Open Recommendations

Add the 915,534 records to the DMF

Develop a plan to add the remaining records to the Death Master File (for example, add the records 117 years after the Numident date of birth).

Maximize technology (for example, develop automated program that compares Numident name, date of birth, sex designation, place of birth, parents’ names) to identify all instances where two different individuals’ Numident records are cross-referred and uncross-refer the records.

Review all cases where the Numident records of beneficiaries in current payment status are cross-referred to deceased individuals’ Numident records and take action to correct the records.

Maximize technology (for example, develop automated program that compares Numident name, date of birth, sex designation, place of birth, parents’ names) to review the 2.4 million non-current payment status beneficiaries whose cross-referred Numident records contain death information, and input death information on their cross-referred record, as appropriate.

Implement controls to prevent similar errors from occurring in the future.

Review all cases where it simultaneously issues payments to beneficiaries under both cross-referred Social Security numbers and take action to correct the records. 

We recommend that the Chief Operating Officer of FSA ensure that budget requests and lifecycle cost estimates forSABER-related projects are submitted and approved according to FSA’s Management Review 1 SOP and FSA’s otherestablished policies and procedures, and that they are properly maintained.

We recommend that the Chief Operating Officer of FSA ensure that FSA Acquisition officials follow the Department’sContract Monitoring Directive, specifically pertaining to COR Appointment Memorandums, deliverable monitoring, contractpayment records, contract monitoring plans, and QASPs for the FTI SABER system contracts we reviewed.

We recommend that the Chief Operating Officer of FSA ensure that all future SABER-related contract deliverables,including the FTI Infrastructure deliverables, are clearly defined in the contracts, related modifications, or as anattachment to contracts and related modifications to ensure proper tracking, monitoring, and contractor performance.

We recommend that the Chief Operating Officer of FSA clearly define who is responsible for supervising each part of theCOR’s performance for SABER-awarded contracts and hold the contracting officers accountable for the overall monitoringof the contracts awarded by FSA, including the FTI Module, FTI SAIG, and FTI Infrastructure contracts.

We recommend that the Chief Operating Officer of FSA require that the data fields that FSA defines as primary in theSABER risk registers be completed as appropriate, and data fields in decision logs be completed.

We recommend that the Chief Operating Officer of FSA fix the technical issues to reduce data loss in SABER riskregisters and other risk registers.

FMC should develop an executable plan to meet the requirements of OMB M-21-31 and ensure the plan is properly supported.

Create an overall BIA policy, procedures, and processes or incorporate a BIA policy, procedures, and processes into its existing contingency planning documents.

Create a Template for completing BIAs consistently across the commission following NIST SP 800-34, rev. 1, Contingency Planning Guide for Federal Information Systems, Chapter 3.

Incorporate the BIAs results into its overall contingency planning efforts.

We recommend that the Chairman: (a) incorporate a specific harassment-free culture standard into the Performance Management Program and Bonus Criteria for all staff; (b) incorporate harassment prevention into the bonus criteria for managers and executives;(c) develop and implement a process that considers violations of the anti-harassment policy when determining whether an employee should serve in a supervisory or managerial capacity; and (d) develop and implement a process that considers violations of the anti-harassment policy when determining whether an employee is eligible to receive a bonus.

We recommend that the Chairman/COO develop and implement a mechanism to ensure that corrective actions used to close recommendations related to the sexual harassment prevention program are sustained.

We recommend the Director, Division of Administration, conduct a review of prior allegations to ensure that it has an accurate and complete population of sexual harassment allegations and that it has maintained all allegation records in accordance with the FDIC record retention schedule, which requires that all records be maintained for 7 years.

We recommend the Chairman consider developing and implementing Agency-wide, consistent penalties or recommended penalty ranges to be used in disciplinary actions for harassing conduct, in accordance with applicable laws and regulations, and, as necessary and appropriate, incorporate the consistent penalties and recommended penalty ranges into policy and procedures.

We recommend that the Chairman develop and implement a plan to routinely analyze the FDIC’s sexual harassment training, ensure that it is current, and measure the impact that training is having on reducing harassment and retaliation in the Agency.

Initiate actions to establish requirements for recipients (or third-party auditors) for how manufacturers' rolling stock documentation will be reviewed when conducting pre-award and post-delivery audits.

Initiate actions to establish requirements for recipients (or third-party auditors) to maintain pre-award and post-delivery audit documentation in a manner that protects manufacturers' sensitive data while also providing supporting evidence of the work described in the audit.

Initiate actions to establish requirements for recipients (or their auditors) to document their verification of suppliers' Buy America information.