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IP: A Major Intelligence Challenge -- Toward a Functional
From: David Farber <farber () cis upenn edu>
Date: Fri, 10 Oct 1997 03:39:17 -0400

http://www.odci.gov/csi/studies/97unclas/warfare.html


A Major Intelligence Challenge
Toward a Functional Model of Information Warfare
L. Scott Johnson


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Information Warfare (IW) is one of the hottest topics in current
discussions of battlefield and geopolitical conflict. It has been addressed
in writings, conferences, doctrine and plans, and military reorganizations,
and it has been proposed as a fundamental element of 21st-century conflict.
In a way, the IW situation is reminiscent of the concept of logistics as a
military discipline, circa 1940: 


Elements of the concept had been known and used for millennia. 


The value of integrating those elements into a coherent discipline was just
beginning to be recognized. 


The discipline was to become a central element of modern warfare--it is now
said that "amateur generals [that is, Saddam Hussein] talk strategy,
professional generals talk logistics." 
This comparison has another point of similarity: the interest in IW far
outstrips the users' understanding of the concept. Early in World War II, a
senior US Army general said, "I don't know what this 'logistics' is, but I
want some." Today, many people worldwide are saying the same about IW. 


Searching for a Definition


This lack of a consistent and specific definition of IW is apparent
throughout the literature. Col. Owen Jensen, USAF, discussing the evolution
and use of the IW concept, says, "Although the Tofflers [Alvin and Heidi]
have expounded on the origins of this type of warfare, no guru has yet
established its principles."(1) VAdm A. Cebrowski, director of C4 for the
US Joint Staff, has said, "The services and various Pentagon agencies that
must prepare for IW do not yet agree on what the concept encompasses."(2)
Almost every writing on IW makes a similar comment. Certainly, many
definitions have been put forth; at the top level they sound much alike.
But the simple fact that almost every writer on IW feels compelled to
define it tells us that a clear concept has not yet crystallized. 


Military writers discuss IW in terms of "information dominance" over an
enemy, which is described as maintaining and applying a superior
understanding of the battlefield situation.(3) 


Strategic writers discuss IW as the next "paradigm" of modern warfare, and
they quote military thinkers from Sun Tzu to Clausewitz and examples from
Xenophon's "March of the 10,000" to the Gulf war. The concept of
information dominance is again raised, in a related but different sense, as
a means to identify the enemy's "centers of gravity" against which force
can be most productively applied, while preventing an enemy from knowing
one's own critical points.(4) 


Finally, there have been many discussions of IW attack and defense as
related to telecommunications and computer networks, often but not always
at the national level. The focus of these discussions is the vulnerability
of such networks to penetration, exploitation, and degradation; the
magnification of these actions owing to a modern country's dependence on
such networks; and the potential application of these actions in warfare,
crises, international competition, and criminal activities. 


These different points of view incorporate common elements, but a rigorous
definition of the concept of IW has not yet evolved. Before we can identify
and assess capabilities for IW and related activities, we need a
definition, or a model, that is sufficiently concrete and specific to serve
as a working aid. 


A Starting Point


One can begin to derive a definition by asking why one should even bother
with the concept of IW--is there any difference between IW and previous
concepts of information attack? One might conclude, after a cursory review
of some of the literature on the topic, that the concept of IW is in fact a
rehash of existing concepts and techniques and that it adds little or no
value. That conclusion, although understandable, would be incomplete. 


Traditional forms of information attack, such as radar countermeasures, C3
countermeasures, computer intrusion, and psychological operations, typically: 


Consist of techniques, or measures and countermeasures. 


Have limited and local goals, and limited scope and orchestration (that is,
being restricted to a specific combat operation). 


Perform a supporting role in combat activities. 
These forms of attack tend to be used at the tactical level, and they
require knowledge of the target's technical characteristics and operational
procedures. In noncombat activities, these forms of attack typically are
independent and isolated. 


In contrast, IW truly is a form of comprehensive warfare, not merely a set
of techniques. IW is differentiated from individual measures in that IW
(like any other form of warfare) is governed by a strategy, which is
focused on an objective. The strategy is a comprehensive plan for the use
of IW-related weapons and tactics to attain the desired objective. The
weapons and tactics may be any combination of military and nonmilitary
techniques; the objective may be military, political, economic, or some
combination thereof. 


