant programmatic delays and increased costs.7

 According 

to the TWIC Prototype Report, not only was the number of 

6

 Participants consisted of a broad array of transportation workers, such as truckers, longshoremen, and 

container terminal and airport personnel. 

7

 The 28 prototype site locations included the following: 15 ports, 2 airports, and 11 other transportation 

facilities including train stations, truck stops, and maritime exchanges. 
DHS Must Address Significant Security Vulnerabilities Prior To TWIC Implementation

Page 6 

participating facilities lower than expected, the number of TWIC 

cards issued was also much lower than expected. 

TWIC Process Overview

Figure 2 depicts the overall business processes associated with 

obtaining a TWIC card. 

Figure 2 

 TWIC Overview

Sponsor 

Background 

Check

 IDMS Biometric Check

IDMS Sponsor Validation

TWIC Website

Enrollment Kiosk

Transportation Worker 

Registration Data

SPONSOR 

 REGISTRATION

1

TWIC Identity 

Management System

(IDMS)

2 PRE-ENROLLMENT

4 SECURITY THREAT 

ASSESSMENT

3 ENROLLMENT

TWIC Enrollment Data 

(Application)

All Applications for 

TWIC Cards

Transportation Worker 

Pre-enrollment Data

5 CARD PRODUCTION

7 PRIVLEDGE 

GRANTING

6 CARD ISSUANCE

TWIC Card Management 

System (CMS)

Source: ------- -------- - - 
DHS Must Address Significant Security Vulnerabilities Prior To TWIC Implementation

Page 7 

The following processes are associated with the numbers in the 

overview in Figure 2: 

1. Sponsorship – The process of confirming that an individual 

has a legitimate need for a TWIC. 

2. Pre-enrollment – The process prior to enrollment for 

acquiring a TWIC where an individual provides --------------- 

data on-line.8

3. Enrollment – The process of --------- ------------------------------- 

--------- --- --------- ------ --------- ----- - ---------- ------------- 

-------- ---------------------------- ------------------------------------- 

---------------------- ----------- ----------- ----- information. 

4. Security Threat Assessment - The process of checking 

various databases looking for a name or biometric match to 

determine a person’s eligibility to access secure areas and 

automated systems.9

5. Card Production – The manufacturing process performed to 

personalize a card; includes extracting data from databases, 

encoding the data, and printing the data onto a card. 

6. Card Issuance – The process conducted at an enrollment 

center to validate an individual’s identity (matching a live 

biometric capture to the biometric data stored on the card), 

enable the card for use, and present the card to the authorized 

user. 

7. Privilege Granting – The process of validating the status and 

possession of the TWIC and providing access rights within the 

TWIC infrastructure to each transportation facility or network 

that a transportation worker needs access to for the 

performance of their day-to-day duties.10

 

8

 This - -------- --- data is then used along with the information captured during an enrollment appointment 

to run the necessary security threat checks, encode, print, and issue a TWIC. 9

 During the prototype testing, only name-based security threat assessments were done for most TWIC card 

applicants, with the exception of those workers applying for a TWIC card in Florida. Florida statute sets 

minimum statewide seaport security standards and requires that individuals accessing Florida’s active 

seaports undergo an annual criminal history records check . The criminal history background check was 

done by the State of Florida in accordance with its statutory authority, which included a requirement that all 

applicants be screened against the Federal Bureau of Investigation’s Integrated Automated Fingerprint 

Identification System. 

10 TSA does not have control over who is granted access privileges at the ports. TSA only provides the 

security threat assessment for a worker, who may then be authorized for a TWIC card based on the results 

of the assessment. Local authorities decide which individuals get a TWIC card and where they have access 

based on the access privileges granted by the individual facility. 
DHS Must Address Significant Security Vulnerabilities Prior To TWIC Implementation

Page 8 

Card revocation and reissuance is also part of TWIC card 

processing too.11 However, these processes, which were not fully 

established prior to testing, were not part of the prototype 

assessment. 

Three datacenters are involved during TWIC card processing and 

production: 

• Production Datacenter – Identification Management System 

(IDMS),12 Card Management System,13 and other supporting 

systems (--------------- ).14

• TSA’s --------------------- Operations Center – Name-based 

security threat assessments processed through TSA’s Screening 

Gateway in ----------------------------- . 

• USCIS’ Card Production Facility (-- ------------ ) – Card 

production and printing. 

Appendix C documents the TWIC Systems Layout and the specific 

data collected to support TWIC processing. 

