KPMG PBC Listing - NOAA by fanzhongqing

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									                                                                                             National Oceanic Atmospheric Administration / Bureau of Industry and Security                                                      FY 2011 PBC Listing



NOAA FY2011 Audit 'Prepared By Client' (PBC) List
                                  New                                                                                                                Date
Item #   Category                        Documents to be provided                                                    Format         Time / Phase                                      Bureau   Received    Past Due   Note
                                Items*                                                                                                             Requested       Contact Person
                                         "Capitalized Personal Property Financial Reports" for Q1 (Oct 1
                                         to Dec 12). Reports should include:
                                         - Detail listing of capitalized personal property activity (additions,
                                         deletions, CY and PY adjustments);
                                         - Complete asset listing (by category);                                    Electronic                                      Katina Williams
A01-A    A) Personal Property                                                                                                         Interim 1    4/13/2011                          NOAA     4/13/2011
                                         - Cost and depreciation reconciliations and roll-forwards;                    PDF                                           Ken Morrow
                                         - Unreconciled Payments Report;
                                         - Unsupported items (items acquired prior to Oct 1993);
                                         - Items awaiting disposal or deployment;
                                         - Lease roll-forwards.
                                         A1-A (Capitalized personal property financial reports) for Q2                                                              Katina Williams
A01-B    A) Personal Property                                                                                          PDF            Interim 1    4/13/2011                          NOAA     4/13/2011
                                         (Dec 12 to March 12)                                                                                                        Ken Morrow
                                         A1-A (Capitalized personal property financial reports) for Q3                                                              Katina Williams                                   second email received
A01-C    A) Personal Property                                                                                          PDF            Interim 2    7/11/2011                          NOAA     7/12/2011
                                         (March 12 to June 12)                                                                                                       Ken Morrow                                       7/12
                                         A1-A (Capitalized personal property financial reports) for Q4                                                              Katina Williams
A01-D    A) Personal Property                                                                                          PDF              Final      9/26/2011                          NOAA     9/26/2011
                                         (June 12 to Sept 12)                                                                                                        Ken Morrow
                                         A1-A (Capitalized personal property financial reports) for Q5                                                              Katina Williams
A01-E    A) Personal Property                                                                                          PDF              Final      10/4/2011                          NOAA                 Past Due
                                         (Sept 12 to Sept 30)                                                                                                        Ken Morrow
                                         Records from annual capitalized physical inventory - including:              Paper &
                                         - Inventory instructions / procedures                                       Electronic
                                                                                                                                                                    Katina Williams
A02      A) Personal Property            - Copy of any tracking records maintained by PPMB of                      (tracking log      Interim 2    7/25/2011                          NOAA     7/25/2011
                                                                                                                                                                     Ken Morrow
                                         completed inventories                                                        needed
                                                                                                                  electronically)

                                         Monthly 'adds file' of capitalized personal property additions.
                                         File includes transaction type (purchased, constructed, period),          Electronic                                       Katina Williams                                   second email received
A03-A    A) Personal Property                                                                                                         Interim 2    7/11/2011                          NOAA     7/12/2011
                                         acquisition date, transaction date, project codes, $ value.              Spreadsheet                                        Ken Morrow                                       7/12
                                         For the 9 months ending June 12, 2011
                                         A03-A (PP 'monthly adds file' for the 3 months ending                     Electronic                                       Katina Williams
A03-B    A) Personal Property                                                                                                           Final      10/4/2011                          NOAA                 Past Due
                                         September 30, 2011                                                       Spreadsheet                                        Ken Morrow
                                         Reconciliation of Sunflower to CBS (general ledger) as of March
                                         12, 2011.
                                         Reconciliation should:
                                         - be final, approved and signed, version;                                                                                    Mark Miller
A04-A    A) Personal Property                                                                                         Paper           Interim 1    4/13/2011                          NOAA     4/13/2011
                                         - include both costs and depreciation;                                                                                        Amy Lin
                                         - be in a summarized format, with the detail referenced and
                                         supporting documentation for material items included (e.g. roll-
                                         forwards by property category)
                                                                                                                                                                                                                      received hardcopy; no
                                                                                                                                                                     Mark Miller
A04-B    A) Personal Property            A4-A (CBS to Sunflower reconciliation) for June 10, 2011                     Paper           Interim 2    7/14/2011                          NOAA     7/14/2011              electronic copy
                                                                                                                                                                    Heather Potter
                                                                                                                                                                                                                      received
                                                                                                                                                                      Mark Miller
A04-C    A) Personal Property            A4-A (CBS to Sunflower reconciliation) for Sept 10, 2011                     Paper             Final      10/4/2011                          NOAA     9/26/2011
                                                                                                                                                                       Amy Lin
                                                                                                                                                                      Mark Miller
A04-D    A) Personal Property            A4-A (CBS to Sunflower reconciliation) for Sept 30, 2011 (Q5)                Paper             Final      10/14/2011                         NOAA                 Past Due
                                                                                                                                                                       Amy Lin

                                         Excel download of all assets (capitalizable and non-
                                         capitalizable) in the Sunflower property database - as of June
                                         12.
                                         Each row of the s/s should present information on each asset.
                                         The following fields should be presented in separate columns:
                                                                                                                                                                    Katina Williams                                   second email received
A05-A    A) Personal Property            Barcode No; DOC Description (Official Name); Custodial Area;                 Excel           Interim 2    7/11/2011                          NOAA     7/12/2011
                                                                                                                                                                     Ken Morrow                                       7/12
                                         Manufacturer; Model; Useful Life; Acquisition date; Total
                                         acquisition cost; accumulated depreciation; Net Book Value;
                                         System Catalogue (e.g. Ships).
                                         The Net Book Value of capitalized assets in this listing should
                                         agree to the capitalizable property balance in PBC item A01-C.




                                                                                                                                                                                                                                       Page 1 of 21
                                                                                           National Oceanic Atmospheric Administration / Bureau of Industry and Security                                                      FY 2011 PBC Listing



                                  New                                                                                                          Date
Item #   Category                        Documents to be provided                                               Format      Time / Phase                                            Bureau   Received    Past Due   Note
                                Items*                                                                                                       Requested           Contact Person

                                         Excel download of all assets (capitalizable and non-
                                         capitalizable) in the Sunflower property database - as of
                                         September 30.
                                         Each row of the s/s should present information on each asset.
                                         The following fields should be presented in separate columns:
                                                                                                                                                                  Katina Williams
A05-B    A) Personal Property    new     Barcode No; DOC Description (Official Name); Custodial Area;            Excel          Final        10/6/2011                              NOAA                 Past Due
                                                                                                                                                                   Ken Morrow
                                         Manufacturer; Model; Useful Life; Acquisition date; Total
                                         acquisition cost; accumulated depreciation; Net Book Value;
                                         System Catalogue (e.g. Ships).
                                         The Net Book Value of capitalized assets in this listing should
                                         agree to the capitalizable property balance in PBC item A01-E.

                                         Listing of personal property deferred maintenance, if any, as of                                                         Katina Williams                                   second email received
A06-A    A) Personal Property                                                                                                 Interim 2      7/11/2011                              NOAA     7/12/2011
                                         June 12, 2011                                                                                                             Ken Morrow                                       7/12
                                         Listing of personal property deferred maintenance, if any, as of                                                         Katina Williams
A06-B    A) Personal Property                                                                                                   Final        9/26/2011                              NOAA     9/26/2011
                                         September 12, 2011                                                                                                        Ken Morrow
                                         UPR (Unreconciled Payment report) detailed excel file                                                                    Katina Williams                                   second email received
A07-A    A) Personal Property                                                                                                 Interim 2      7/11/2011                              NOAA     7/12/2011
                                         w/detailed transactions as of June 30, 2011                                                                               Ken Morrow                                       7/12
                                         UPR (Unreconciled Payment report) detailed excel file                                                                    Katina Williams
A07-B    A) Personal Property                                                                                                   Final        10/4/2011                              NOAA                 Past Due
                                         w/detailed transactions as of September 30, 2011                                                                          Ken Morrow
A08      A) Personal Property            Item deleted / moved
                                         Heritage Assets report - as of June 30, 2011
                                         Report should include roll-forward; listing of additions, deletions
                                                                                                                                                                  Katina Williams                                   second email received
A09-A    A) Personal Property            and transfers; and complete listing by line office (including         Electronic     Interim 2      7/11/2011                              NOAA     7/12/2011
                                                                                                                                                                   Ken Morrow                                       7/12
                                         accession no, description, common name, location, contact,
                                         quantity and condition).
                                                                                                                                                                  Katina Williams
A09-B    A) Personal Property            A9-A (Heritage assets report) as of September 30, 2011                Electronic       Final        10/4/2011                              NOAA                 Past Due
                                                                                                                                                                   Ken Morrow
                                         Evidence that PPMB received documentation from Line Offices                                                              Katina Williams
A10-A    A) Personal Property   *New     evidencing that they certified the June 2011 UPR report for their     Electronic     Interim 2      9/16/2011                              NOAA     9/16/2011
                                                                                                                                                                   Ken Morrow
                                         transactions.
                                         Evidence that PPMB received documentation from Line Offices
                                                                                                                                                                  Katina Williams
A10-B    A) Personal Property   *New     evidencing that they certified the June 2011 UPR report for their     Electronic       Final        10/14/2011                             NOAA                 Past Due
                                                                                                                                                                   Ken Morrow
                                         transactions.
                                         "Real Property Accountability Report" for Quarter 1 (December
                                         2010) and Quarter 2 (March 31, 2011), including:
                                         - Acquisitions and Depreciation roll-forwards
                                         - Improvements, acquisitions and disposals of owned property in
                                         previous quarter
                                         - Detailed depreciation data for all owned assets, by category                                                                                                             Note: SAY 7/27/2011 -
                                                                                                                                                                  Lisa Williams
                                         and RMO                                                                                                                                                                    Unable to locate this
B01-A    B) Real Property                                                                                        PDF          Interim 1      4/13/2011          Marc Rappaport      NOAA     4/13/2011
                                         - Footnote disclosures                                                                                                                                                     PBC in hardcopy or
                                                                                                                                                               Mary Ann Whitmeyer
                                         - Capital and operating lease schedules                                                                                                                                    electronic format
                                         - Prepaid rent schedules
                                         - Unsupported property listing
                                         - Excessed or donated property activity
                                         - Outlease report (NOAA as lessor)
                                         - Land purchased in Hawaii
                                                                                                                                                                  Lisa Williams
                                         B1-A (Real Property Accountability Report) for Quarter 3 (June
B01-B    B) Real Property                                                                                        PDF          Interim 2      7/11/2011          Marc Rappaport      NOAA     7/12/2011
                                         30, 2011)
                                                                                                                                                               Mary Ann Whitmeyer
                                                                                                                                                                  Lisa Williams
                                         B1-A (Real Property Accountability Report) for Quarter 4 (Sept
B01-C    B) Real Property                                                                                        PDF            Final        10/4/2011          Marc Rappaport      NOAA                 Past Due
                                         30, 2011 - preliminary)
                                                                                                                                                               Mary Ann Whitmeyer
                                                                                                                                                                  Lisa Williams
                                         B1-A (Real Property Accountability Report) for Quarter 5 (Sept
B01-D    B) Real Property                                                                                        PDF            Final        10/17/2011         Marc Rappaport      NOAA                 Past Due
                                         30, 2011 - final)
                                                                                                                                                               Mary Ann Whitmeyer
B02      B) Real Property                Item deleted / moved (merged with B1)
                                         Records from Q2 real property 'data call', including email                                                               Lisa Williams
B03-A    B) Real Property                notification and responses returned from regional management                         Interim 1      4/13/2011          Marc Rappaport      NOAA     4/13/2011
                                         offices                                                                                                               Mary Ann Whitmeyer
                                                                                                                                                                  Lisa Williams
B03-B    B) Real Property                Records from Q4 real property 'data call'                                              Final        9/26/2011          Marc Rappaport      NOAA     9/26/2011
                                                                                                                                                               Mary Ann Whitmeyer
                                         Records from annual capitalized physical inventory - including:
                                                                                                                                                                  Lisa Williams
                                         - Inventory instructions / procedures
B04      B) Real Property                                                                                                     Interim 2      7/11/2011          Marc Rappaport      NOAA     7/12/2011
                                         - Copy of any tracking records maintained by RPMD, of
                                                                                                                                                               Mary Ann Whitmeyer
                                         completed inventories.