A unified IW campaign thus can be conducted alongside multiple concurrent
or consecutive combat operations, can extend beyond the immediate
battlefield, and can cross the boundaries between peacetime, crisis, and
combat. The term "information" in IW suggests that the objective of such a
campaign involves generation of effects on the adversary's information that
will prevent or prompt certain actions, thereby creating an advantage for
the attacker. (The objective of defensive IW involves prevention or
counteraction of those effects.) 


IW's Ultimate Target


Such an objective implies that the true target of an IW campaign is not the
specific systems that are actually attacked, but rather the adversary's
decision process. Thus, IW attack planning has to be based not only on the
characteristics of those systems, but also on the desired higher order
effects. This consequence can be illustrated by a simple example, a jamming
attack on a sensor. As an individual electronic warfare (EW) operation, the
attack is based largely on the sensor's technical and operational
characteristics. As an element of an IW campaign, the planning and conduct
of the attack has to be based on the way in which that sensor contributes
to the adversary's situation picture and the information that the sensor
provides on the attacker's forces and operations. An even higher level that
has to be considered in the attack planning and implementation is the
effect on the adversary's decisions of blocking, degrading, falsifying, or
inserting the sensor information. The same requirement holds for attacks on
communications systems, networks, links, and processing centers. 


The overall concept of IW can thus be considered as having three parts: a
set of IW elements (techniques and capabilities), a comprehensive strategy
that applies and orchestrates them, and a target and objective. Only the
elements are common to both IW and the earlier concepts of information
attack. 


A useful definition or model of IW therefore has to: 


Describe the ultimate target and objective. 


Identify and list the applicable elements of IW. 


Show how the elements can be combined in the strategy to attack the target.
Inasmuch as the target and objectives are the basis for designing an IW
strategy, I will start with a "target model." Then I will describe the
elements involved in IW. Finally, I will present a templating approach to
organize the elements and their interrelations, so as to support analyses
of IW strategy. 


A Target Model


A generic model of the target of an IW operation is based on the
abovementioned difference between IW and individual information attacks.
Consider the previous example--a sensor is attacked in order to affect its
contribution to the adversary's knowledge, thereby affecting the
adversary's decision process. Thus, a three-layered target model is defined
as: 


The information systems layer--the physical elements that generate,
transfer, or store information. Attacks against information systems create
technical effects. 


The information-management layer--the processes for handling and
dissemination of information. At this layer, attacks create functional
effects. 


The decision-process layer--the intellectual processes for interpreting and
using information. At this layer, attacks create operational effects.
Effects at one level generate consequent effects at the higher levels. For
example, a communications jamming attack on an information system creates
blockage or corruption of the signal at a receiver (technical effect),
which in turn reduces the information available from this channel
(functional effect). One type of consequent operational effect would be
decision delay. 


One has to recognize, however, that this propagation of effects is not the
only way to attack the decision layer, because attacks can be performed
against any level. Although an attack ultimately comes down to a physical
operation involving a physical information system, that system may be only
a vehicle, not the target, of the attack. Thus, the attack may have little
or no direct technical effect. In fact, an attack may have no functional
effect either--it may create directly an operational effect on the
decisionmaker. An example is a propaganda campaign wherein the information
system being used is the local newspaper, the target is the decisionmaker,
and the technical and functional effects are nil. Thus, attacks may have
different immediate targets and effects, and not all effects propagate up
from the basic information-system layer. 


Some examples of different attack processes, and how they can be mapped
against the model, are illustrated in Table 1 on the next page. 


The point to remember is that the operational effects are the ultimate
objective. Any attack has to create or contribute to the desired
operational effect(s), either by itself or in combination with other
attacks. Note that the propagation of effects may be complex and that not
all IW attacks will create every type of effect. A given technical effect
may generate widely different operational effects, depending on what is
attacked and under what circumstances. Also, operational effects may depend
on combinations of technical and functional effects. IW strategy has to
account for these factors. 