Results of Audit 

Security Vulnerabilities Jeopardize TWIC Program 

Implementation 

TSA faces numerous challenges ensuring that security 

vulnerabilities are remedied and key program policies, regulatory 

processes, and other work are completed to support system 

certification and accreditation and the full implementation of the 

TWIC program. The existing vulnerabilities can compromise the 

confidentiality, integrity, and availability of sensitive TWIC data. 

Further, beginning with maritime operations, as it moves forward 

 

11 Card revocation and reissuance are the processes involved in permanently ending the operational period 

of a card because the card has been reported as lost or stolen, or the cardholder has been identified as a 

threat to security. 

12 IDMS stores TWIC applicants’ enrollment records. - - ------ - ------------ ----- - -- ------- --------- 

----- ----- -- - -- - - -- --- -- --- - ----- - - -- - - - -- - - -- -- - -- --- -- ---- -- --- -- - ----- -------- - - -- --- -- - -- 

-- -- - ----------- ------- - --- - ---------- - - ------ - - --- ------- - ----- ---- ------ --- ------------- -- -- ------ - ---- 

---- --- ----- - --- -- . 

13 The Card Management System provides information on the status of cards throughout the TWIC system. 

Card information will be kept from the moment it is received into inventory to the time it is destroyed. 14 ------ ------- --------- ------ -- ---- ----- ---- ---- --- --- - - ---- - - --- ---- ---- --- - -- -- ---- --- -- - -- ---- --- - -- -- 

---------------- ------ ------------ ------ --------- ------ -- ------- - ----------- . 
DHS Must Address Significant Security Vulnerabilities Prior To TWIC Implementation

Page 9 

with the implementation of the TWIC program, TSA faces other 

security-related issues, including resolving stakeholder concerns 

regarding the depth of security threat assessments, retaining and 

protecting individuals’ sensitive information, and obtaining 

funding for full implementation at all transportation facilities. 

We evaluated the TWIC program procedures and security 

requirements in place during the prototype phase. We also 

conducted system security vulnerability assessments on a variety 

of systems supporting the TWIC program prototype phase. We 

chose the specific systems tested to ensure coverage at all points in 

the TWIC prototype process. Prototype systems tested included 

the following: enrollment workstations in -- -- ------------- , and 

------------------- ; the contractor’s datacenter databases and servers 

in --------------- ; and, the workstations and printers at the card 

production facility in -------------- . Additionally, we conducted 

tests to detect -------------------------- ------------ ---- at the -------- 

-- -- ------- and the TWIC contractor’s datacenter. 

Significant System Security Vulnerabilities Identified

Over ------ instances of security vulnerabilities were detected 

during the security vulnerability assessments of the TWIC 

prototype systems.15 Excluding duplicate instances of 

vulnerabilities and false/positives, a total of ---- unique 

vulnerabilities were identified across the different sites assessed. 

Of those ---- , --- were classified as “high” risk vulnerabilities, and 

--- were classified as “medium” risk vulnerabilities. The 

remaining vulnerabilities identified (---- ) were classified as “low” 

risk vulnerabilities. Appendix D lists the number of instances of 

vulnerabilities by location and system. Appendix E lists the 

number of high, medium, and low vulnerabilities identified. 

Vulnerabilities identified were related to --------- --------- ---- 

----------------------------------------------- ----------- --- ------- ---- 

---------- --- ----------------- ----------- . Specific examples include: 

 

15 The number of instances includes the ---- detected during the OCIO’s testing of the systems at TSA’s 

Screening Gateway in --- - - --------- - - ---- --- -- . 

16 --- -- --- - - - --- - - ----- ------ - - - ----- --- -- - - ----- - - --- - -- -- --- - . 

17 Perimeter devices include routers, switches, and firewalls. 
DHS Must Address Significant Security Vulnerabilities Prior To TWIC Implementation

Page 10 

• ------------------------------ - ------------- .18

• ------------------------------------------------ . 

• ------------------------------------------------------ . 

• --------------------------------------------- .19

• ----------------------------------- ----- ---------------------------------- 

------- . 

Contractor IT services and operations must adhere to DHS IT 

security policies. These vulnerabilities may exist in part because a 

test environment was not developed prior to operations due to 

limited funding available for the prototype. These vulnerabilities 

were deemed to be significant since the prototype systems were 

tested at the participating sites using ---------------------- . 

Furthermore, during the sustainment period, this type of data is still 

being collected and retained on the systems tested, which ---------- 

------------------------------ ---- . Appendix F contains a summary of 

the high vulnerabilities identified and the potential system security 

threats that exist if the vulnerabilities are not remedied. 