                                                                                                                                                                                                                                     Page 2 of 21
                                                                                    National Oceanic Atmospheric Administration / Bureau of Industry and Security                                                      FY 2011 PBC Listing



                              New                                                                                                       Date
Item #   Category                    Documents to be provided                                            Format       Time / Phase                                          Bureau   Received    Past Due   Note
                            Items*                                                                                                    Requested           Contact Person
                                     Reconciliation of FRPM to CBS (general ledger) as of March 12,
                                     2011.
                                     Reconciliation should:
                                     - be final, approved and signed, version;                                                                               Mark Miller
B05-A    B) Real Property                                                                                Paper          Interim 1     4/13/2011                             NOAA     4/13/2011
                                     - include both costs and depreciation;                                                                                   Amy Lin
                                     - be in a summarized format, with the detail referenced and
                                     supporting documentation for material items included (e.g. roll-
                                     forwards by property category)
                                                                                                                                                                                                            hardcopy version
                                     B5-A (Reconciliation of FRPM to CBS) for June 30, 2011                                                                 Mark Miller
B05-B    B) Real Property                                                                                Paper          Interim 2     7/14/2011                             NOAA     7/14/2011              received; no electronic
                                                                                                                                                           Heather Potter
                                                                                                                                                                                                            copy received
                                                                                                                                                            Mark Miller
B05-C    B) Real Property            B5-A (Reconciliation of FRPM to CBS) for September 30, 2011         Paper            Final       10/4/2011                             NOAA                 Past Due
                                                                                                                                                             Amy Lin
                                     B5-A (Reconciliation of FRPM to CBS) for September 30, 2011                                                            Mark Miller
B05-D    B) Real Property                                                                                Paper            Final       10/14/2011                            NOAA                 Past Due
                                     (Q5)                                                                                                                    Amy Lin
                                     Detail listing of deferred maintenance for real property as of                                                        Gene Rodgers
B06-A    B) Real Property                                                                                               Interim 2     7/11/2011                             NOAA     7/12/2011
                                     June 12, 2011.                                                                                                         Roy Eckert
                                     Detail listing of deferred maintenance for real property as of                                                        Gene Rodgers
B06-B    B) Real Property                                                                                                 Final       10/4/2011                             NOAA                 Past Due
                                     September 12, 2011.                                                                                                    Roy Eckert
                                     Basic Information for all open CWIP activities and active CBS
                                     project codes, as of June 30, 2011.                                                                                     Mark Miller
C01-A    C) CWIP                                                                                        Electronic      Interim 2     7/11/2011                             NOAA     7/12/2011
                                     QUERY NAME: CWIP DB REPORT# 100, 200, and 202                                                                          Jones Harbor
                                     IN EXCEL FORMAT
                                     C1-A (CWIP activity listing) as of September 30, 2011
                                     Basic Information for all open CWIP activities and active CBS
                                                                                                                                                             Mark Miller
C01-B    C) CWIP                     project codes, as of June 30, 2011.                                Electronic        Final       10/6/2011                             NOAA                 Past Due
                                                                                                                                                            Jones Harbor
                                     QUERY NAME: CWIP DB REPORT# 100, 200, and 202
                                     IN EXCEL FORMAT
                                     CA500D CWIP S Report, with the following criteria:
                                     Bureau Code: 14 – NOAA
                                     Accounting FY: ALL
                                     Fund Code: ALL
                                     Budget Activity: ALL
                                     Sub Activity: ALL
                                     Line Item: ALL                                                     Electronic                                           Mark Miller
C02-A    C) CWIP                                                                                                        Interim 2     7/11/2011                             NOAA     7/12/2011
                                     Bureau Unique: ALL                                                   (PDF)                                             Jones Harbor
                                     Project Code: ALL
                                     Org1 Code: ALL
                                     Ongoing/Complete: ALL
                                     Both Purged & Unpurged versions of this report are needed for
                                     1820 and 1720
                                     For the following GL End Date: June 20, 2011
                                                                                                         Electronic                                          Mark Miller
C02-B    C) CWIP                     C2-A (CA500D CWIP S Report) for June 30, 2011                                      Interim 2     7/11/2011                             NOAA     7/12/2011
                                                                                                           (PDF)                                            Jones Harbor
                                     C2-A (CA500D CWIP S Report) for September 30, 2011                  Electronic                                          Mark Miller
C02-C    C) CWIP                                                                                                          Final       10/4/2011                             NOAA                 Past Due
                                     (preliminary)                                                         (PDF)                                            Jones Harbor
                                     Query from DW of CWIP totals by project code. The project
                                     code totals and the overall total should agree to the hard copy of
                                                                                                         Electronic                                          Mark Miller
C03-A    C) CWIP                     the CA500D CWIP Report.                                                            Interim 2     7/11/2011                             NOAA     7/12/2011
                                                                                                        Spreadsheet                                         Jones Harbor
                                     Both Purged & Unpurged versions of this report are needed
                                     For the following GL End Date: June 30, 2011
                                     C3-A (Query from DW of CWIP totals by project code)                 Electronic                                          Mark Miller
C03-B    C) CWIP                                                                                                          Final       10/4/2011                             NOAA                 Past Due
                                     September 30, 2011 (Preliminary)                                   Spreadsheet                                         Jones Harbor
                                     Finance Office NF 37-6 Tracking spreadsheet / log - as of June                                                          Mark Miller
C04-A    C) CWIP                                                                                         Electronic     Interim 2     7/14/2011                             NOAA     7/12/2011
                                     30, 2011                                                                                                               Jones Harbor
                                     Finance Office NF 37-6 Tracking spreadsheet / log - as of                                                               Mark Miller
C04-B    C) CWIP                                                                                         Electronic       Final       10/6/2011                             NOAA                 Past Due
                                     September 30, 2011                                                                                                     Jones Harbor
                                     Detailed breakdown of the 1832 Software account of the
                                                                                                                                                             Mark Miller
C05-A    C) CWIP                     CA500D report (Purged and Unpurged) for June 14, 2011               Electronic     Interim 2     7/11/2011                             NOAA     7/12/2011
                                                                                                                                                            Jones Harbor
                                     QUERY NAME: DISCPBC.FY10 PBC C4 & C5
                                     C5-A (Detailed breakdown of a/c 1832) for September 30, 2011                                                            Mark Miller
C05-B    C) CWIP                                                                                         Electronic       Final       10/4/2011                             NOAA                 Past Due
                                     (Preliminary)                                                                                                          Jones Harbor
                                     ETB / CA500D reconciliation of accounts 1720 and 1832 - as of                                                           Mark Miller
C06-A    C) CWIP                                                                                                        Interim 2     7/18/2011                             NOAA     7/18/2011
                                     June 30, 2011                                                                                                          Jones Harbor
                                     ETB / CA500D reconciliation of accounts 1720 and 1832 - as of                                                           Mark Miller
C06-B    C) CWIP                                                                                                          Final       10/14/2011                            NOAA                 Past Due
                                     September 30, 2011                                                                                                     Jones Harbor




                                                                                                                                                                                                                               Page 3 of 21
                                                                                   National Oceanic Atmospheric Administration / Bureau of Industry and Security                                                      FY 2011 PBC Listing



                           New                                                                                                         Date
Item #   Category                 Documents to be provided                                                Format      Time / Phase                                           Bureau   Received    Past Due   Note
                         Items*                                                                                                      Requested           Contact Person
                                  Listing of CWIP activities for which NF37-6 forms have been
                                  completed. Listing should include activity description, asset
                                  number, project codes and amounts capitalized from each                                                                   Mark Miller
C07-A    C) CWIP                                                                                                        Interim 2    7/18/2011                               NOAA     7/18/2011
                                  project code, total asset value - for the following period: October                                                      Jones Harbor
                                  1, 2010 - June 30, 2011
                                  QUERY NAME: DISCPBC.FY10 PBC C7
                                  C7-A (completed NF37-6 listing) for the period July 1 -                                                                   Mark Miller
C07-B    C) CWIP                                                                                                          Final      10/6/2011                               NOAA                 Past Due
                                  September 30, 2011, preliminary                                                                                          Jones Harbor
                                  C7-A (completed NF37-6 listing) for the '5th quarter' - i.e. any                                                          Mark Miller
C07-C    C) CWIP                                                                                                          Final      10/21/2011                              NOAA                 Past Due
                                  additional NF37-6s since C07-B was provided                                                                              Jones Harbor
                                  Detailed transaction-level query of project codes selected for
                                  testwork (TBD), for the following GL End Date Period: Oct 1 to
                                  June 30
                                                                                                                                        TBD
                                  i.e. Q1 to Q3 transactions only - Parameters should be GL              Electronic
C08-A    C) CWIP                                                                                                        Interim 2    (requested            Lou Deutsch       NOAA     8/15/2011
                                  Periods 31-OCT-2010 thru 30-JUN-2011 for both Cost Detail &           Spreadsheet
                                                                                                                                     8/14/2011 )
                                  CWIP Summary worksheet query results
                                  QUERY NAME: CAMSADM.CWIP-CERTIFICATION-
                                  WORKBOOK
                                  C8-A (Detailed transaction-level query of project codes) for July
                                  1 to September 30
                                                                                                         Electronic
C08-B    C) CWIP                  i.e. Q4 transactions only - Parameters should be GL Periods 31-                         Final         TBD                Lou Deutsch       NOAA
                                                                                                        Spreadsheet
                                  JUL-2011 thru 30-SEP-2011 for both Cost Detail & CWIP
                                  Summary worksheet query results
                                  Beneficial Occupancy Date (BOD) spreadsheet for real property
                                                                                                         Electronic
C09-A    C) CWIP                  CWIP projects, showing both updated BOD from Project                                  Interim 2    7/11/2011        Beverly A. Mooneyham   NOAA     7/12/2011
                                                                                                        Spreadsheet
                                  Manager and status of 37-6 submissions, as of June 30, 2011
                                                                                                    Electronic
C09-B    C) CWIP                  C9-A (BOD spreadsheet) for September 30, 2011                                           Final      10/4/2011        Beverly A. Mooneyham   NOAA                 Past Due
                                                                                                   Spreadsheet
                                  Final Prior Year CA500D Report, after all prior year closing
                                                                                                    Electronic
                                  adjustments – both detailed CA500D PDF file and project code                                                              Mark Miller
C10      C) CWIP                                                                                     PDF and            Interim 1    4/13/2011                               NOAA     4/15/2011
                                  summary level spreadsheet.                                                                                               Jones Harbor
                                                                                                   Spreadsheet
                                  Both Purged & Unpurged versions of these files are needed
C11      C) CWIP                  Item deleted
                                  NESDIS 'CWIP Status Slides', as reviewed at NESDIS monthly                                                                                                                 Revised PBC received
C12-A    C) CWIP                                                                                                        Interim 2    7/11/2011             Brian Brown       NOAA     7/12/2011
                                  management meetings - as of June 30, 2011                                                                                                                                  7/13
                                  NESDIS 'CWIP Status Slides', as reviewed at NESDIS monthly
C12-B    C) CWIP                                                                                                          Final      10/4/2011             Brian Brown       NOAA                 Past Due
                                  management meetings - as of September 30, 2011
                                  CWIP Reconciliation for GOES I-M, GOES N & R Series,
                                  POLAR, METOP and NPOESS for the period ending June 30,
                                                                                                   Paper (signed
                                  2011
                                                                                                    version) &
D01-A    D) Satellites            For project codes split between different satellite series, or                        Interim 2    7/11/2011             Brian Brown       NOAA     7/12/2011
                                                                                                    Electronic
                                  between satellites and ground systems (based on task codes), a
                                                                                                   Spreadsheet
                                  reconciliation between the CWIP Reconciliation balances and
                                  the CA500D report.
                                                                                                     Paper &
D01-B    D) Satellites            D1-A (Satellite CWIP Reconciliations) for September 30, 2011                            Final      10/4/2011             Brian Brown       NOAA                 Past Due
                                                                                                    Electronic
                                  The most recent President’s Budget Submission for
                                                                                                                                                                                                             Revised PBC received
D02      D) Satellites   adjusted Geostationary System and Polar Orbiting System (include                               Interim 2    7/11/2011              Elliot Forest    NOAA     7/12/2011
                                                                                                                                                                                                             7/13
                                  METOP and JPSS if applicable)
                                  Listing of capitalizable satellites ground system projects as of
D03-A    D) Satellites                                                                                                  Interim 2    7/11/2011            Adrienne Lewis     NOAA     7/12/2011
                                  June 30, 2011
                                  Listing of capitalizable satellites ground system projects as of
D03-B    D) Satellites                                                                                                    Final      10/4/2011            Adrienne Lewis     NOAA                 Past Due
                                  September 30, 2011
                                  Status of all GOES and POLAR Satellites, signed by program                                                                                                                 Revised PBC received
D04-A    D) Satellites                                                                                                  Interim 2    7/11/2011           Donna Anderson      NOAA     7/12/2011
                                  managers, as of June 30, 2011                                                                                                                                              7/13
                                  D4-A (Status of all GOES and POLAR Satellites) for September
D04-B    D) Satellites                                                                                                    Final      10/4/2011           Donna Anderson      NOAA                 Past Due
                                  30, 2011