This model provides a framework for mapping and analyzing IW strategies and
attacks. With the model, doctrine and capabilities for IW can be
correlated. Intentions, doctrine, and plans usually start with the
operational effects, whereas capabilities are usually described at the
technical level. The layered model allows one to link the two and to find
applicable capabilities that may be only indirectly related to IW. Directly
related capabilities are usually apparent at the technical level. By
looking at the functional level, additional capabilities that will have IW
effects can be identified. 


The Three Target Layers 


Information systems layer. IW attacks, regardless of their ultimate
objective, have to start with an information system, often but not always
an electronic system. In many but not all cases, that system is the initial
target of the attack, and technical effects are intended--receiver
overload, data corruption, computer shutdown, data erasure, physical
destruction, and so forth. This point is well recognized in the literature,
and detailed discussions of IW capabilities often concentrate almost
exclusively on the technical attack methods and targets. What is not always
recognized is the need for those effects to propagate through the target
and create the desired operational effects, and those only. It is quite
possible to conduct a technical attack that degrades or negates other
elements of an IW operation. 


____________________________________________________________________________
_________________________________________________________
____________________________________________________________________________
_________________________________________________________
Table 1 
Use of the Target Model To Analyze Attack Processes
The initial effect, corresponding to the target layer, is highlighted.
____________________________________________________________________________
_________________________________________________________
Type of Attack            Target Layer         Technical Effect
Functional Effect                Operational Effect 


                             (examples)
____________________________________________________________________________
________________________________________________________
Communications            Information          Signal blockage
Information loss                 Delayed or wrong 
jamming                   system
                             decision
____________________________________________________________________________
_________________________________________________________
Communications            Information          None--link continues
Information misrouting, self-    Delay, confusion
intrusion--short          management           to exist
generated overload (diagnostic, 
control message*
correction, repeat messages)
____________________________________________________________________________
_________________________________________________________
Communications            Decision process     None--link continues
Negligible--short message does   Delay, confusion, 
intrusion--short                               continues to exist       not
affect routing/              wrong decision
information message
handling/storage
____________________________________________________________________________
_________________________________________________________
Computer virus            Information          System paralysis
Loss of data, loss of function   Delayed or wrong decision
                           system                                       at
node 
____________________________________________________________________________
_________________________________________________________
Network worm              Information          None--network
Delay or overload amounting      Delayed decisions;
                          management           links continue to        to
loss of function              deliberate shutdown of
                                               exist and operate
                             unaffected nodes
____________________________________________________________________________
_________________________________________________________
PSYOPS/propaganda         Decision process     None
None                             Decision influence
messages
____________________________________________________________________________
_________________________________________________________
Military operation as     Decision process     None
None                             Perception
PSYOPS maneuver
                             manipulation
____________________________________________________________________________
_________________________________________________________
* Many modern communications systems/protocols use machine control messages
to establish links and route traffic. 
The control network may be separate from the information-carrying network.
Examples are Signaling System 7 and 
computer-controlled adaptive HF systems.
____________________________________________________________________________
_________________________________________________________
____________________________________________________________________________
_________________________________________________________


Information management layer. Information management means information
transfer, dissemination, storage, fusion, and conversion. These functions
are performed by information systems, and they represent a logical layer
overlaid on the physical information-systems layer. Examples of functional
effects are a change in information transfer capacity, performance delays,
and misrouting of traffic. 


Information management is becoming increasingly important and vulnerable,
because modern information systems are barely keeping pace with evolving
formation-generation capabilities and information technologies. For
example, data overload has come to be a serious problem in US military
sensor and C3 nets. The US Navy encountered this problem in the Gulf war.
Aegis systems and E-2/E-3 surveillance aircraft provided so much data that
the flagship command center displays were overloading and locking up. As a
result, it was necessary to reduce the original surveillance area (Red
Sea-Iran-Turkey) to a region covering only southern Iraq, the Persian Gulf,
and part of Iran.(5) An enemy who takes note of this problem could develop
measures to increase overload and exploit the lack of reserve capacity in
US military information-management systems. 