We discussed our findings with the TWIC Program Office and 

contractor personnel at each of the audit locations assessed. We 

also provided the site system administrators with the technical 

vulnerability reports so that they could begin addressing the 

vulnerabilities identified. Additionally, we provided TSA’s 

Assistant Administrator and CIO, Operational Process and 

Technology, with the test results from each of the locations 

assessed so that a plan of action could be developed to address 

vulnerabilities identified that cannot not be remedied under the 

current funding restraints. 

FISMA Issues

We determined whether systems, databases, and networks 

supporting the TWIC prototype complied with FISMA 

requirements, in addition to our system security vulnerability 

scans. FISMA requires an annual evaluation of agency 

information programs and systems, as well as an assessment of 

related security policies and procedures. An agency’s security 

program should provide security for the information and the 

 

18 -- - -- -- - - -- ---- ---- ----- - -- --- --- ----- - -- -- -- --- - - --- - --- - ---- - --- - - --- - -- -- - - - -- - - ----- -- --- - 

- - ---- ------- ---- --- -- --- ---- - ------ ---- - --------- - ------ -- - ------------------------------ -- ------ - -- --- - --- -- -- - - -- 

-------- ------ -- ------ ------- ----- ------ -- - ------------------ - ----- ------------ . 19 ----------- - ----- ------------ - ---- -- - ------ -- ---- - ------------ ---------------- - - - --- ------ . 
DHS Must Address Significant Security Vulnerabilities Prior To TWIC Implementation

Page 11 

information systems that support the operations and assets of the 

agency, including those managed by another agency, contractor, or 

other source. 

Based upon our analysis of the security documentation for the 

systems supporting the TWIC program, we identified the following 

deficiencies as they directly relate to FISMA: 

• ------------------- ------------- ------------------------------------------- 

------------------------------------- ------------------------------------ 

-------------------------- ---------------------------------------------- 

---------- --------------------------- ------------------- --------- --- 

-------- -------------------- -------------- ---------------------------------- 

-------- ----------------------------- --------------- ----- ---------- 

------------------------ ------------------------------- 

----------------------------------- --- -------------------------------- 

------------------------------------- ------------------------------------ 

--------------------------------------------------------------------- 

----- --- ------------------- - ------- --- ---------------- ---------- 

---------------------------------------- ----------------------------------- 

----- ------------------------- --- ------ -- --------------- ------- 

-------------------------- - ------------- ------------ -------------- 

----------- 

• The Plan of Action and Milestones (POA&M) for TWIC is 

incomplete. Not all vulnerabilities have been included in the 

POA&M, nor have resources to address the vulnerabilities that 

are documented in the POA&M been determined. 

Furthermore, the milestone dates and responsible points of 

contact need to be updated. 

• The Privacy Impact Assessment, dated November 5, 2004, is 

outdated and does not reflect accurately how the prototype was 

implemented and tested or what policies need to be in effect 

prior to implementation. 

• Systems contingency plans have not been approved or tested. 

• System and database administrators have not received 

specialized security awareness training. 
DHS Must Address Significant Security Vulnerabilities Prior To TWIC Implementation

Page 12 

The DHS 4300A Sensitive Systems Handbook requires that 

component CIOs establish and oversee the IT security program 

within their organizational component.20 Specifically, component 

CIOs must ensure that an ISSM has been appointed. Information 

Systems Security Managers (ISSM) play a critical role in ensuring 

that the DHS IT security program is both implemented and 

maintained throughout the component. CIOs should also make 

certain that the ISSM and Information Systems Security Officer 

(ISSO) work closely with program officials to ensure a complete 

understanding of risks, especially increased system security risks, 

so that they are documented and managed. DHS IT policy outlines 

the structure and foundation for a secure DHS systems 

environment by focusing on the management and mitigation of 

inherent IT system security risks. 

Overall, based on our vulnerability assessments and observations, 

we concluded that the greatest risks to system security and the 

privacy of TWIC data stem from ----------------------------- --- 

---------- -------------------------- - ----- ----------------------------- --- 

--- ------ ------------ ------- -- --- ------ -------------------- ------------------ 

------------------ ---------- ----- ------- -------- --- --------- ------- ------ 

----------------------------------------- --------------------- - --------------- 

--------------- ---------------- -------------------- ---- 

Ultimately, TWIC Program Office officials and the system owner 

are responsible for the successful operation of the IT systems 

within their program area and are accountable for the security of 

the systems and programs under their control. In addition, they are 

accountable for the security of the information systems in 

compliance with FISMA. A coordinated effort is needed between 

the TWIC Program Office and TSA’s OCIO to strengthen security 

management controls and achieve the long-term vision of the 

TWIC program. 