                                                                                                                                                                                                                             Page 4 of 21
                                                                                      National Oceanic Atmospheric Administration / Bureau of Industry and Security                                                       FY 2011 PBC Listing



                               New                                                                                                        Date
Item #       Category                 Documents to be provided                                             Format        Time / Phase                                         Bureau     Received    Past Due   Note
                             Items*                                                                                                     Requested           Contact Person
                                      Documentation for the GOES I-M, GOES N Series, POLAR and
                                      Metop:
                                      • Estimated cost of Satellite worksheet
                                      • Percentage of completion letter from NASA
                                      • Listing of FY 2011 Accrued cost for all project codes                                                                                                                   Revised PBC received
                                      • Listing of FY 2011 Obligation for all project codes                                                                                                                     7/13; additional
                                      • Listing of labor cost for FY 2011                                                                                                                                       estimate cost
                                      • Listing of overhead cost for FY 2011                                                                                                                                    worksheet received
D05-A        D) Satellites                                                                                                 Interim 2    7/11/2011             Brian Brown      NOAA      7/12/2011
                                      • Listing of cost adjustment for FY 2011                                                                                                                                  7/26/2011; POLAR
                                      • SOCC Costs spreadsheets for satellites capitalized in the                                                                                                               Metop Additional cost
                                      current year.                                                                                                                                                             estimate worksheet
                                      • Report of property constructed and handover letter from NASA                                                                                                            received 7/27/2011
                                      for satellites capitalized in current year.
                                      • NASA POP Cost Plan by FY for NOAA Metop
                                      For the period October 1, 2010 – June 30, 2011
                                      Note: Listing should agree to the CA500D CWIP Report
                                      D5-A (Documentation for the GOES I-M, GOES N Series,
D05-B        D) Satellites                                                                                                   Final      10/4/2011             Brian Brown      NOAA                  Past Due
                                      POLAR and Metop) for July 1, 2011 – September 30, 2011
                                      Documentation for NPOESS:
                                                                                                                                                                                                                Note: Received all
                                      • NPOESS summary of cost and obligation
                                                                                                                                                                                                                put a portion of the
                                      • FY 2011 obligations summary and obligation detail for object
                                                                                                                                                                                                                PBC on 7/26/11 -
D06-A        D) Satellites            class 2500.                                                                          Interim 2    7/11/2011            Lenora Woods      NOAA      8/1/2011
                                                                                                                                                                                                                Received summary of
                                      • Summary of Cost adjustments
                                                                                                                                                                                                                cost adjustmentson
                                      • FY 2011 cost (FCFY 10)
                                                                                                                                                                                                                8/1/2011
                                      For the period October 1, 2010 – June 30, 2011
                                      D6-A (Documentation for NPOESS) for July 1, 2011 –
D06-B        D) Satellites                                                                                                   Final      10/4/2011            Lenora Woods      NOAA                  Past Due
                                      September 30, 2011
                                      Copy of ‘NOAA Satellites Monthly’ report - most recently
D07-A        D) Satellites                                                                                  Excel            Final      10/4/2011             Brian Brown      NOAA                  Past Due
                                      available as of June 30
                                      Copy of ‘NOAA Satellites Monthly’ report - most recently
D07-B        D) Satellites                                                                                  Excel            Final      10/4/2011             Brian Brown      NOAA                  Past Due
                                      available as of Sept 30
                                                                                                                                                                                                                RESPONSE: MOU is in
                                                                                                                                                                                                                draft form and is
                                      Signed Memorandum of Agreement between NOAA and NASA                Electronic                                                                                            currently at NASA HQ.
D08          D) Satellites    New                                                                                          Interim 1    5/13/2011             Brian Brown      NOAA      5/12/2011
                                      for DSCOVR Satellite                                                   PDF                                                                                                We will provide a copy
                                                                                                                                                                                                                once the MOU is fully
                                                                                                                                                                                                                signed.
                                      Signed Memorandum of Agreement between NOAA and Taiwan              Electronic
D09          D) Satellites    New                                                                                          Interim 1    5/13/2011             Brian Brown      NOAA      5/12/2011
                                      for COSMIC Program                                                     PDF
                                      Name of contact person, phone number, and location for the                                                                                                                received one email
                                                                                                                                                               Eric Parr
E01          E) Inventory             physical inventories planned for NRC and NLSC as of June,           Electronic       Interim 2    7/11/2011                              NOAA      7/12/2011              separately for each
                                                                                                                                                             Charles Maples
                                      2011.                                                                                                                                                                     NRC and NLSC
                                      Updated inventory count procedures and other controls in place                                                           Eric Parr
E02          E) Inventory                                                                                                  Interim 2    7/11/2011                              NOAA      7/13/2011
                                      at both NRC and NLSC.                                                                                                  Charles Maples
                                                                                                                                                                                                                received for NRC only
                                      Detail listings of all inventories for both NRC and NLSC as of    Electronic/exc                                         Eric Parr
E03-A        E) Inventory                                                                                                  Interim 2    7/11/2011                              NOAA      7/8/2011               (two emails) on
                                      March, 2011 (date of physical inventory)                                el                                             Charles Maples
                                                                                                                                                                                                                7/12/2011
                                      Detail listings of all inventories for both NRC and NLSC as of    Electronic/exc                                         Eric Parr
E03-B        E) Inventory                                                                                                  Interim 2    7/11/2011                              NOAA      7/12/2011
                                      June, 2011 (date of physical inventory)                                 el                                             Charles Maples
                                      E3-A (Detail listings of all inventories for both NRC and NLSC)   Electronic/exc                                         Eric Parr
E03-C        E) Inventory                                                                                                    Final      10/4/2011                              NOAA      9/20/2011
                                      for September 30, 2011                                                  el                                             Charles Maples
E04 - item removed
                                      Annual inventory valuation schedule including a reconciliation
                                      from the detail listing obtained from the field to the balances
                                      reported in the FY 2011 financial statements for both NLSC and
                                      NRC operating materials and supplies, as of June 12, 2011.
                                                                                                                                                              Mark Miller                                       received in hardcopy
E05-A        E) Inventory             This schedule should also include supporting documentation for                       Interim 2    7/11/2011                              NOAA      7/11/2011
                                                                                                                                                             Tara Asgarian                                      only
                                      the computation of inventory obsolescence reserve at June 12,
                                      2011, and should include supporting documentation for all
                                      reconciling items.
                                      Should also include GJs prepared by Financial Statements
                                      E5-A (Annual inventory valuation schedule) for September 30,                                                            Mark Miller
E05-B        E) Inventory                                                                                                    Final      10/4/2011                              NOAA                  Past Due
                                      2011 including GJ sprepared                                                                                            Tara Asgarian
                                      All lease items merged with respective personal / real property
F            F) Leases
                                      requests (A1, B1)
G01-A        G) Budget                Appropriation fund code listing for FY 2011 - as of March 31, 2011 Electronic        Interim 1    4/13/2011            Tracey Cornish   NOAA/BIS   4/12/2011




                                                                                                                                                                                                                                  Page 5 of 21
                                                                             National Oceanic Atmospheric Administration / Bureau of Industry and Security                                                             FY 2011 PBC Listing



                       New                                                                                                       Date
Item #   Category             Documents to be provided                                            Format      Time / Phase                                                Bureau     Received    Past Due   Note
                     Items*                                                                                                    Requested           Contact Person
                              Appropriation fund code listing for FY 2011 - as of September
G01-B    G) Budget            30, 2011                                                          Electronic        Final        10/11/2011           Tracey Cornish       NOAA/BIS                Past Due
                              (or confirmation that no changes since March 31)
                              Listing of total budget authority and transfers associated with
                              NOAA and BIS for each Treasury symbol under NOAA's
G02      G) Budget                                                                              Electronic      Interim 1      4/13/2011            Tracey Cornish       NOAA/BIS    4/12/2011
                              responsibility as of March 31, 2011 (Line 3A and Line 4 from
                              March SF-133)
G03      G) Budget            Item deleted / merged with G14
G04      G) Budget            FY 2011 Financial Plan-(Previously Budget Operating Plan).        Electronic      Interim 2      7/11/2011             Kathy Adams           NOAA      7/12/2011
                              SF–133s for the sampled appropriation codes (TBD) and
                              supporting documentation (i.e. Appropriation Warrants Report,
                              SF-1151, Journal entries, etc.) for the 2nd quarter.
G05-A    G) Budget                                                                                              Interim 2      5/24/2011            Tracey Cornish         NOAA      5/24/2011
                              Please provide drafts as available.
                              Please provide the final version of the SF-133 as well as the
                              signed-off draft FACTS II version.
                                                                                                                                                                                                            hardcopy version
                              G5-A (SF–133s for the sampled appropriation codes and
G05-B    G) Budget                                                                                              Interim 2      7/11/2011            Tracey Cornish         NOAA      7/11/2011              received; no electronic
                              supporting documentation) for the 3rd quarter
                                                                                                                                                                                                            copy received
                              G5-A (SF–133s for the sampled appropriation codes and
G05-C    G) Budget                                                                                                Final        10/11/2011           Tracey Cornish         NOAA                  Past Due
                              supporting documentation) for the 4rd quarter
                              Copies of Adjusted Excel General Ledger Trial Balance for every
G06-A    G) Budget            fund code for each sampled Appropriation (up to SF-133            Electronic      Interim 1      5/24/2011            Tracey Cornish         NOAA      5/24/2011
                              column) for the 2nd quarter
                              G6-A (Copies of Adjusted Excel General Ledger Trial Balance)
G06-B    G) Budget                                                                              Electronic      Interim 2      7/11/2011            Tracey Cornish         NOAA      7/15/2011
                              for the 3rd quarter
                              G6-A (Copies of Adjusted Excel General Ledger Trial Balance)
G06-C    G) Budget                                                                              Electronic        Final        10/11/2011           Tracey Cornish         NOAA                  Past Due
                              for the 4th quarter
                              Public Law documents for FY 2011 (i.e. rescissions or other                                                                                                                   second email received
G07-A    G) Budget                                                                              Electronic      Interim 1      5/19/2011             Kathy Adams           NOAA      5/19/2011
                              changes to the appropriation) for sampled appropriations.                                                                                                                     7/12
                                                                                                                                                                                                            Per email from Zoraida
                              Public Law documents for FY 2011 (i.e. rescissions or other                                                                                                                   Vazquez 7/21, BIS
G07-B    G) Budget                                                                              Electronic      Interim 2      7/11/2011           Zoreida Vazquez          BIS      7/21/2011
                              changes to the appropriation) for sampled appropriations.                                                                                                                     public law is 125-102-
                                                                                                                                                                                                            103 - Paragraph 6
                              Query of Current Year SF-1151 Non-Expenditure Transfers and
G08-A    G) Budget            Warrants, for period: October 1, 2010 to March 31, 2011           Electronic      Interim 1      5/24/2011            Tracey Cornish       NOAA/BIS    5/27/2011
                              QUERY NAME: DISCGLBA.FM BUDRES
                              Query of Current Year SF-1151 Non-Expenditure Transfers and
                                                                                                                                                                                                            revised version
G08-B    G) Budget            Warrants, for period: April 1, 2011 to June 30, 2011                              Interim 2      7/11/2011            Tracey Cornish       NOAA/BIS    7/11/2011
                                                                                                                                                                                                            received 7/12
                              QUERY NAME: DISCGLBA.FM BUDRES
                              G8-A (Query of Current Year SF-1151 Non-Expenditure
G08-C    G) Budget                                                                                                Final        10/11/2011           Tracey Cornish       NOAA/BIS                Past Due
                              Transfers and Warrants) for July 1, 2011 to September 30, 2011
                                                                                                                                                      Mark Miller
G09      G) Budget            Combined SBR as of September 30, 2011                                               Final        10/14/2011    Melvin Spencer          Tara NOAA/BIS               Past Due
                                                                                                                                                       Asgarian
                                                                                                                                                      Mark Miller
G10      G) Budget            FY11 “SBR vs. SF-133 Comparison”.                                                   Final        10/24/2011    Melvin Spencer          Tara NOAA/BIS               Past Due
                                                                                                                                                       Asgarian
G11-A    G) Budget            SF-132s for selected appropriation codes, for the 2nd quarter                     Interim 1      5/24/2011            Tracey Cornish         NOAA      5/24/2011
                                                                                                                                                                                                            second email received
G11-B    G) Budget            SF-132s for selected appropriation codes, for the 3rd quarter                     Interim 2      7/28/2011            Tracey Cornish         NOAA      7/11/2011
                                                                                                                                                                                                            7/12
G11-C    G) Budget            SF-132s for selected appropriation codes, for the 4th quarter                       Final        10/11/2011           Tracey Cornish         NOAA                  Past Due
                              Variance reports for sampled appropriation codes, for the 2nd
G12-A    G) Budget                                                                              Electronic      Interim 2      7/11/2011             Kathy Adams           NOAA      7/12/2011
                              quarter
                              Variance reports for sampled appropriation codes, for the 3rd
G12-B    G) Budget                                                                              Electronic      Interim 2      7/28/2011             Kathy Adams           NOAA      7/29/2011
                              quarter
                              Variance reports for sampled appropriation codes, for the 4th
G12-C    G) Budget                                                                              Electronic        Final        10/17/2011            Kathy Adams           NOAA                  Past Due
                              quarter
                                                                                                                                                                                                            Note: FACTS folders
                              FACTS II folder for sampled appropriation codes, for the 2nd
G13-A    G) Budget                                                                                              Interim 1      5/24/2011            Tracey Cornish         NOAA      5/24/2011              are available in
                              quarter
                                                                                                                                                                                                            Tracy's office
                                                                                                                                                                                                            Note: FACTS folders
                              FACTS II folder for sampled appropriation codes, for the 3rd
G13-B    G) Budget                                                                                              Interim 2      7/18/2011            Tracey Cornish         NOAA      7/15/2011              are available in
                              quarter
                                                                                                                                                                                                            Tracy's office
                              FACTS II folder for sampled appropriation codes, for the 4th
G13-C    G) Budget                                                                                                Final        10/17/2011           Tracey Cornish         NOAA                  Past Due
                              quarter