Civil systems are also becoming more vulnerable to this problem. The
Internet "worm" of 1988 was an example of an overload attack. The worm was
intrinsically harmless to the information systems--it did not destroy files
or operating systems. Rather, it occupied the memory and resources of
computers and virtually monopolized the network links among computers. The
result was that many systems nationwide came to a grinding halt, and
countless hours of effort were expended in diagnosis and recovery
measures.(6) 


Another increasingly serious military problem is information
incompatibility. This problem represents another network vulnerability. It
is caused by evolving requirements for joint operations, coupled with a
huge increase in the number of communications and data systems that have
stringent compatibility requirements. Traditional VHF voice radios working
on standard channels could be used by anybody; Link 11 can be used only if
the recipient has compatible equipment. Many articles have discussed this
problem, often in connection with Desert Storm and the joint operations in
the Mediterranean and Adriatic. As just one example, an attempt to pass
imagery between the US Air Force and the Navy revealed 12 incompatible
systems. The Navy ultimately solved compatibility problems in Desert Storm
by providing equipment to selected other units. Other compatibility
problems were solved by developing conversion systems and deploying them on
selected platforms.(7) 


An enemy could exploit this problem by identifying and targeting the
critical nodes where data conversion is performed, or by taking advantage
of the confusion via deception, confusion, or intrusion attacks. If
information managers are accustomed to seeing unreadable data, they might
not recognize the fact that some data have been garbled or corrupted,
attributing the problems to the known inadequacies of their system. Thus,
the IW planner has to understand an adversary's information-management
processes and problems. 


Decision process layer. The ultimate target of IW is the way in which
information is used--that is, the decision process. The desired effects of
IW attacks may be indirect--not just blinding or confusing the enemy, but
shaping his perceptions, decisions, opinions, or behavior. The IW planner's
understanding of the target has to extend to this layer, and knowledge of
the adversary has to include his decision criteria, decision processes and
time scales, and vulnerabilities. Many or most of the successful commanders
and leaders throughout history had an intuitive understanding of their
adversaries at this level; they often applied it in "IW-like" tactics,
maneuvers, and psychological operations that confused, delayed,
manipulated, or paralyzed the enemy. 


The Elements of IW


The elements of IW extend beyond the techniques and capabilities for
traditional forms of information attack. Taking a literal view of the term
"warfare," the elements needed to perform IW are: 


Primary: Attack and defense capabilities and techniques. 


Supporting: Intelligence collection for targeting information--locations
(which, for IW, may be physical or logical), strengths and vulnerabilities,
and defenses. 


Supporting: Intelligence collection for battle damage assessment (BDA).
Note that this concept is separate from the idea of conventional BDA
information as a target of IW. 


Supporting: Intelligence collection for attack indications and warning (I&W).
The attack/defense capabilities and techniques are the primary functions of
IW. As mentioned above, these capabilities currently exist under different
guises--EW, computer intrusion and viruses, psychological operations,
concealment and deception, firewalls and antivirus programs, encryption and
spread-spectrum COMSEC techniques, and so forth. 


Like traditional warfare, IW requires support from external sources. One is
target intelligence collection, incorporating both prewar preparation
("strategic reconnaissance") and operational targeting during IW activity
("tactical reconnaissance"). At the simplest level, this concept is
obvious. An attacker needs to know the RFs of target communications links;
the locations of sensors, communications nodes, and decision nodes;
addresses, access protocols, and passwords for computer systems and
networks; and so forth. The IW target model shows, however, that an
attacker also has to know or discover how a candidate target system
contributes to the adversary's situation picture and what information it
provides on the attacker's forces and operations. Similar requirements
exist at the decision-process level, relating to the decision criteria used
by the adversary and to the effect on those decisions of blocking,
degrading, falsifying, or inserting certain information. 


IW therefore has to be supported by sensors for electronic intercept and
monitoring, tools and access points for computer network probing and
analysis, and reconnaissance to detect and locate C3 nodes. Again, these
are pre-existing types of capabilities that may be applied in an IW strategy. 