Additional TWIC Program and Security-Related Issues 

TSA is developing TWIC to improve overall security at the 

nation’s transportation facilities. In auditing TWIC, we identified 

a number of additional program and security issues that need to be 

considered prior to full implementation of the TWIC program. 

 

20 This handbook serves as a foundation for the components within DHS to develop and implement their IT 

security programs. 
DHS Must Address Significant Security Vulnerabilities Prior To TWIC Implementation

Page 13 

These concerns, regarding the security and privacy of the sensitive 

data being maintained, arose during discussions with TWIC 

program management officials, meetings with the TWIC 

contractor, and a review of the Privacy Impact Assessment and 

Lessons Learned in the TWIC Prototype Report. Issues include 

the following: 

• The rules of behavior need to clearly delineate responsibilities 

and the expected behavior of all individuals with access to 

systems supporting TWIC. Assignment and segregation of 

system responsibilities must be clearly defined and 

documented for all DHS IT systems, including TWIC. 

• ------------ --- ------------------------------------------------------ 

-------- ----- --------------------- ----------------------------------- 

-------------- -------------- ------------------------- ----------- -------- 

----------------------------- ----- --------- ------------- -------------- 

----------------------------- ---- ------------- ----------- -- ------------ 

-- --------- -- - --------------------- ------------------------------- 

------------------------------------------------------- -------- 

----- ------ -------------------- 

• --------------------------------------- ----- ------------------------------ 

---------------------------------- - --- ----------------------------------- 

--------------- ------ --- ------- ----- --- ----------------------------------- 

---- ---------------------------------------------------- ------- --- 

-------- ------------------------ ------------- ------------ 

-- - --------------------------------- ------------------------------------- 

------------------------------------------------------ ---------------- 

-- - -------------------------------- ------------------------------------- 

---------------------------------------- ---------------------------------- 

------------- -------------------- - ----- 

• ----------------------------------------- -- ----------------------------- -- 

------------- -- --------- ---------------- --------------- - ---------- ---- 

------------------------------------- ---- ------ - ---------- ---------- 

------- ----- --------- ------ ---- -------- ----------- ---- --------- 

------- ------ --------- - --- ------ --------- ------------ --------------- 

------------- -- ----------------------------------------- .21

 

21 --- ------ --- -- - ------------ ---- - ----- ------- ---- - ---- - - - --- --- --- ---- - ------------- --------- ---- ---- - - -- - 

-------- -------------------- - -------------- - ------------------------ - - ----------- - - - -------- ----- ----------- ---------- 

------ -- ----- -------- - -- -- ------------- ------- ----- --- -- - ------- . 
DHS Must Address Significant Security Vulnerabilities Prior To TWIC Implementation

Page 14 

• The TWIC Program Office has not established procedures for 

periodically re-running threat assessments on all individuals 

granted a TWIC card. Such procedures are needed to ensure 

that TWIC cardholders do not pose any security threats, such 

as having been placed on a “hotlist” after being granted a 

TWIC card.22

• With the exception of participating sites in Florida, which 

require a criminal history assessment based on an individual’s 

biographic and biometric information, the prototype testing did 

not address criminal history checks or the biometric vetting 

process prior to granting an individual a TWIC card. Running 

Federal Bureau of Investigation criminal history checks on 

TWIC applicants may be needed to ensure that TWIC 

cardholders do not pose security threats to the nation’s 

transportation system. 

• The TWIC program does not currently have a records retention 

schedule; therefore, TSA has not disposed of individuals’ 

applications or other information collected during the 

prototype. The administrative, technical, and physical controls 

for safeguarding TWIC records stored are to be documented in 

the Privacy Impact Assessment. TSA is working to develop a 

retention schedule for both prototype and full-scale 

implementation of TWIC for approval by the National 

Archives and Records Administration. 

• --------------------------------------------------------------------- 

----- -------- ------- ------- ---------- --- - ---- --------- ------ ----------- 

--------------------------------- --- --------------------------------------- 

--------------------------------------------------------------------------- 

--------------- ---------- --- -- ------- ------------------- ---------------- 

----------- ------------------------------------------------------------ 

------------- ----------------- -- - -- ---------------------------------- 

------------- --------------------- ----------------------------------- 

-- -- ----------------------- ----------- -- --------------- ---------------- 

 

22 -- ------------------------------- -- ---- ------- - ------------------ --------------- ---- -------- - ------ --------------- 

----- ---- - -- --- - ------ - - -- -- - ---- ----- - ----- -- ---- --- - - - -- - ----- -- - - - - --- - - ---- -- ---- --- - - -- - - ---- - 

------- --- ----- - --- - --- ----- -- - - - --- --- ---- -- --- - --- --- --- ----- - -- -- - ----- - -- --- - --- --- - . 