                                                                                                                                                                                                                               Page 6 of 21
                                                                                              National Oceanic Atmospheric Administration / Bureau of Industry and Security                                                         FY 2011 PBC Listing



                                    New                                                                                                           Date
Item #   Category                          Documents to be provided                                                Format      Time / Phase                                            Bureau     Received    Past Due   Note
                                  Items*                                                                                                        Requested           Contact Person
                                                                                                                                                                                                                         Note: Per Kathy
                                           FY10 Conference Report for NOAA/BIS showing amounts                                                                                                                           Adams email on
                                                                                                                                                                     Kathy Adams
G14      G) Budget                         appropriated for each project. This should tie to the Funds           Electronic      Interim 2      7/11/2011                               NOAA      7/12/2011              7/12/2011; there was
                                                                                                                                                                    Zoreida Vazquez
                                           Control Document (PBC request item #G16).                                                                                                                                     no conference report
                                                                                                                                                                                                                         for FY11
G15      G) Budget                         Item deleted / merged with G12A
                                           Funds Control Document (Obligations to Appropriations
G16      G) Budget                                                                                                                 Final        10/4/2011             Kathy Adams      NOAA/BIS               Past Due
                                           Document) as of September 30, 2011
                                                                                                                                                                                                                         Note: PBC due date
                                           Walkthrough the CBS system screen-prints to document
G17      G) Budget                                                                                               Electronic      Interim 2         TBD                Kathy Adams      NOAA/BIS                          to be updated pending
                                           adherence to FY 2011 budget.
                                                                                                                                                                                                                         KPMG
                                           Budgetary to Proprietary Accounts Relationship / Tie-Point
G18      G) Budget                                                                                                                 Final        10/11/2011           Tracey Cornish     NOAA                  Past Due
                                           Analysis, for sample appropriations.
                                                                                                                                                                                                                         Note: Unable to
G19      G) Budget                         Account Classification Code Structure - updated                                       Interim 1      4/13/2011             Brad Hickson      NOAA      4/21/2011              locate PBC (SAY
                                                                                                                                                                                                                         7/27/2011)
                                                                                                                                                                                                                         Note: This will be due
                                                                                                                                                                                                                         at the same time of
                                           13-47X4542.001 (FC 91) GWA Statement as of 6/30/2011 and
G20      G) Budget                 New                                                                            Interim 2      Interim 2      8/29/2011            Tracey Cornish     NOAA      8/30/2011              other Interim 2
                                           CD-3 Allotment Advice for FY2011
                                                                                                                                                                                                                         deliverable for
                                                                                                                                                                                                                         FY2012.
                                                                                                                                                                                                                         Note: This will be due
                                                                                                                                                                                                                         at the same time of
                                           13-68X8145.14 (FC 90) GWA Statement as of 6/30/2011 and
G21      G) Budget                 New                                                                            Interim 2      Interim 2      8/29/2011            Tracey Cornish     NOAA      8/30/2011              other Interim 2
                                           SF133 reported in FACTS II as of 6/30/11.
                                                                                                                                                                                                                         deliverable for
                                                                                                                                                                                                                         FY2012.
                                           Detail listing of direct loans (from the subsidiary ledger) for the
                                           following loan programs:
                                           • Coastal Zone Management Fund (Fund P-"13x4313")
                                           • Fishing Vessel Obligation Guarantee (FVOG)
                                           i. liquidating account (Fund N-"13x4417")
                                           ii. financing account (Fund F-"13x4314")
                                           • Fisheries Financing Account (Fund E-"13x4324")
                                           • Pacific Groundfish Buyback (Fund E-"13x4324")
H01-A    H) Credit Risk / Loans            • Pollock Buyback (Fund E-"13x4324")                                                  Interim 1      4/22/2011             Mark St. Clair    NOAA      4/26/2011
                                           • Crab Buyback (Fund E-"13x4324")
                                           • Non Pollock Groundfish Buyback (LC) (Fund E-"13x4324")
                                           • Notes Receivable (Fund N-"13x4417")
                                           • Fisheries Loan Fund Code 54 Loans (Fund G)
                                           • CZMF Estimated Accrued Interest (Fund P-"13x4313")
                                           • Any new disbursed loans
                                           Listings as of March 31, 2011
                                           QUERY NAME: DISCPBC.FY10 PBC H1
                                                                                                                                                                                                                         received in hardcopy;
H01-B    H) Credit Risk / Loans            H1-A (Detail listing of direct loans) for June 30, 2011                               Interim 2      7/18/2011             Mark St. Clair    NOAA      7/18/2011              no electronic copy
                                                                                                                                                                                                                         received
H01-C    H) Credit Risk / Loans            H1-A (Detail listing of direct loans) for September 30, 2011                            Final        10/4/2011             Mark St. Clair    NOAA                  Past Due
                                           E Fund (13x4324) (including Tuna Fleet) – Loan portfolio                                                                   Mary Onofrio
H02      H) Credit Risk / Loans                                                                                                    Final        10/11/2011                              NOAA                  Past Due
                                           spreadsheets by cohort, showing FY disbursements.
H03      H) Credit Risk / Loans            Detail listing of E fund loans (13X4324) as of August 31, 2011                          Final        9/26/2011             Mark St. Clair    NOAA                  Past Due
                                                                                                                                                                                                                         Per PBC H01A,
                                           Detail listing of all FY 2010 new loan guarantee defaults, at June                                                                                                            confirmation received -
H04-A    H) Credit Risk / Loans                                                                                                  Interim 2      7/18/2011             Mark St. Clair    NOAA      7/18/2011
                                           30, 2011                                                                                                                                                                      no new loan
                                                                                                                                                                                                                         guarantees
                                           Detail listing of all FY 2010 new loan guarantee defaults, at
H04-B    H) Credit Risk / Loans                                                                                                    Final        10/4/2011             Mark St. Clair    NOAA                  Past Due
                                           September 30, 2011
                                           Descriptive documentation for new approved loan programs in
H05      H) Credit Risk / Loans                                                                                  Electronic      Interim 1      4/13/2011              Paul Marx        NOAA      4/12/2011
                                           FY 2011, if applicable
                                           Calculations supporting the “Allowance for Doubtful Loans” for
H06      H) Credit Risk / Loans            Coastal Zone Management Fund (Fund P-"13x4313") and                                     Final        10/4/2011              Tim Morris       NOAA                  Past Due
                                           Summary of Loans Loss Provisions as of September 30, 2011.
                                           Fishing Vessel Obligation Guarantee (FVOG) liquidating account
                                           (N FUND - 13x4417) – N Fund collectibility estimates and
H07-A    H) Credit Risk / Loans            allowance for loss calculations as of March 31, 2011 + journal                        Interim 1      4/13/2011                               NOAA      4/12/2011
                                                                                                                                                                      Earl Bennett
                                           vouchers for adjustments + support for estimates (from Earl
                                           Bennett).




                                                                                                                                                                                                                                            Page 7 of 21
                                                                                            National Oceanic Atmospheric Administration / Bureau of Industry and Security                                                       FY 2011 PBC Listing