IW is like any other form of warfare in another respect--it has to be
supported by a damage assessment function to be effective. The ability to
measure IW effectiveness, however, is complicated. For example, even the
effect of a direct attack on a communications node can be difficult to
assess unless the attacker can tap a node or link elsewhere, or can exploit
other elements of the communications net to assess the success of the
attack (such as by monitoring requests for retransmission or traffic volume
on return links). In this example, the attacker would be observing
functional effects to diagnose technical effects. Higher level effects are
even harder to assess, and some may be impossible to diagnose until the
conflict is over and the adversary's records or memoirs can be examined. 


Nevertheless, an IW strategy has to provide for intelligence collection and
damage assessment, using typically the same elements that provide targeting
data. 


An IW capability also has to be supported by defensive intelligence
elements, equivalent to I&W capabilities in traditional warfare. To use
most defensive IW measures successfully, one has to detect, localize, and
diagnose attacks on one's own information systems. The elements involved
typically are detection/diagnostic tools embedded in or applied to one's
potential target systems. Often, a detector may be merely a trained
operator or analyst who can tell when jamming is occurring or when the
pattern of incoming data is inconsistent or otherwise suspect. Technical
measures include network analyzers, activity monitors, and signal
analyzers. (One might also envision artificial-intelligence pattern
recognition systems for data analysis and similar concepts.) 


Two other key elements, which are related, cross over all these categories.
These elements are expertise and understanding. Technical expertise and
operational skills in the use of IW systems are necessary but not
sufficient. An understanding of the target, whether a technical system, a
network structure, an operational procedure, or a decisionmaker, and an
understanding of how the target layers interact for the specific adversary
and scenario of interest are necessary for the development of an effective
IW strategy. 


IW Orchestration


The orchestration of multiple IW elements is, again, one of the defining
characteristics of IW. A combination of attacks is assembled and applied
toward a specific objective. Military operations may involve IW campaigns
designed to limit and control the enemy's knowledge of the situation and,
ultimately, his ability to operate effectively. Nonmilitary IW also often
involves orchestrated campaigns of multiple attacks--a political IW effort
can involve PSYOPS, data denial, data insertion, cover and deception, and
attacks on communications and computer systems. (A multipronged approach
does not always apply, especially in technical attacks on computers and
networks. In fact, these cases can be almost exactly opposite--a single
attack generates multiple effects on multiple targets.) 


To identify how the various IW elements can be combined and orchestrated,
one can fall back on the target model. After dividing the target into
layers, each layer can be broken down into its components. The next step is
to list the attack actions that are possible against each component.
Knowing the actions and the target characteristics, the capabilities needed
to perform each attack against each component can be identified. 


By combining the target model and the list of elements that resulted from
consideration of IW as warfare, one arrives at a detailed list of required
or relevant capabilities that can be used to guide data searches and
analyses. This process justifies each item on the list as being relevant to
IW. Furthermore, the process automatically develops the position and role
of each capability in the IW concept. Finally, the organization shows how
the capabilities, attack techniques, and target elements interrelate, and
it allows us to develop integrated and accurate descriptions of IW
capabilities. 


____________________________________________________________________________
__________________________________________________________
____________________________________________________________________________
__________________________________________________________
Table 2
Template of target Elements and Attack/Supporting Actions




____________________________________________________________________________
__________________________________________________________
Targets Elements
                Attack/Support Actions
____________________________________________________________________________
__________________________________________________________
Logical                                                      Physical
____________________________________________________________________________
__________________________________________________________
Intelligence                        Information              Nodes
  Links
____________________________________________________________________________
__________________________________________________________
Physical           Operation        Data         Control
                Offensive             Support
____________________________________________________________________________
__________________________________________________________
Location           Users            Video        Link        Data sources
  Comms         Block                 Obtain Intelligence
                                                 setup
                information
                                                 messages


Parameters         Data flow        Text         Common      Relays
  Data          Corrupt information   Relay intelligence  
                                                 channel
                                                 signaling 


Function           Msg timing       Voice                    Fusion points
  Computer      Saturate node         Control attack


Architecture                        Image                    Processing
                Delay Information     Use intelligence
                                                             points


Network                             Digital                  Data Storage
                Insert Information    Use information


                                                             Data
Conversion                Relay Information     And so forth




Interpretation/                And so forth
                                                             decision
____________________________________________________________________________
__________________________________________________________
____________________________________________________________________________
__________________________________________________________


Table 2 shows a top-level view of this breakdown or template. In the table,
connections between logical and physical target elements are not shown, and
relations between attack/supporting actions and target elements are shown
in words rather than as connections (for example, "relay information" and
"relay intelligence" actually refer to one type of action applied to two
target elements). A complete template can be developed that divides this
structure into a set of tables and diagrams that show the relations
explicitly. 