23 A Trusted Agent is a federal or state government employee, non-federal site employee, or a contractor 

who is granted the authority by the federal government to perform and administer the TWIC enrollment 

process along with issue TWICs. 
DHS Must Address Significant Security Vulnerabilities Prior To TWIC Implementation

Page 15 

-------------- ---- ------ ---------------- ---------------------------- --- 

-------------------- 

• ------------------------------------- ----------- ------------------------- 

-------------- ---------- ------------ -------------- - --------- ------ 

-------------------------------------- ------------ ------------ ---------- 

---------------------------------------------------------------------- 

---------------------------------- --------------------------------------- 

------------------------------------------------------------------------ 

--------------------------------------------------------- ------------ 

---- ---------------------------------------------------------------- --- - 

---------------------------- - ------ ------------------------------- 

-------- --------------------------- ---------- --------------- 

----- - ---- -- --------------------- ---------------- - --------- 

--------------------------------------------------------------------- 

------- - ------------------ 

• ---------------------------------------- ---------- ------------------------- 

----------------------------------- ------------- ------------- ---------- 

---------------------------------------------------------------------------- 

---------------------------------- --- - -------------------------- ------- 

------------ --------------- -- - ---------------------- 

• -------------------------------------- ------------------------------------ 

-------------- ----------- - ----- ----- -------------- ----------------- 

---- ------------------------------- ------------------ --------------- 

--------- ----- -------------------- - ------- -------------- ------------- 

---------------------------------------- -------- - -------------------------- 

------------------------------------ -------------------------------- --- 

-------- ------ ------------------------- ---------------------------------- 

-------------------------- ------ ------- ----------------------------------- 

------------- ------------------------ ------------------------- - ------------- 

--------------- ----------------------------------------- - -------------- 

-------------------- ---------------------------------- ------ 

------------------------------- ---- --------------------------------- 

------- -- 

We discussed these issues with TWIC program officials and they 

agreed these concerns needed to be addressed prior to full-scale 

TWIC implementation. 

 

24 -- - - ----- ------ - ---- -- - - -- -------- --- - - ----- ----------- ---- - - - ----- --- ------ - - --- ----- - --- --------------- - 

--- --- - - --- - --- -- --- --- - . 
DHS Must Address Significant Security Vulnerabilities Prior To TWIC Implementation

Page 16 

Recommendations 

Prior to full implementation of the TWIC program, we recommend 

that the Assistant Secretary for TSA direct the Assistant 

Administrator and CIO, Operational Process and Technology to: 

1. Ensure the ISSM works closely with TWIC Program Office 

officials to ensure a complete understanding of the severity 

of the security risks that currently exist and help determine 

the funding and resources needed to remediate those risks. 

2. Ensure that all system vulnerabilities related to --- ---- 

--------------------------------------------------- - -------- - ------ 

---- ------ . 

3. Finalize system and security documentation, including the 

security plan, standard operating procedures, and user 

manuals. 

4. Update the Privacy Impact Assessment to reflect the 

expectations for the protection, retention, confidentiality, 

integrity, and availability of sensitive TWIC data and the 

results of security threat assessments. 

5. Update the POA&M to ensure that all vulnerabilities are 

included and a plan for remediating weaknesses is in place, 

and ensure that adequate funding for IT security is provided 

for systems. 

Management Comments and OIG Analysis 

TSA concurred with recommendation 1. Congress approved 

funding for TWIC, and TSA has been remediating the program 

weaknesses for the past several weeks. The Program Office 

meets at least weekly with the primary certifier from the ISSM 

office to continue remediation. The Program Office is in the 

process of determining the new cost, schedule, and performance 

requirements, and is working on required technical enhancements 

for the system so that the program is ready for production. 
DHS Must Address Significant Security Vulnerabilities Prior To TWIC Implementation

Page 17 

---------------------------------------- ---------------------------- 

-------------- -- . As a result, the Program Office will give the IT 

Security Office a justification memorandum requesting that all 

remediation on technical findings cease until the Program Office 

has finalized system enhancements. The Program Office will 

work with the contractor to ensure that all documentation is 

updated and in accordance with security policies and to have the 

system implemented and ready for Security Testing and 

Evaluation (ST&E). As part of this evaluation, TSA’s CIO will 

review and update all documentation to ensure it is in alignment 

with the production system. The IT Security Office will work 

closely with the Program Office to ensure that all new technical 

implementations comply with TSA and DHS policies. 