                                    New                                                                                                         Date
Item #   Category                          Documents to be provided                                              Format      Time / Phase                                             Bureau   Received    Past Due   Note
                                  Items*                                                                                                      Requested           Contact Person
                                           H07-A (N Fund collectibility estimates and allowance for loss
H07-B    H) Credit Risk / Loans            calculations + journal vouchers for adjustments + support for                       Interim 2      7/11/2011                               NOAA     7/12/2011
                                                                                                                                                                    Earl Bennett
                                           estimates [from Earl Bennett]) for June 30, 2011.
                                           H07-A (N Fund collectibility estimates and allowance for loss
                                           calculations + journal vouchers for adjustments + support for
H07-C    H) Credit Risk / Loans                                                                                                  Final        10/4/2011                               NOAA                 Past Due
                                           estimates [from Earl Bennett]) for September 30, 2011                                                                    Earl Bennett
                                           (performed in August).
H08      H) Credit Risk / Loans            Douglas Report as of August 31, 2011 and September 30, 2011                           Final        10/4/2011             Mark St. Clair    NOAA                 Past Due
                                                                                                                                                                                                                      second email received
                                                                                                                                                                                                                      7/12; additonal
                                           E Fund (13x4324) – Interest Accrual Report, as of June 30,
H09-A    H) Credit Risk / Loans                                                                                                Interim 2      7/11/2011                               NOAA     7/11/2011              hardcopy
                                           2011
                                                                                                                                                                    Mary Onofrio                                      documentation
                                                                                                                                                                                                                      received
                                           E Fund (13x4324) – Interest Accrual Report, as of September                                                              Mary Onofrio
H09-B    H) Credit Risk / Loans                                                                                                  Final        10/11/2011                              NOAA                 Past Due
                                           30, 2011
                                           Summary and detail report for Federal Ship Financing Fund
H10      H) Credit Risk / Loans                                                                                                  Final        10/4/2011             Mark St. Clair    NOAA                 Past Due
                                           contingent liability as of September 30, 2011
                                           F Fund – Gulf King Services, OGRG-008 & OGRG-008 Status
H11      H) Credit Risk / Loans                                                                                                  Final        10/4/2011             David Moyer       NOAA                 Past Due
                                           Report for FY 2011
                                           Portfolio Review and Risk Assessment (Sensitivity Analysis) for
H12      H) Credit Risk / Loans                                                                                                  Final        10/4/2011             David Moyer       NOAA                 Past Due
                                           FY 2011
                                           Schedule that details the average contingent liabilities for loan
H13      H) Credit Risk / Loans            losses in the liquidating account since 1981, the annual defaults                     Final        10/4/2011             David Moyer       NOAA                 Past Due
                                           (demand paid), annual collections (from collateral).
                                           List of Fisheries Finance Program – Cash Inflows and Outflows
H14      H) Credit Risk / Loans            calculated through August 31, 2011, used for the calculation of                       Final        10/11/2011            Mary Onofrio      NOAA                 Past Due
                                           the default and recovery rates.
                                           Copy of IPAC transaction printout for Treasury interest income
H15      H) Credit Risk / Loans                                                                                                  Final        10/11/2011            Mary Onofrio      NOAA                 Past Due
                                           and expense for FY 2011 for funds 13X4324 and 13X4314.
                                           Schedule for Reconciling Subsidy Allowance, separated by loan                                                            Mary Onofrio
H16      H) Credit Risk / Loans                                                                                                  Final        10/11/2011                              NOAA                 Past Due
                                           program
                                           Subsidy expense calculation worksheet by component and                                                                   Mary Onofrio
H17      H) Credit Risk / Loans                                                                                                  Final        10/11/2011                              NOAA                 Past Due
                                           support for FY11 subsidy component rates.
                                           Query showing breakdown of subsidy allowance
H18      H) Credit Risk / Loans            amortization.QUERY NAME: DISCGLBA.1399DETAIL. Detail                                  Final        10/11/2011            Mary Onofrio      NOAA                 Past Due
                                           broken out by category and cohort year.
                                           Nonexpenditure Transfer Authorization forms supporting the
H19      H) Credit Risk / Loans            Debt to Treasury amount for funds 13X4324 and 13X4314 -                               Final        10/11/2011            Mary Onofrio      NOAA                 Past Due
                                           GWA statements
                                           “Intragovernmental Fiduciary Confirmation System” (IFCS)
H20      H) Credit Risk / Loans            printout supporting the Debt to Treasury balance at 9/30/10 for                       Final        10/17/2011            Mary Onofrio      NOAA                 Past Due
                                           13X4324 and 13X4314.
                                           Credit Subsidy Calculator (CSC) reestimate worksheets, and
H21      H) Credit Risk / Loans            cash flow reestimate electronic files that support CSC2                               Final        10/11/2011            Mary Onofrio      NOAA                 Past Due
                                           worksheet.
                                           Detail listing of foreclosed properties related to liquidating                                                           Mary Onofrio
H22      H) Credit Risk / Loans                                                                                                  Final        10/11/2011                              NOAA                 Past Due
                                           account and FVOG (if applicable) as of September 30, 2011
                                                                                                                                                                    Mary Onofrio
H23      H) Credit Risk / Loans            Calculation of realized gain on the sale of collateral for FY 2011                    Final        10/11/2011                              NOAA                 Past Due
                                           Explanation from NMFS on the assumptions used in the
H24      H) Credit Risk / Loans                                                                                   Email          Final        10/4/2011          Michael Sturtevant   NOAA                 Past Due
                                           buyback programs which included technical data.
                                           Trial Balances by cohort in electronic form that include GJ’s and
H25      H) Credit Risk / Loans            copy of Discoverer Trial Balance by cohort year and program for                       Final        10/11/2011            Mary Onofrio      NOAA                 Past Due
                                           FC 08 and 43.
                                           Cash Flow worksheets for Treasury Income/Expense that                                                                    Mary Onofrio
H26      H) Credit Risk / Loans                                                                                                  Final        10/14/2011                              NOAA                 Past Due
                                           support the IPAC
H27      Item removed
                                           Support for administration costs associated with the P-Fund, FC                                                          Mary Onofrio
H28      H) Credit Risk / Loans                                                                                                  Final        10/11/2011                              NOAA                 Past Due
                                           08, FC 42, and FC 43
                                           FY2011 Default and Recovery Ration excel file and related
                                           supporting documentation such as FUC Receipt and
H29      H) Credit Risk / Loans                                                                                                  Final        10/4/2011             David Moyer       NOAA                 Past Due
                                           Disbursements, FCRA income, and cash flow work sheet
                                           comparing FCRA and Loan Loss.
                                                                                                                                                                    Mary Onofrio
H30      H) Credit Risk / Loans            Schedule for Liability for Loan Guarantee Reconciliation                              Final        10/11/2011                              NOAA                 Past Due



                                                                                                                                                                                                                                       Page 8 of 21
                                                                                            National Oceanic Atmospheric Administration / Bureau of Industry and Security                                                        FY 2011 PBC Listing



                                    New                                                                                                         Date
Item #   Category                          Documents to be provided                                              Format      Time / Phase                                            Bureau     Received    Past Due   Note
                                  Items*                                                                                                      Requested           Contact Person
                                           Schedule for Subsidy Allowance for Defaulted Loan Guarantee                                                             Mary Onofrio
H31      H) Credit Risk / Loans                                                                                                  Final        10/11/2011                              NOAA                  Past Due
                                           reconciliation
                                           Trial Balance by cohort year, and Trial Balance summed for                                                               Mary Onofrio                                       second email received
H32      H) Credit Risk / Loans                                                                                                Interim 2      7/11/2011                               NOAA      7/11/2011
                                           each program as of June 30, 2011                                                                                                                                            7/12
                                           Trial Balance by cohort year, and Trial Balance summed for
H33      H) Credit Risk / Loans            each program as of August 31, 2011 and September 30, 2011                             Final        10/11/2011            Mary Onofrio      NOAA                  Past Due
                                           (FC 08 and FC 43).
                                                                                                                                                                    Mary Onofrio
H34      H) Credit Risk / Loans            File of CSC2 Calculator including user guide/instructions            Electronic       Final        10/11/2011                              NOAA                  Past Due
H35      H) Credit Risk / Loans            Historical Actual Disbursement Data for Direct and IFQ Loans                          Final        10/4/2011             Mary Onofrio      NOAA                  Past Due
                                           Balance of seized and forfeited property at June 30, 2011, and                                                           Mark St. Clair                                     hardcopy received as
J01-A    J) Customer Billing                                                                                                   Interim 2      7/11/2011                              NOAA/BIS   7/12/2011
                                           access to supporting documentation.                                                                                     Richard Mannix                                      well
                                           Roll forward of seized and forfeited property, from June 30 to
J01-B    J) Customer Billing                                                                                                     Final        10/4/2011             Mark St. Clair   NOAA/BIS               Past Due
                                           September 30, 2011
                                           Detail listing of CMP cases assessed or settled in October 2011
J02      J) Customer Billing                                                                                                     Final        10/24/2011            Mark St. Clair   NOAA/BIS               Past Due
                                           as of 10/25/10
J03      J) Customer Billing               EMIS report of only legally enforceable cases as of 9/30/09.                          Final        10/4/2011            Richard Mannix    NOAA/BIS               Past Due
                                           Data file and listing containing all cash receipts, with a
                                           reconciliation to the GL, from October 1, 2011 through March 31,
                                           2011                                                                                                                    Karin Weeden
J04-A    J) Customer Billing                                                                                    Electronic     Interim 1      4/13/2011                              NOAA/BIS   4/14/2011
                                           Note: This file should contain the schedule number so that                                                               Nancy Eadie
                                           ADJ’s can be identified.
                                           QUERY NAME: FPCD-COMMON/PBC QUERIES/FY10 PBC J4
                                                                                                                                                                                                                       second email received
                                           J4-A (Cash receipts data, reconciliation) from April 1, 2011 to                                                         Karin Weeden
J04-B    J) Customer Billing                                                                                    Electronic     Interim 2      7/11/2011                              NOAA/BIS   7/11/2011              7/12; GL109's
                                           June 30, 2011                                                                                                            Nancy Eadie
                                                                                                                                                                                                                       received separately
                                           J4-A (Cash receipts data, reconciliation) from July 1, 2011 to                                                          Karin Weeden
J04-C    J) Customer Billing                                                                                    Electronic       Final        10/7/2011                              NOAA/BIS               Past Due
                                           September 30, 2011                                                                                                       Nancy Eadie
                                           Reimbursable Agreement Reconciliation: Detailed CBS file for
                                           Unfilled Customer Orders Without Advance (Account 4221) and
                                           Unfilled Customer Orders With Advance (Account 4222) from
                                           October 1, 2011 through March 31, 2011.
                                           File should be accompanied by a reconciliation of the data files                                                        Karin Weeden
J05-A    J) Customer Billing                                                                                    Electronic     Interim 1      4/13/2011                              NOAA/BIS   4/14/2011
                                           to the GL.                                                                                                               Nancy Eadie
                                           QUERY NAME: DISCGLBA.GL-AUDIT-REPORTS-UFCO
                                           (Requested fields: Bureau Code, Fund Code, Project Code,
                                           Customer Name, Account No, Sub Account No, Reference No,
                                           Subsystem Code, Trans Source, DR Minus CR Detail.)
                                           Reimbursable Agreement Reconciliation: J5-A (4221 and 4222
                                                                                                                                                                   Karin Weeden                                        second email received
J05-B    J) Customer Billing               detailed file) Unfilled Customer Order Data for April 1, 2011        Electronic     Interim 2      7/11/2011                              NOAA/BIS   7/11/2011
                                                                                                                                                                    Nancy Eadie                                        7/12
                                           through June 30, 2011
                                           Reimbursable Agreement Reconciliation: J5-A (4221 and 4222
                                                                                                                                                                   Karin Weeden
J05-C    J) Customer Billing               detailed file) Unfilled Customer Order Data for July 1, 2011         Electronic       Final        10/7/2011                              NOAA/BIS               Past Due
                                                                                                                                                                    Nancy Eadie
                                           through September 30, 2011
                                           Detailed CBS file for total Billed and Unbilled Accounts
                                           Receivable from October 1, 2011 through June 30, 2011.
                                           File to be accompanied by reconciliation to the GL.
                                                                                                                                                                   Karin Weeden                                        second email received
J06-A    J) Customer Billing               QUERY NAME: DISCGLBA.GL-AUDIT-REPORTS-1310                           Electronic     Interim 2      7/11/2011                              NOAA/BIS   7/11/2011
                                                                                                                                                                    Nancy Eadie                                        7/12
                                           (Requested fields: Bureau Code, Fund Code, Account No, Sub
                                           Account No, Project Code, Customer Name, Org Document No,
                                           DR Minus CR)
                                           J6-A (AR data files) for activity for the period July 1 -September                                                      Karin Weeden
J06-B    J) Customer Billing                                                                                    Electronic       Final        10/7/2011                              NOAA/BIS               Past Due
                                           30, 2011.                                                                                                                Nancy Eadie
                                           CBS data files for cash receipts from October 1 - 9, 2011.
                                           File should also include 1) a reconciliation to the GL and 2) the
                                                                                                                                                                   Karin Weeden
J07-A    J) Customer Billing               trial balance (GL109) for the period.                                Electronic       Final        10/17/2011                             NOAA/BIS               Past Due
                                                                                                                                                                    Nancy Eadie
                                           QUERY NAME: FPCD-COMMON/PBC QUERIES/FY 09 PBC
                                           J7
                                           J07-A (CBS data files for cash receipts) from October 10 - 16,                                                          Karin Weeden
J07-B    J) Customer Billing                                                                                    Electronic       Final        10/20/2011                             NOAA/BIS               Past Due
                                           2011.                                                                                                                    Nancy Eadie
                                           J07-A (CBS data files for cash receipts) from October 17 - 23,                                                          Karin Weeden
J07-C    J) Customer Billing                                                                                    Electronic       Final        10/27/2011                             NOAA/BIS               Past Due
                                           2011.                                                                                                                    Nancy Eadie
                                           J07-A (CBS data files for cash receipts) from October 24 - 31,                                                          Karin Weeden
J07-D    J) Customer Billing                                                                                    Electronic       Final        11/3/2011                              NOAA/BIS               Past Due
                                           2011.                                                                                                                    Nancy Eadie
                                           Treasury Report on Receivables (TROR) for the 4th Quarter,
J08      J) Customer Billing                                                                                                     Final        10/24/2011            Tony Furnia      NOAA/BIS               Past Due
                                           including detail for Section A ending balances.