The table does not show the lowest levels of detail. Other items can be
added at the lowest (bulleted) level shown, and that is not the final
level. It actually is another row in the hierarchy that can be subdivided
into different types. The nodes and links clearly can be broken out
further, and attack actions in particular are to be subdivided. For
example, the "block information" action actually includes actions such as
destroy source, destroy node, saturate node, and jam link, which can be
further broken down to specific types of nodes and links and to specific
types of information. The table also does not show defensive actions and
their relations to the attack actions. A fully detailed template has a
separate entry for each type of action and each type of target element. 


In the table, the term "intelligence" refers to information describing
elements of the target system. This information may be developed by the IW
support activity, as by SIGINT measurements or network probes, or it may
actually reside within the target system, alongside the user information.
The latter case is exemplified by an Internet host that maintains a
database of other hosts and users. It is this information that an IW
attacker needs to develop or retrieve in order to focus the attack or
assess the damage. 


Note that there are two forms of such intelligence, physical and
operational. Physical intelligence provides target parameters and
structural or architectural information on target networks. Operational
information identifies users, data flow patterns, system status, and so
forth. Both targeting and damage assessment need both types of intelligence. 


The "information" category refers to the contents of the adversary's
information systems, and it is divided into data (the actual information
that the adversary eventually interprets) and control information that
supports network operations. Sophisticated attacks on control information
can be a serious threat to modern computer and communications nets. The
"data" category is broken down by type, because the type of data usually
defines the technical capabilities required for an attack. A complete
template, however, also organizes data by the type of knowledge it
represents (sensor data, situation data, own-force data) because this is
what determines the functional and operational effects of attacking the data. 


The attack actions include offensive measures and supporting measures, as
shown in the table. The attack measures are not limited to blockage or
degradation of information. One may insert false information into the
adversary's information systems. One may also use (or misuse) information
obtained from the adversary, as indicated by the entry "relay information."
Passing on or publishing information that an adversary wants to conceal is
a classic IW measure. The supporting measures may involve the target or may
be self-contained within the IW system, such as return of collected
information or command and control for the IW operation. The function "use
information" refers to exploitation of collected information, and it is as
important a function as denying information to the adversary. (There has
always been the often painful tradeoff between jamming and listening.) 


It should be noted that this template is an overall guide, not a rigid
description. Not all IW systems or IW attacks will incorporate all elements
of the template. What the template provides is a framework to guide the
search and interpretation of relevant capabilities, and the evaluation of
the completeness and sophistication of a country's IW capability or
concept. For capabilities analyses, the template shows what capabilities to
look for, what indirect capabilities might exist, and what supporting
capabilities must be identified before a primary capability can be assessed
as effective. For doctrine analysis, the template's presentation of
relations and supporting elements is compared against the country's
understanding of IW to evaluate the completeness and sophistication of
their doctrine. 






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NOTES


(1) Col. O. Jensen, "Information Warfare--Principles of Third-Wave War",
Air Power Journal, winter 1994. 


(2) Defense News, 12-18 June 1995. 


(3) USAF position, quoted in Aviation Week & Space Technology, 10 October
1994. 


(4) J. Arquilla, "The Strategic Implications of Information Dominance",
Strategic Review, summer 1994. 


(5) US Naval Institute Proceedings, May 1993. 


(6) W. Schwartau, Hackers, Sniffers, Worms, and Demons, book extract via
the Internet. 


(7) US Naval Institute Proceedings, August 1992 and May 1993. 






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"Photons have neither morals nor visas"  --  Dave Farber 1996
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