We accept TSA’s response to work closely with the ISSM office, 

IT Security Office, and the CIO to determine the funding and 

resources needed to remediate the technical weaknesses, and to 

cease remediation of those vulnerabilities until system 

enhancements have been finalized and comply with TSA and 

DHS policies. 

TSA concurred with recommendation 2. TSA acknowledged 

these vulnerabilities and they will be addressed when completing 

the technical enhancements to the TWIC prototype system, 

conducting the ST&E, and mitigating any findings. 

We accept TSA’s response to address these vulnerabilities when 

implementing the technical enhancements and the ST&E for 

TWIC. 

TSA concurred with recommendation 3. Work is on going to 

reflect the changes in the TWIC technical enhancements. All 

system and security documentation, including the security plan, 

standard operating procedures, and user manuals, will be fully 

updated at the conclusion of the work. 

We accept TSA’s response to finalize all system and security 

documentation at the conclusion of work on the technical 

enhancements. 
DHS Must Address Significant Security Vulnerabilities Prior To TWIC Implementation

Page 18 

TSA concurred with recommendation 4. A revised Privacy Impact 

Assessment has been generated for the TWIC Notice of Proposed 

Rulemaking and has been submitted for review and signature 

within TSA. The Privacy Impact Assessment will be published on 

the DHS website concurrently with the publication of the Plan of 

Action and the Notice of the Proposed Rule Making. When TSA 

publishes a final TWIC rule, the final Privacy Impact Assessment 

will also be published. 

We accept TSA’s response in regard to updating the Privacy 

Impact Assessment. 

TSA concurred with recommendation 5. Funding has been 

allocated within the program budget to complete system changes 

and the certification and accreditation. Long lead-time items, such 

as the computer hardware, will be procured and assembled under 

the Office of Transportation, Threat, and Credentialing operation at 

----------------------- . After setup and installation of the software, 

the system will be operationally tested, and certification and 

accreditation performed. The POA&M will be updated after the 

completion of the ST&E of the production system. 

We accept TSA’s response in regard to funding the remediation of 

vulnerabilities and updating the POA&M. 
 Appendix A 

Purpose, Scope, and Methodology 

DHS Must Address Significant Security Vulnerabilities Prior To TWIC Implementation

Page 19 

Purpose, Scope, and Methodology 

The overall objective of this audit was to determine whether 

adequate system security controls have been implemented on 

TWIC prototype systems to effectively protect sensitive and 

biometric data from unauthorized access, use, disclosure, 

disruption, modification, or destruction. Specifically, we 

determined whether: (1) adequate management and internal 

controls have been developed and implemented to protect the 

sensitive and biometric data contained on TWIC systems; (2) 

adequate access controls have been implemented on TWIC 

systems to protect data from unauthorized access, use, disclosure, 

disruption, modification, or destruction; and (3) TWIC prototype 

systems comply with FISMA requirements. 

We analyzed documents provided by the TWIC Program Office 

and contractor personnel to identify that adequate management and 

internal controls have been developed and implemented to protect 

the sensitive and biometric data contained on TWIC systems. 

These materials included: the TWIC Prototype Report; Privacy 

Impact Assessment; Prototype Phase III Requirements document; 

Phase III Standard Operating Procedures; Phase III Transportation 

Worker User Manual, Phase III Operations/System Administration 

Manual, Inter-Agency Agreement between TSA and USCIS; and, 

pamphlet information on the TWIC Program. We also reviewed 

DHS, National Institute of Standards and Technology (NIST), and 

Defense Information Systems Industry policies and procedures; 

HSPD-12; the Aviation and Transportation Security Act; the 

Maritime Transportation Security Act; the Federal Information 

Systems Controls Audit Manual; and Office of Management and 

Budget requirements. 

We interviewed employees and officials regarding prototype 

processes and procedures with the TWIC Program Office and 

TSA’s OCIO, as well as security and system administrators located 

at the ----------- -- ------------- ; TWIC contractor facilities in 

------------- and --------------- ; TSA’s --------------------- Operations 

Center; TSA’s Screening Gateway in ----------------------------- ; and 

the USCIS -------------- facility. To assess the TWIC card issuance 
 Appendix A 

Purpose, Scope, and Methodology 

DHS Must Address Significant Security Vulnerabilities Prior To TWIC Implementation

Page 20 

processes, audit team members, sponsored by the TWIC 

contractor, enrolled and were granted TWIC cards. 