                                                                                                                                                                                                                                        Page 9 of 21
                                                                                            National Oceanic Atmospheric Administration / Bureau of Industry and Security                                                         FY 2011 PBC Listing



                                 New                                                                                                             Date
Item #   Category                       Documents to be provided                                                   Format      Time / Phase                                           Bureau    Received     Past Due   Note
                               Items*                                                                                                          Requested          Contact Person
                                        Detail listing of Civil Monetary Penalties accounts receivable
                                        balance from CBS as of September 30, 2011, including aging
J09      J) Customer Billing            analysis and support for “Allowance for Uncollectible Account                              Final        10/11/2011         Tracey Cornish    NOAA/BIS                Past Due
                                        Receivable” and “Bad Debt Expense” as of September 30,
                                        2011.
                                        Documentation of any new procedures with regard to Civil                                                                    Mark St. Clair
J10      J) Customer Billing                                                                                                       Final        10/4/2011                            NOAA/BIS                Past Due
                                        Monetary Penalties implemented after 9/30/09.                                                                              Richard Mannix
                                        A list of cases sent to the Dept. of Justice for civil penalty action,
J11      J) Customer Billing            consultation for civil collection action, or civil forfeiture action as                    Final        10/4/2011          Richard Mannix    NOAA/BIS                Past Due
                                        of 9/30/09.
                                        Aging analysis of accounts receivable- Entire A/R Delinquent
                                        Aging Report GLD171B for each fund code with a balance in GL
                                        Account 1310 (regardless of whether an allowance was needed)
                                        except Fund Codes 9,42,74, 8, and 43. Detailed ICBM Aged A/R
                                        Report for FC 9 (showing bill number) as of September 30,
J12      J) Customer Billing                                                                                                       Final        10/11/2011         Tracey Cornish    NOAA/BIS                Past Due
                                        2011.
                                        The reconciliation between ICBM and CBS should also be
                                        included (from Mark St. Clair).
                                        A/R Delinquent Aging Report GLD171B for fund code 70 for
                                        account 1310-1399
                                        Detailed CBS file for Deferred Revenue (Account 2310) from
                                        October 1, 2011 through June 30, 2011.
                                        File to be accompanied by a reconciliation to the GL.                                                                      Karin Weeden                                         second email received
J13-A    J) Customer Billing                                                                                      Electronic     Interim 2      7/11/2011                            NOAA/BIS   7/11/2011
                                        QUERY NAME: DISCGLBA.GL-AUDIT-REPORTS-2310.                                                                                 Nancy Eadie                                         7/12
                                        (Requested fields: Bureau Code, Fund Code, Account No, Sub
                                        Account No, Project Code, Customer Name, DR Minus CR.)
                                        J13-A (Detailed list of Deferred Revenue (Account 2310)) for                                                               Karin Weeden
J13-B    J) Customer Billing                                                                                      Electronic       Final        10/7/2011                            NOAA/BIS                Past Due
                                        7/1/11-9/30/11                                                                                                              Nancy Eadie
                                        Listing of accounts receivable write-offs for each FY 2011
J14      J) Customer Billing                                                                                                       Final        10/4/2011          Hsiying Wang      NOAA/BIS                Past Due
                                        quarter.
                                        Balance of Unfilled Customer Orders Without Advance (Account
                                        4221) and Unfilled Customer Orders With Advance (Account
                                        4222) by project as of June 30, 2011.                                                                                      Karin Weeden
J15-A    J) Customer Billing    New                                                                               Electronic     Interim 2      7/11/2011                            NOAA/BIS    7/11/2011              second email received 7/12
                                        QUERY NAME: KPMG 42XX UCO Balance by Project.sql.                                                                           Nancy Eadie
                                        (Requested fields: "BUR", "FUND", "PROJ", "CUST_NO_4221",
                                        "AMT_4221", "CUST_NO_4222", "AMT_4222".)

                                        Balance of Unfilled Customer Orders Without Advance (Account
                                        4221) and Unfilled Customer Orders With Advance (Account
                                        4222) by project as of September 30, 2011.                                                                                 Karin Weeden
J15-B    J) Customer Billing    New                                                                               Electronic       Final        10/7/2011                            NOAA/BIS                Past Due
                                        QUERY NAME: KPMG 42XX UCO Balance by Project.sql.                                                                           Nancy Eadie
                                        (Requested fields: "BUR", "FUND", "PROJ", "CUST_NO_4221",
                                        "AMT_4221", "CUST_NO_4222", "AMT_4222".)

                                                                                                                                                Due date for
                                        Detailed transaction breakdown of items selected in Stage 1
                                                                                                                                              this item will be
                                        sample of Accounts Receivable (related to PBC J06-A).
J16-A    J) Customer Billing                                                                                      Electronic     Interim 2      as a result of      Bill Parkman     NOAA/BIS   8/16/2011
                                        QUERY NAME: KPMG Query 1310 unbilled breakdown by
                                                                                                                                               sampling from
                                        project.sql
                                                                                                                                                PBC J06-A.

                                                                                                                                                Due date for
                                        Detailed transaction breakdown of items selected in Stage 1
                                                                                                                                              this item will be
                                        sample of Accounts Receivable (related to PBC J06-B).
J16-B    J) Customer Billing                                                                                      Electronic       Final        as a result of      Bill Parkman     NOAA/BIS
                                        QUERY NAME: KPMG Query 1310 unbilled breakdown by
                                                                                                                                               sampling from
                                        project.sql
                                                                                                                                                PBC J06-B.

                                                                                                                                                Due date for
                                        Detailed transaction breakdown of items selected in Stage 1
                                                                                                                                              this item will be
                                        sample of Deferred Revenue (related to PBC J13-A).
J17-A    J) Customer Billing                                                                                      Electronic     Interim 2      as a result of      Bill Parkman     NOAA/BIS   8/11/2011
                                        QUERY NAME: KPMG Query 2310 unbilled breakdown by
                                                                                                                                               sampling from
                                        project.sql
                                                                                                                                                PBC J13-A.

                                                                                                                                                Due date for
                                        Detailed transaction breakdown of items selected in Stage 1
                                                                                                                                              this item will be
                                        sample of Deferred Revenue (related to PBC J13-B).
J17-B    J) Customer Billing                                                                                      Electronic       Final        as a result of      Bill Parkman     NOAA/BIS
                                        QUERY NAME: KPMG Query 2310 unbilled breakdown by
                                                                                                                                               sampling from
                                        project.sql
                                                                                                                                                PBC J13-B.


                                                                                                                                                                                                                                        Page 10 of 21
                                                                                       National Oceanic Atmospheric Administration / Bureau of Industry and Security                                                   FY 2011 PBC Listing



                                 New                                                                                                       Date
Item #   Category                       Documents to be provided                                            Format      Time / Phase                                           Bureau    Received    Past Due   Note
                               Items*                                                                                                    Requested           Contact Person
                                                                                                                                         Due date for
                                        Obligations query for Reimbursable Agreements samples                                          this item will be
J18-A    J) Customer Billing            selected (related to PBC J05-A).                                  Electronic      Interim 1      as a result of        Bill Parkman   NOAA/BIS   5/20/2011
                                        QUERY NAME: RA Compare UCO and Cost Dates.sql                                                   sampling from
                                                                                                                                         PBC J05-A.

                                                                                                                                         Due date for
                                        Obligations query for Reimbursable Agreements samples                                          this item will be
J18-B    J) Customer Billing            selected (related to PBC J05-B).                                  Electronic      Interim 2      as a result of        Bill Parkman   NOAA/BIS
                                        QUERY NAME: RA Compare UCO and Cost Dates.sql                                                   sampling from
                                                                                                                                         PBC J05-B.

                                                                                                                                         Due date for
                                        Obligations query for Reimbursable Agreements samples                                          this item will be
J18-C    J) Customer Billing            selected (related to PBC J05-C).                                  Electronic        Final        as a result of        Bill Parkman   NOAA/BIS
                                        QUERY NAME: RA Compare UCO and Cost Dates.sql                                                   sampling from
                                                                                                                                         PBC J05-C.

                                                                                                                                         Due date for
                                        Detail of costs for any Deferred Revenue samples selected
                                                                                                                                       this item will be
                                        related to incurred costs (related to PBC J13-A).
J19-A    J) Customer Billing                                                                              Electronic      Interim 2      as a result of        Bill Parkman   NOAA/BIS
                                        QUERY NAME: KPMG relate WIP cost (1310-01) to advance
                                                                                                                                        sampling from
                                        (2310-01).sql
                                                                                                                                         PBC J13-A.

                                                                                                                                         Due date for
                                        Detail of costs for any Deferred Revenue samples selected
                                                                                                                                       this item will be
                                        related to incurred costs (related to PBC J13-B).
J19-B    J) Customer Billing                                                                              Electronic        Final        as a result of        Bill Parkman   NOAA/BIS
                                        QUERY NAME: KPMG relate WIP cost (1310-01) to advance
                                                                                                                                        sampling from
                                        (2310-01).sql
                                                                                                                                         PBC J13-B.

                                                                                                                                         Due date for
                                        Detailed project balance query for items selected in Stage 1
                                                                                                                                       this item will be
                                        sample of Accounts Receivable (related to PBC J06-A).
J20-A    J) Customer Billing                                                                              Electronic      Interim 2      as a result of        Bill Parkman   NOAA/BIS   8/16/2011
                                        QUERY NAME: KPMG Query 1310 Accounts Receivable
                                                                                                                                        sampling from
                                        breakdown BALANCE by project.sql
                                                                                                                                         PBC J06-A.

                                                                                                                                         Due date for
                                        Detailed project balance query for items selected in Stage 1
                                                                                                                                       this item will be
                                        sample of Accounts Receivable (related to PBC J06-B).
J20-B    J) Customer Billing                                                                              Electronic        Final        as a result of        Bill Parkman   NOAA/BIS
                                        QUERY NAME: KPMG Query 1310 Accounts Receivable
                                                                                                                                        sampling from
                                        breakdown BALANCE by project.sql
                                                                                                                                         PBC J06-B.

                                                                                                                                         Due date for
                                        Detailed project balance query for items selected in Stage 1
                                                                                                                                       this item will be
                                        sample of Deferred Revenue (related to PBC J13-A).
J21-A    J) Customer Billing                                                                              Electronic      Interim 2      as a result of        Bill Parkman   NOAA/BIS   8/11/2011
                                        QUERY NAME: KPMG Query 2310 Deferred Revenue
                                                                                                                                        sampling from
                                        breakdown BALANCE by project.sql
                                                                                                                                         PBC J13-A.

                                                                                                                                         Due date for
                                        Detailed project balance query for items selected in Stage 1
                                                                                                                                       this item will be
                                        sample of Deferred Revenue (related to PBC J13-B).
J21-B    J) Customer Billing                                                                              Electronic        Final        as a result of        Bill Parkman   NOAA/BIS
                                        QUERY NAME: KPMG Query 2310 Deferred Revenue
                                                                                                                                        sampling from
                                        breakdown BALANCE by project.sql
                                                                                                                                         PBC J13-B.
                                        Query data file detailing the cash receipts posting logic. This
                                        query is named 'Audit Query KPMG Cash Receipts Trial Posting
                                        for Samples' and shall be provided upon receipt of cash
J22-A    J) Customer Billing                                                                              Electronic      Interim 1      5/19/2011             Bill Parkman    NOAA      5/19/2011
                                        disbursement samples from KPMG as of 3/31/11 (for Interim I)
                                        Electronic    Interim 1     Due date for this item will be as a
                                        result of sampling from PBC J05-A.
                                                                                                                                         Due date for
                                        Detailed project balance query for items selected in Stage 1
                                                                                                                                       this item will be
                                        sample of Unfilled Customer Orders (related to PBC J15-A).
J23-A    J) Customer Billing    new                                                                       Electronic      Interim 2      as a result of        Bill Parkman   NOAA/BIS   8/24/2011
                                        QUERY NAME: KPMG - UCO 4221 Balance Detail
                                                                                                                                        sampling from
                                        Transactions.sql
                                                                                                                                         PBC J15-A.




