Incident: Inadequate FBI Automated Case Support System Hinders FOIA Requests

Published Date: 2016-07-16

Postmortem Analysis
Timeline 1. The software failure incident happened in 1995 (21 years before 2016) when the Automated Case Support system (ACS) was implemented [Article 45776].
System 1. Automated Case Support system (ACS) - a software program used by the FBI for processing Foia requests [45776]
Responsible Organization 1. The FBI was responsible for causing the software failure incident by conducting inadequate searches of its records using the decades-old Automated Case Support system (ACS) when queried by citizens looking for records that should be available to the public [45776].
Impacted Organization 1. Citizens looking for records that should be available to the public [45776]
Software Causes 1. Inadequate search capabilities of the decades-old Automated Case Support system (ACS) used by the FBI for processing Freedom of Information Act (Foia) requests [45776]. 2. Refusal by the FBI to search the full text of records in the ACS as a matter of policy, limiting searches to only one of ACS's three search functions, the Universal Name Index (Uni) [45776]. 3. Resistance by the Department of Justice (DoJ) to use the more sophisticated Sentinel software for processing Foia requests, citing duplicative searches and wasteful use of resources [45776]. 4. Outdated technology and interface of the ACS, based on an IBM mainframe with legacy database and programming technology, lacking modern web-based functionalities [45776].
Non-software Causes 1. Resistance to complying with the Freedom of Information Act (Foia) requirements by the Department of Justice (DoJ) and the FBI, as evidenced by their refusal to conduct thorough searches and their historical opposition to Foia regulations [45776]. 2. Use of outdated technology and systems, such as the Automated Case Support (ACS) system, which is based on old IBM mainframe technology and lacks modern search capabilities [45776]. 3. Inadequate information technology infrastructure within the FBI, as highlighted by reports on the agency's systems being ineffective in supporting critical missions like counterterrorism [45776].
Impacts 1. The software failure incident led to inadequate searches of records by the FBI using a decades-old computer system, impacting the ability of citizens to access information that should be available to the public [45776]. 2. The failure of the Automated Case Support system (ACS) to effectively search and retrieve records hindered the Freedom of Information Act (Foia) requests, leading to roadblocks and challenges for individuals like Ryan Shapiro in obtaining necessary information [45776]. 3. The FBI's refusal to search the full text of records and reliance on outdated search functions within ACS resulted in incomplete responses to Foia requests, creating a barrier to transparency and accountability within the department [45776]. 4. The software failure incident highlighted the resistance within the Department of Justice to comply with Foia requirements and modernize its systems, impacting the efficiency and effectiveness of information retrieval processes [45776]. 5. The outdated technology and interface of the Automated Case Support system (ACS) not only affected Foia requests but also hindered the FBI's counterterrorism mission and investigative capabilities, as noted in reports related to the September 11 attacks and the Fort Hood shooting [45776].
Preventions 1. Implementing a more modern and efficient software system like the Sentinel software instead of relying on the outdated Automated Case Support system (ACS) could have prevented the software failure incident [45776]. 2. Conducting regular updates and upgrades to the software systems used by the FBI to ensure they meet current technological standards and are capable of fulfilling their intended functions effectively [45776]. 3. Enforcing a policy that mandates searching the full text of records rather than relying solely on limited search functions like the Universal Name Index (Uni) within the software system could have improved the search capabilities and prevented failures in responding to requests [45776].
Fixes 1. Upgrading the outdated Automated Case Support system (ACS) to a more modern and efficient system like Sentinel, which is the FBI's web-based successor to ACS [45776]. 2. Implementing a full-text search capability within the software to allow for more comprehensive and accurate searches of records [45776]. 3. Ensuring that the software complies with the Freedom of Information Act (Foia) requirements by making reasonable efforts to search for records in electronic form or format [45776].
References 1. Ryan Shapiro - Foia researcher [45776] 2. Department of Justice (DoJ) [45776] 3. FBI - Federal Bureau of Investigation [45776] 4. Jack Israel - FBI's chief technology officer during the second George W Bush administration [45776]