During our audit, we conducted system security vulnerability 

assessments to determine whether adequate access controls have 

been implemented on TWIC systems. Assessments were 

completed at the two enrollment centers that were still actively 

processing individuals for TWIC cards – the ----------- -- ------- 

and the contractor’s ------------- enrollment center. We also 

assessed security controls for the systems supporting TWIC 

operations located at the contractor’s production datacenter in 

---------- and at the USCIS card production facility in -------- . 

Additionally, we tested for --------------------- ---- ------------ ---- at 

the ----------- -- ------- and the TWIC contractor’s datacenter. 

Furthermore, we obtained and analyzed the results of system 

security vulnerability assessments conducted by TSA’s OCIO at 

the Screening Gateway in --------- ------------- in February 2006. 

We did not evaluate the security of the systems at TSA’s ----------- 

--------- Operations Center, as there is no direct connection from 

the systems supporting the TWIC program to the Operations 

Center; all traffic going to the Operations Center must first go 

through TSA’s Screening Gateway at ----------------------- . 

We used Internet Security Systems’ (ISS) Internet Scanner to 

conduct the system security vulnerability assessments at all the 

audit locations visited.25 TSA’s OCIO also used ISS’ Internet 

Scanner to test for system security vulnerabilities at the Screening 

Gateway in ----------------------- . We used ISS’ Database Scanner 

to test the TWIC databases that are part of the IDMS at the 

contractor’s datacenter.26 --------------------------- - - was used to test 

-------------- -- ---------- ---- at the contractor’s datacenter and at the 

USCIS facility.27 We used ------------------ to test for ---------------- 

 

25 ISS’ Internet Scanner provides an automated vulnerability assessment across servers, desktops, operating 

systems, routers/switches, firewalls, and applications to identify potential risks to an organization’s 

network. 

26 ISS’ Database Scanner is a database vulnerability scanner for Microsoft Structured Query Language 

(SQL) Server, Sybase, and Oracle databases. 

27 ------------- - - ----------------- --- --- -- --- -- --- - ----- --- - - --- - - ---- - - - ---- - - ----- ---- ---- --- - - - - - -- 

-------- -- ----------------- - --- - - - ---- --------- - ----- -- --- ------- ---------- ----------- --- - - -------- - ----- --------- 

-- --- ----- --- ---- - -- . 
 Appendix A 

Purpose, Scope, and Methodology 

DHS Must Address Significant Security Vulnerabilities Prior To TWIC Implementation

Page 21 

-------------------------- at the ----------- -- ------- and the TWIC 

contractor’s datacenter.28

To determine whether TWIC prototype systems complied with the 

FISMA requirements, we reviewed FISMA requirements as well 

as DHS and NIST guidance. We also analyzed documents 

provided by the TWIC Program Office, ISSO, and contractor 

personnel, including: the Phase III System Security Plan, 

Preliminary Phase III Risk Assessment, NIST 800-26 

Self-Assessment, POA&M matrix, Trusted Agent Training 

Manual, and the contingency/disaster recovery plan. In addition, 

we interviewed contractor personnel and the ISSO regarding the 

status of the certification and accreditation of TWIC systems, 

security awareness training, and specialized security training. 

We conducted fieldwork at the TWIC Program Office in 

--------------- -- , and the following locations: the -------- 

-- -- ------------- ; ------------- and --------------- ; and, -------------- . 

Audit work was completed from November 2005 through March 

2006 under the authority of the Inspector General Act of 1978, as 

amended, and according to generally accepted government 

auditing standards. Major OIG contributors to the audit are 

identified in Appendix G. 

The principal OIG points of contact for the audit are Frank Deffer, 

Assistant Inspector General for IT Audit, at (202) 254-4100, and 

Edward G. Coleman, Director, Information Security Audit 

Division, at (202) 254-5444. 

 

28 ----- -- -------- -- - ----- --- ------------ -- ----- ---- ---------- -- --- - --------- --- - ---- ---------- -- -- -------- ---- 

------------ - ---------------------- ----------- - ----------- --- ------ - ------- - ---- --- ------- ------ - ------------- - ---- -- 

--- -- -- -- --- ----- ---- -- - ---- -- ----- -- - - - -- ----- - - - -- --- --- - --- - - - ---- ----- - - - -- - -- --- -- -- -- --- ------- 

-------- - ------- --------- - ---------- ----- ---- --- --- --------------- --------------------- --------------- . 
 Appendix B 

 Management’s Response 

DHS Must Address Significant Security Vulnerabilities Prior To TWIC Implementation

Page 22 
 Appendix B 

 Management’s Response 

DHS Must Address Significant Security Vulnerabilities Prior To TWIC Implementation