                                                                                                                                                                                                                             Page 11 of 21
                                                                                         National Oceanic Atmospheric Administration / Bureau of Industry and Security                                                                    FY 2011 PBC Listing



                                 New                                                                                                         Date
Item #   Category                       Documents to be provided                                               Format      Time / Phase                                                        Bureau    Received    Past Due   Note
                               Items*                                                                                                      Requested                Contact Person
                                                                                                                                            Due date for
                                        Detailed project balance query for items selected in Stage 1                                      this item will be
J23-B    J) Customer Billing    new     sample of Unfilled Customer Orders (related to PBC J15-B).            Electronic       Final        as a result of            Bill Parkman            NOAA/BIS
                                        QUERY NAME: KPMG - UCO 4221 Balance Detail                                                         sampling from
                                                                                                                                            PBC J15-B.
                                        A detail list of all FY 2011 grant obligations unpaid (48x1) and
                                                                                                                                                                     Karin Weeden
K01-A    K) Grants                      paid (48x2) as of March 31, 2011                                      Electronic     Interim 1      4/13/2011                                          NOAA      4/13/2011
                                                                                                                                                                      Nancy Eadie
                                        QUERY NAME: DISCGLBA.GL-AUDIT-REPORTS-GRANTS
                                                                                                                                                                    Karin Weeden                                                second email received
K01-B    K) Grants                      K1-A (Grant 48x1 and 48x2 listing) for June 30, 2011                  Electronic     Interim 2      7/11/2011                                          NOAA      7/11/2011
                                                                                                                                                                     Nancy Eadie                                                7/12
                                                                                                                                                                    Karin Weeden
K01-C    K) Grants                      K1-A (Grant 48x1 and 48x2 listing) for September 30, 2011             Electronic       Final        10/7/2011                                          NOAA                  Past Due
                                                                                                                                                                     Nancy Eadie
K02-A    K) Grants                      A detail list of all active awards, at March 31, 2011                 Electronic     Interim 1      4/13/2011           Arlene Simpson-Porter          NOAA      4/15/2011
K02-B    K) Grants                      A detail list of all active awards, at June 30, 2011                  Electronic     Interim 2      7/11/2011           Arlene Simpson-Porter          NOAA      7/12/2011
K02-C    K) Grants                      A detail list of all active awards, at September 30, 2011             Electronic       Final        10/4/2011           Arlene Simpson-Porter          NOAA                  Past Due
                                        A detail list of grant awards expired in FY 2011, as of March 31,
                                        2011.
K03-A    K) Grants                                                                                            Electronic     Interim 1      4/13/2011           Arlene Simpson-Porter          NOAA      4/15/2011
                                        List should include expiration date, start date, UDO balance,
                                        award number, grant recipient name, and federal dollar amount.

K03-B    K) Grants                      K3-A (List of grant awards expired in FY 2011) for June 30, 2011      Electronic     Interim 2      7/11/2011           Arlene Simpson-Porter          NOAA      7/12/2011
                                        K3-A (List of grant awards expired in FY 2011) for September
K03-C    K) Grants                                                                                            Electronic       Final        10/4/2011           Arlene Simpson-Porter          NOAA                  Past Due
                                        30, 2011
                                        A detail listing of grants that were closed in FY 2011, thru June
K04-A    K) Grants                                                                                            Electronic     Interim 2      7/11/2011           Arlene Simpson-Porter          NOAA      7/12/2011
                                        30
                                        A detail listing of grants that were closed in FY 2011, thru
K04-B    K) Grants                                                                                            Electronic       Final        10/4/2011           Arlene Simpson-Porter          NOAA                  Past Due
                                        September 30
                                        09/30/11 Grant Adjustment, with supporting documentation                                                                       Mark Miller
K05      K) Grants                                                                                                             Final        11/2/2011                                          NOAA                  Past Due
                                        (applicable only if different from K8)                                                                                          Amy Lin
                                        A list of names that are authorized in signing CD-435’s for
K06      K) Grants                                                                                                           Interim 1      4/13/2011           Arlene Simpson-Porter          NOAA      4/15/2011
                                        grants.
                                        A list of the names of Grant Officers that are authorized to sign
K07      K) Grants                                                                                            Electronic     Interim 1      4/13/2011           Arlene Simpson-Porter          NOAA      4/15/2011
                                        CD 450/451s.
                                        Grant Accrual including all supporting documents (i.e. SF-272
                                        listings of Positive and Negative Cash on Hand for FYs 2008 to
                                        2011, Expenditure Report, accrual calculations, GJs etc. ) as of                                                              Mark Miller
                                        March 31, 2011.                                                                                                                 Amy Lin
K08-A    K) Grants                                                                                            Electronic     Interim 1      4/13/2011                                          NOAA      4/13/2011
                                        The 425 listings should also be provided in excel format and                                                          Tracy Jackson (for electronic
                                        should include the following columns: grant no., report start date,                                                             GERs)
                                        report end date, drawdown, federal share, cash on hand and
                                        date last updated.
                                        K8-A (Grant Accrual including all supporting documents) for
                                        September 16, 2011 submission to Finance Office                                                                                Mark Miller
K08-B    K) Grants                                                                                            Electronic       Final        9/30/2011                                          NOAA                  Past Due
                                        * The version used in year-end accrual analysis / submitted to                                                                  Amy Lin
                                        Finance
                                        A list of legal counsel attorneys who are authorized to provide
K09      K) Grants                                                                                            Electronic     Interim 1      4/13/2011           Arlene Simpson-Porter          NOAA      4/15/2011
                                        legal clearance of NOAA awards.
                                        Procedures for Recording Grant Accruals / Advances (Exhibit 1) -                                                              Mark Miller
K10      K) Grants                                                                                            Electronic     Interim 1      4/22/2011                                          NOAA      4/13/2011
                                        if updated                                                                                                                     Amy Lin
K11      K) Grants                      Listing of grantees subject to A-133 compliance.                                       Final        7/15/2011           Arlene Simpson-Porter          NOAA      7/29/2011
K12      K) Grants                      A detail listing of non-ASAP Grant Recipients.                                         Final        10/4/2011           Arlene Simpson-Porter          NOAA                  Past Due
K13      K) Grants                      List of authorized Grants Management CBS Users                        Electronic     Interim 2      4/25/2011           Arlene Simpson-Porter          NOAA      4/26/2011
                                        Report breaking out 4902 by object class, with the grant related
                                                                                                                                                                     Mark Miller
K14-A    K) Grants                      activity shown in a separate column.                                  Electronic       Final        10/14/2011                                         NOAA                  Past Due
                                                                                                                                                                    Melvin Spencer
                                        QUERY NAME: DISCPBC.FY 10 PBC K14 – 1 OF 3
                                        Report breaking out 2190 by object class, with the grant related
                                                                                                                                                                     Mark Miller
K14-B    K) Grants                      activity shown in a separate column.                                  Electronic       Final        10/14/2011                                         NOAA                  Past Due
                                                                                                                                                                    Melvin Spencer
                                        QUERY NAME: DISCPBC.FY 10 PBC K14 – 2 OF 3
                                        Report breaking out 4801 by object class, with the grant related
                                                                                                                                                                     Mark Miller
K14-C    K) Grants                      activity shown in a separate column.                                  Electronic       Final        10/14/2011                                         NOAA                  Past Due
                                                                                                                                                                    Melvin Spencer
                                        QUERY NAME: DISCPBC.FY 10 PBC K14 – 3 OF 3
                                        Report breaking out 6100 by object class, with the grant related
                                                                                                                                                                     Mark Miller
K14-D    K) Grants                      activity shown in a separate column.                                  Electronic       Final        10/14/2011                                         NOAA                  Past Due
                                                                                                                                                                    Melvin Spencer
                                        QUERY NAME: DISCPBC.FY 10 PBC K15
                                        Spreadsheet showing the update for FY 2011 grants that were
K15      K) Grants                      related to fisheries were in compliance with the Fish and Wildlife                     Final        10/4/2011           Arlene Simpson-Porter          NOAA                  Past Due
                                        Act.


                                                                                                                                                                                                                                                Page 12 of 21
                                                                               National Oceanic Atmospheric Administration / Bureau of Industry and Security                                                                FY 2011 PBC Listing



                       New                                                                                                         Date
Item #   Category             Documents to be provided                                              Format      Time / Phase                                              Bureau          Received    Past Due   Note
                     Items*                                                                                                      Requested          Contact Person
                                                                                                                                               Nancy Eadie         Karin
K16-A    K) Grants   *New     PBC K14A with data as of March 12, 2011                             Electronic      Interim 1      4/13/2011                                 NOAA                                  New for FY12
                                                                                                                                                        Weedin
                                                                                                                                               Nancy Eadie         Karin
K16-B    K) Grants   *New     PBC K14C with data as of March 12, 2011                             Electronic      Interim 1      4/13/2011                                 NOAA                                  New for FY12
                                                                                                                                                        Weedin
                              Statement of Transactions (SF 224) for NOAA’s ALC, for March,                                                          Ruth Ann Bond
L01-A    L) FBWT                                                                                                  Interim 1      4/13/2011                               NOAA/BIS         4/12/2011
                              2011                                                                                                                    Nancy Eadie
                                                                                                                                                                                                                 hardcopy version
                              Statement of Transactions (SF 224) for NOAA’s ALC, for June                                                             Ruth Ann Bond
L01-B    L) FBWT                                                                                                  Interim 2      7/11/2011                                     NOAA/BIS   7/11/2011              received; no electronic
                              2011                                                                                                                     Nancy Eadie
                                                                                                                                                                                                                 copy received
                              Statement of Transactions (SF 224) for NOAA’s ALC, for                                                                  Ruth Ann Bond
L01-C    L) FBWT                                                                                                    Final        10/7/2011                                     NOAA/BIS               Past Due
                              September, 2011                                                                                                          Nancy Eadie
                                                                                                                                                      Ruth Ann Bond
L02-A    L) FBWT              Collection Reported on SF 224 for the (2011) month of March                         Interim 1      4/13/2011                                     NOAA/BIS   4/12/2011
                                                                                                                                                       Nancy Eadie
                                                                                                                                                      Ruth Ann Bond
L02-B    L) FBWT              L2-A (Collection Reported on SF 224) for April 2011                                 Interim 1       5/6/2011                                     NOAA/BIS   5/4/2011
                                                                                                                                                       Nancy Eadie
                                                                                                                                                                                                                 hardcopy version
                                                                                                                                                      Ruth Ann Bond
L02-C    L) FBWT              L2-A (Collection Reported on SF 224) for June 2011                                  Interim 2      7/14/2011                                     NOAA/BIS   7/14/2011              received; no electronic
                                                                                                                                                       Nancy Eadie
                                                                                                                                                                                                                 copy received