Software Taxonomy of Faults

Category Option Rationale
Recurring one_organization (a) The software failure incident related to inadequate searches of records using a decades-old computer system has happened again at the FBI. The FBI's Automated Case Support system (ACS), which is a software program used for processing Foia requests, has been criticized for its outdated technology and limitations in conducting searches. The system has been described as based on old technology, including an IBM mainframe with legacy database and programming technology. The FBI's chief technology officer during the second George W Bush administration expressed dissatisfaction with the system, highlighting its outdated interface and search capabilities [45776]. (b) The software failure incident related to inadequate searches of records using a decades-old computer system has not been explicitly mentioned to have happened at other organizations in the provided article. Therefore, there is no information available about similar incidents occurring at multiple organizations.
Phase (Design/Operation) design, operation (a) The software failure incident related to the design phase is evident in the news article. The lawsuit alleges a "failure by design" in the protocols at the Department of Justice for responding to public requests under the Freedom of Information Act (Foia) [Article 45776]. The article mentions that the FBI's Automated Case Support system (ACS), which is used to process Foia requests, is based on old technology and is described as outdated and inadequate for supporting investigations. The system's design, based on an IBM mainframe with legacy database and programming technology, is criticized for its archaic interface and search capabilities [Article 45776]. (b) The software failure incident related to the operation phase is also highlighted in the article. It is mentioned that the FBI refuses to search the full text of records using the ACS system as a matter of policy, which leads to inadequate search results and hinders the fulfillment of Foia requests. The FBI's reliance on only one search function, the Universal Name Index (Uni), is considered insufficient for complying with the law, and the refusal to utilize more sophisticated search tools is seen as a failure in the operation of the system [Article 45776].
Boundary (Internal/External) within_system (a) within_system: The software failure incident reported in the articles is primarily due to contributing factors that originate from within the system. The failure is attributed to the outdated and inadequate Automated Case Support system (ACS) used by the FBI for processing Freedom of Information Act (Foia) requests. The ACS system, which is based on old technology including an IBM mainframe with legacy database and programming technology, is described as archaic and not user-friendly. The system's limitations, such as inadequate indexing of records and limited search capabilities, are highlighted as key factors contributing to the failure [45776]. (b) outside_system: There is no explicit mention in the articles of contributing factors originating from outside the system that led to the software failure incident. The focus is primarily on the internal deficiencies of the Automated Case Support system (ACS) and the FBI's resistance to using more advanced software like Sentinel for processing Foia requests.
Nature (Human/Non-human) non-human_actions, human_actions (a) The software failure incident in this case is primarily attributed to non-human actions, specifically the limitations and inadequacies of the decades-old Automated Case Support system (ACS) used by the FBI to process Freedom of Information Act (Foia) requests. The ACS system, which is described as based on old technology, including an IBM mainframe with legacy database and programming technology, is criticized for its outdated interface and search capabilities [45776]. (b) Human actions also play a role in this software failure incident. The Department of Justice (DoJ) has been resistant to using more advanced software like Sentinel to process Foia requests, citing concerns about duplication of efforts and wastage of resources. Additionally, the FBI's policy of only utilizing one of ACS's search functions, the Universal Name Index (Uni), instead of conducting full-text searches, is a decision made by human agents handling the requests. This policy has been criticized by Foia researcher Ryan Shapiro as a deliberate choice that hinders the effectiveness of the search process [45776].
Dimension (Hardware/Software) hardware, software (a) The software failure incident related to hardware: - The FBI's chief technology officer during the second George W Bush administration, Jack Israel, criticized the Automated Case Support system (ACS) as being based on old technology, specifically an IBM mainframe with legacy database and programming technology [45776]. - The FBI's own investigation into the September 11 attacks found that the Bureau's information technology was inadequate to support its counterterrorism mission, indicating hardware limitations [45776]. (b) The software failure incident related to software: - The lawsuit alleges that the FBI intentionally conducts inadequate searches of its records using the decades-old ACS software system when queried by citizens, indicating a software failure due to the limitations of the ACS system [45776]. - The ACS system is described as outdated and based on old technology, with an archaic interface and search capabilities, highlighting software-related issues [45776].
Objective (Malicious/Non-malicious) non-malicious (a) The software failure incident described in the articles is non-malicious. The failure is attributed to the outdated and inadequate Automated Case Support system (ACS) used by the FBI for processing Freedom of Information Act (Foia) requests. The system, which is based on old technology and lacks sophisticated search capabilities, is not able to effectively search for and retrieve records as required by law. The system's limitations and inefficiencies are highlighted by the fact that it does not search the full text of records and relies on outdated search functions like the Universal Name Index (Uni) [45776].