Page 23 
 Appendix B 

 Management’s Response 

DHS Must Address Significant Security Vulnerabilities Prior To TWIC Implementation

Page 24 
 Appendix B 

 Management’s Response 

DHS Must Address Significant Security Vulnerabilities Prior To TWIC Implementation

Page 25 
Appendix C 

TWIC System Layout 

DHS Must Address Significant Security Vulnerabilities Prior To TWIC Implementation

Page 26 
Appendix D 

Instances of Security Vulnerabilities Detected By Location & System 

DHS Must Address Significant Security Vulnerabilities Prior To TWIC Implementation

Page 27 

Instances of Security Vulnerabilities Detected By Location & System 

High Medium Low Total 

--------------------------------- ---------------- - -- -- -- -- 

--------------- ------------------------- -- -- -- -- 

------------------------------------------ --- ------- ----- -------- 

--------------------------------- ----- ----- ------- ---- -------- 

-------------------------------- ------------ ---- ---- ----- ----- 

------------------------------------------------ -- ---- ----- ----- 

-------------------------------- ---------------- ------------------------- ---- -- --- ---- 

---------------------------------------------- ---- ---- ---- --- 

Totals ----- ------- ------- ------- 

*In addition to the above, which was based on our systems security vulnerability testing of the 

systems supporting the TWIC prototype, we obtained the results of the vulnerability testing 

conducted by TSA’s OCIO at the Screening Gateway in ----------------------------- . From our 

analysis of those results, we determined that there were ---- instances of security vulnerabilities 

identified on the systems in ------------- ---------- that support the TWIC prototype. 
Appendix E 

Number of Security Vulnerabilities Identified By Location 

DHS Must Address Significant Security Vulnerabilities Prior To TWIC Implementation

Page 28 

Number of Security Vulnerabilities Identified By Location 

High Medium Low Total 

-------------------- -- -- -- -- 

-------------------- -- -- -- -- 

---------------- ---- ---- ---- ---- 

-------------- ---- ---- ---- ---- 

-------------------------- -- -- ---- ---- 

Totals --- --- ----- ----- 
Appendix F 

Summary of Significant Security Vulnerabilities Identified and Potential Threats 

DHS Must Address Significant Security Vulnerabilities Prior To TWIC Implementation

Page 29 
Appendix G 

Major Contributors to this Report 

DHS Must Address Significant Security Vulnerabilities Prior To TWIC Implementation

Page 30 

Information Security Audit Division

Edward G. Coleman, Director 

Barbara Bartuska, Audit Manager 

Chelsea Pickens, Senior IT Auditor 

Mike Horton, IT Specialist 

Matthew Worner, Referencer 

Advanced Technology Division

Jim Lantzy, Director 

Karyn Higa, Information Assurance Computer Engineer (Space and Naval 

Warfare Systems Command) 
Appendix H 

Report Distribution 

DHS Must Address Significant Security Vulnerabilities Prior To TWIC Implementation

Page 31 

Department of Homeland Security

Secretary 

Deputy Secretary 

Chief of Staff 

Deputy Chief of Staff 

General Counsel 

Executive Secretary 

Assistant Secretary, Policy 

CIO 

Chief Information Security Officer 

Assistant Administrator and CIO, Operational Process and Technology, TSA 

Director and IT Security/Chief Information Security Officer, TSA 

TWIC Program Director 

Assistant Secretary, Public Affairs 

Assistant Secretary, Legislative and Intergovernmental Affairs 

Director, Departmental Government Accountability Office/OIG Liaison 

Director, Compliance and Oversight Program 

TSA Audit Liaison 

USCG Audit Liaison 

USCIS Audit Liaison 

Office of Management and Budget

Chief, Homeland Security Branch 

DHS OIG Budget Examiner 

Congress

Congressional Oversight and Appropriations Committees, as appropriate 
Additional Information and Copies 

To obtain additional copies of this report, call the Office of Inspector General 

(OIG) at (202) 254-4100, fax your request to (202) 254-4285, or visit the OIG 

web site at www.dhs.gov/oig.

OIG Hotline 

To report alleged fraud, waste, abuse or mismanagement, or any other kind 

of criminal or noncriminal misconduct relative to department programs or 

operations, call the OIG Hotline at 1-800-323-8603; write to DHS Office of 

Inspector General/MAIL STOP 2600, Attention: Office of Investigations – 

Hotline, 245 Murray Drive, SW, Building 410, Washington, DC 20528; fax 

the complaint to (202) 254-4292; or e-mail DHSOIGHOTLINE@dhs.gov. 

The OIG seeks to protect the identity of each writer and caller.