Intent (Poor/Accidental Decisions) poor_decisions (a) The intent of the software failure incident in the reported articles seems to be related to poor_decisions. The articles highlight how the FBI intentionally conducts inadequate searches of its records using a decades-old computer system, the Automated Case Support system (ACS), when queried by citizens looking for records that should be available to the public. Despite the availability of more sophisticated search tools, the FBI refuses to search the full text of records as a matter of policy, leading to inadequate responses to Freedom of Information Act (Foia) requests [45776]. This intentional decision to limit the search capabilities of the ACS system and rely on outdated technology like IBM mainframes instead of utilizing more modern systems like Sentinel appears to be a contributing factor introduced by poor decisions.
Capability (Incompetence/Accidental) development_incompetence, unknown (a) The software failure incident related to development incompetence is evident in the article as it discusses the outdated and inadequate Automated Case Support system (ACS) used by the FBI for processing Freedom of Information Act (Foia) requests. The system, which is described as based on old technology, including an IBM mainframe with legacy database and programming technology, is criticized for its archaic interface and limited search capabilities [45776]. (b) The software failure incident related to accidental factors is not explicitly mentioned in the provided article.
Duration permanent, temporary The software failure incident described in the articles can be categorized as both temporary and permanent: Temporary: The temporary aspect of the software failure incident is evident in the fact that the FBI's Automated Case Support system (ACS) has been identified as outdated and inadequate for its functions. The system, based on old technology and an IBM mainframe, is described as having an archaic interface and search capabilities [45776]. This temporary failure is due to the specific circumstances surrounding the use of the ACS system and its limitations. Permanent: On the other hand, the permanent aspect of the software failure incident is highlighted by the long-standing resistance within the Department of Justice (DoJ) to comply with the Freedom of Information Act (Foia) requirements. The DoJ has historically chafed under Foia requirements and has been reluctant to fully utilize more advanced software like Sentinel for processing Foia requests, despite the inadequacies of the ACS system [45776]. This failure is more systemic and ongoing, indicating a permanent issue within the organization. Therefore, the software failure incident can be seen as a combination of temporary issues related to the specific technology used (ACS) and permanent issues stemming from broader organizational resistance to change and compliance with regulations.
Behaviour omission, value, other (a) crash: The software failure incident described in the articles does not involve a crash where the system loses state and does not perform any of its intended functions. The incident revolves around the FBI's Automated Case Support system (ACS) being outdated and inadequate for fulfilling Freedom of Information Act (Foia) requests [45776]. (b) omission: The failure of the ACS system can be attributed to omission as it fails to search the full text of records and only relies on the Universal Name Index (Uni) search function, leading to incomplete responses to Foia requests [45776]. (c) timing: There is no indication in the articles that the software failure incident is related to timing issues where the system performs its intended functions too late or too early. (d) value: The failure of the ACS system can be linked to a value issue as it performs its intended functions incorrectly by not searching the full text of records and providing incomplete responses to Foia requests [45776]. (e) byzantine: The software failure incident does not exhibit a byzantine behavior where the system behaves erroneously with inconsistent responses and interactions. (f) other: The other behavior exhibited by the software failure incident is a lack of compliance with the Foia law and a resistance to using more sophisticated search tools like the Sentinel software, which could improve the search capabilities and responses to Foia requests [45776].

IoT System Layer

Layer Option Rationale
Perception None None
Communication None None
Application None None

Other Details

Category Option Rationale
Consequence theoretical_consequence The consequence of the software failure incident described in the articles is mainly related to potential consequences and theoretical discussions rather than real observed consequences. The articles discuss the potential impact of the FBI's inadequate search system on the ability to fulfill Freedom of Information Act (Foia) requests and the implications for transparency and accountability. There is no direct mention of real-world consequences such as death, harm, basic needs being impacted, property loss, delays, or non-human entities being affected. The focus is on the inefficiencies and limitations of the FBI's outdated Automated Case Support system and the potential implications for information retrieval and compliance with Foia regulations.
Domain information, knowledge, government (a) The failed system mentioned in the articles is the Automated Case Support system (ACS) used by the FBI for processing Freedom of Information Act (Foia) requests. The ACS system is a software program that is used for processing requests for information [Article 45776]. (i) The ACS system failure incident is related to the industry of knowledge as it involves the processing of information requests and research activities. The system is used by the FBI to handle requests for information under the Foia law, which is crucial for researchers like Ryan Shapiro [Article 45776].

Sources

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