                                                                                                                                                                                                                 hardcopy version
                                                                                                                                                      Ruth Ann Bond
L02-D    L) FBWT              L2-A (Collection Reported on SF 224) for July 2011                                  Interim 2      8/12/2011                                     NOAA/BIS   8/8/2011               received; no electronic
                                                                                                                                                       Nancy Eadie
                                                                                                                                                                                                                 copy received
                                                                                                                                                      Ruth Ann Bond
L02-E    L) FBWT              L2-A (Collection Reported on SF 224) for September 2011                               Final        10/7/2011                                     NOAA/BIS               Past Due
                                                                                                                                                       Nancy Eadie
                                                                                                                                                      Ruth Ann Bond
L02-F    L) FBWT              L2-A (Collection Reported on SF 224) for October 2011                                 Final        11/10/2011                                    NOAA/BIS               Past Due
                                                                                                                                                       Nancy Eadie
                              Statement of Difference (6652), along with reconciliation of the
                                                                                                                                                      Ruth Ann Bond
L03-A    L) FBWT              general ledger amounts to report amounts, including supporting                      Interim 1      4/13/2011                                     NOAA/BIS   4/12/2011
                                                                                                                                                       Nancy Eadie
                              documentation – for March, 2011
                                                                                                                                                                                                                 hardcopy version
                                                                                                                                                      Ruth Ann Bond
L03-B    L) FBWT              L3-A (Statement of Difference (6652)) for June 2011                                 Interim 2      7/14/2011                                     NOAA/BIS   7/14/2011              received; no electronic
                                                                                                                                                       Nancy Eadie
                                                                                                                                                                                                                 copy received
                                                                                                                                                      Ruth Ann Bond
L03-C    L) FBWT              L3-A (Statement of Difference (6652)) for September 2011                              Final        10/11/2011                                    NOAA/BIS               Past Due
                                                                                                                                                       Nancy Eadie
L04      L) FBWT              SF 2108 Year-end closing statement                                                    Final        10/21/2011           Tracey Cornish           NOAA/BIS               Past Due
                              2011 cumulative Cash Reconciliations of the General Ledger
                                                                                                                                                      Karin Weeden
L05-A    L) FBWT              Cash Accounts, and supporting schedules – for month of March,                       Interim 1      4/13/2011                                     NOAA/BIS   4/13/2011
                                                                                                                                                       Nancy Eadie
                              2011
                                                                                                                                               Nancy Eadie             Karin
L05-B    L) FBWT              L5-A (Cash Reconciliations), for June 2011                                          Interim 2      7/14/2011                                     NOAA/BIS   7/14/2011
                                                                                                                                                        Weedin
                                                                                                                                               Nancy Eadie             Karin
L05-C    L) FBWT              L5-A (Cash Reconciliations), for September 2011                                       Final        10/14/2011                                    NOAA/BIS               Past Due
                                                                                                                                                        Weedin
                                                                                                                                                                                                                 Note: SAY 7/27/2011 -
                                                                                                                                                                                                                 I do not have this PBC
                                                                                                                                                      Ruth Ann Bond
L06-A    L) FBWT              GWA statements for March 2011                                                       Interim 1      4/13/2011                                     NOAA/BIS   4/12/2011              in hardcopy or
                                                                                                                                                       Nancy Eadie
                                                                                                                                                                                                                 electronic format in my
                                                                                                                                                                                                                 emails
                                                                                                                                                     Ruth Ann Bond
L06-B    L) FBWT              GWA statements for June 2011                                                        Interim 2      7/11/2011                               NOAA/BIS         7/12/2011
                                                                                                                                                      Nancy Eadie
                                                                                                                                                     Ruth Ann Bond
L06-C    L) FBWT              GWA statements for September 2011                                                     Final        10/14/2011                              NOAA/BIS                     Past Due
                                                                                                                                                      Nancy Eadie
                                                                                                                                               Nancy Eadie         Karin
L07      L) FBWT              Listing of FY 2011 receipts considered undeposited receipts.                          Final        10/7/2011                               NOAA/BIS                     Past Due
                                                                                                                                                        Weedin
                                                                                                                                                                                                                 no foreign receipts
                              Detail listing of the foreign currency receipts and disbursements                                                        Nancy Eadie                                               received; revised
L08-A    L) FBWT                                                                                  Electronic      Interim 2      7/11/2011                                     NOAA/BIS   7/11/2011
                              for FY 2011, as of June 30, 2011                                                                                         Karen Green                                               disbursements
                                                                                                                                                                                                                 received 7/12
                              L08-A (Detail listing of the foreign currency receipts and                                                               Nancy Eadie
L08-B    L) FBWT                                                                                  Electronic        Final        10/7/2011                                     NOAA/BIS               Past Due
                              disbursements) for September 30, 2011                                                                                    Karen Green
                              Listing of all petty cash and imprest funds including amount and
                              location, plus the name and phone number of custodian. The                                                              Karin Weeden                                               second email received
L09-A    L) FBWT                                                                                                  Interim 2      7/11/2011                                     NOAA/BIS   7/11/2011
                              information at the ASC’s should be provided to HQ. The total                                                             Nancy Eadie                                               7/12
                              should agree to the General Ledger. As of June 30, 2011
                              L9-A (Listing of all petty cash and imprest funds) for September                                                        Karin Weeden
L09-B    L) FBWT                                                                                                    Final        10/7/2011                                     NOAA/BIS               Past Due
                              30, 2011                                                                                                                 Nancy Eadie


                                                                                                                                                                                                                                   Page 13 of 21
                                                                                       National Oceanic Atmospheric Administration / Bureau of Industry and Security                                                        FY 2011 PBC Listing



                            New                                                                                                            Date
Item #   Category                  Documents to be provided                                                  Format      Time / Phase                                          Bureau     Received    Past Due   Note
                          Items*                                                                                                         Requested           Contact Person
                                   Investment and Redemption Fund Register for all funds, as of
                                                                                                                                                                                                                 hardcopy received; no
                                   June 30, 2011
L10-A    L) FBWT                                                                                                           Interim 2     7/11/2011            Tracey Cornish   NOAA/BIS   7/11/2011              electronic copy
                                   Copies of transaction confirmations from Treasury for each
                                                                                                                                                                                                                 received
                                   investment and redemption.
                                   L10-A (Investment and Redemption Fund Register for all funds)
L10-B    L) FBWT                                                                                                             Final       10/11/2011           Tracey Cornish   NOAA/BIS               Past Due
                                   for September 30, 2011
                                   Detail listing of activity in the 1010 account for suspense funds
                                   (FC 64-67) for the period: 10/01/09 – 6/30/10
                                   QUERY NAMES: DISCPBC.FY 10 PBC L11 – FC 64                                                                                 Ruth Ann Bond
L11-A    L) FBWT                                                                                                           Interim 2     7/11/2011                             NOAA/BIS   7/12/2011
                                                            DISCPBC.FY 10 PBC L11 – FC 65                                                                      Nancy Eadie
                                                            DISCPBC.FY 10 PBC L11 – FC 66
                                                            DISCPBC.FY 10 PBC L11 – FC 67
                                   L11-A (Detail listing of activity in the 1010 account for suspense                                                         Ruth Ann Bond
L11-B    L) FBWT                                                                                                             Final       10/7/2011                             NOAA/BIS               Past Due
                                   funds (FC 64-67)) for 7/01/10-9/30/10                                                                                       Nancy Eadie
                                   Listing of all cash on deposit with financial institutions, if any, by
                                                                                                                                                                                                                 negative reply for both
                                   institution, including the type of each account, corresponding
L12-A    L) FBWT                                                                                                           Interim 2     7/11/2011              Mark Miller    NOAA/BIS   7/12/2011              BIS and NOAA - see
                                   account numbers and the names of individuals having signatory
                                                                                                                                                                                                                 email from Mark Miller
                                   authority for each account – as of June 30, 2011
                                   L12-A (Listing of all cash on deposit with financial institutions) for
L12-B    L) FBWT                                                                                                             Final       10/4/2011              Mark Miller    NOAA/BIS               Past Due
                                   September 30, 2011
                                   Financial Document Distribution Listing (if different from the FY
M01      M) Procurement                                                                                                    Interim 2     7/11/2011             Lois Coleman     NOAA      7/12/2011
                                   2010 listing).
                                   Data file containing all cash disbursements by object class code
                                                                                                                                                                                                                 Note: See PBC J04-A
                                   for October 1, 2010 through March 31, 2011;
                                                                                                                                                                                                                 on KClient for Cash
                                   Each data file should be accompanied by a reconciliation to the                                                            Karin Weeden
M02-A    M) Procurement                                                                                     Electronic     Interim 1     4/13/2011                              NOAA      4/14/2011              Reconciliation and
                                   GL.                                                                                                                         Nancy Eadie
                                                                                                                                                                                                                 GL109 detail- account
                                   QUERY NAME: FPCD-COMMON/PBC QUERIES/FY 10 PBC
                                                                                                                                                                                                                 1010
                                   M2
                                                                                                                                                                                                                 Note 1: See PBC J04-
                                                                                                                                                                                                                 B on KClient for Cash
                                                                                                                                                                                                                 Reconciliation and
                                                                                                                                                                                                                 GL109 detail- account
                                   M2-A (cash disbursements data file) for April 1 through June 30,                                                           Karin Weeden
M02-B    M) Procurement                                                                                     Electronic     Interim 2     7/11/2011                              NOAA      7/11/2011              1010
                                   2011                                                                                                                        Nancy Eadie
                                                                                                                                                                                                                 Note 2: M02B
                                                                                                                                                                                                                 received via CD;
                                                                                                                                                                                                                 uploaded to Kclient as
                                                                                                                                                                                                                 well
                                   M2-A (cash disbursements data file) for July 1 through                                                                     Karin Weeden
M02-C    M) Procurement                                                                                     Electronic       Final       10/7/2011                              NOAA                  Past Due
                                   September 30, 2011                                                                                                          Nancy Eadie
                                   Detail data files of undelivered orders from CBS (GLD 173
                                   Version B) along with reconciliation data files to the GL, as of
M03-A    M) Procurement            September 15, 2011                                                       Electronic       Final       9/20/2011             Marti Iacono    NOAA/BIS   9/22/2011
                                   Include a copy of GL 109 that is used to prepare the
                                   reconciliation.
M03-B    M) Procurement            M3-A (UDO data file from CBS) for September 30, 2011                     Electronic       Final       10/4/2011             Marti Iacono    NOAA/BIS               Past Due
                                   Detail listing of accounts payable for both ARRA and non-ARRA
                                   (data files from CBS (GLD 172 B)), along with reconciliation of
                                                                                                                                                                                                                 revised version sent
M04-A    M) Procurement            data files to the general ledger, for June 30, 2011. SEPARATE            Electronic     Interim 2     7/11/2011             Marti Iacono    NOAA/BIS   7/12/2011
                                                                                                                                                                                                                 7/12/2011
                                   BY ARRA AND NON ARRA FUND CODES. Include sgl's 2110
                                   through 2190.
M04-B    M) Procurement            M4-A (Detail listing of accounts payable) for September 30, 2011         Electronic       Final       10/7/2011             Marti Iacono    NOAA/BIS               Past Due
                                   Detail listing of disbursements by object code for the period:
                                                                                                                                                              Karin Weeden
M05-A    M) Procurement            October 1- October 9, 2011                                               Electronic       Final       10/13/2011                            NOAA/BIS               Past Due
                                                                                                                                                               Nancy Eadie
                                   QUERY NAME: DISCGLBA.GL-AUDIT-REPORTS-1010
                                   M5-A (Detail listing of disbursements by object code) for October                                                          Karin Weeden
M05-B    M) Procurement                                                                                     Electronic       Final       10/20/2011                            NOAA/BIS               Past Due
                                   10-October 16, 2011                                                                                                         Nancy Eadie
                                   M5-A (Detail listing of disbursements by object code) for October                                                          Karin Weeden
M05-C    M) Procurement                                                                                     Electronic       Final       10/27/2011                            NOAA/BIS               Past Due
                                   17-October 23, 2011                                                                                                         Nancy Eadie
                                   M5-A (Detail listing of disbursements by object code) for October                                                          Karin Weeden
M05-D    M) Procurement                                                                                     Electronic       Final       10/7/2011                             NOAA/BIS               Past Due
                                   24-October 31, 2011                                                                                                         Nancy Eadie
                                   FY 2011 payment performance data submitted to DOC, as
M06      M) Procurement                                                                                                      Final       10/4/2011             Lois Coleman     NOAA                  Past Due
                                   required by OMB Circular A-125 and the Prompt Payment Act.




                                                                                                                                                                                                                                   Page 14 of 21
                                                                                      National Oceanic Atmospheric Administration / Bureau of Industry and Security                                                                 FY 2011 PBC Listing



                            New                                                                                                            Date
Item #   Category                  Documents to be provided                                                  Format      Time / Phase                                                    Bureau     Received    Past Due   Note
                          Items*                                                                                                         Requested               Contact Person
                                   Listing of contingent liabilities (e.g. guarantees or endorsements,
                                   incurred but unreported claims, irregularities involving
M07      M) Procurement            management or employees, unfunded, pension costs, cases                                   Final        10/20/2011                Mark Miller           NOAA                  Past Due
                                   transferred to the Department of Justice, etc.) as of September
                                   30, 2011.
                                   Detail listing of all contracts identified as having contract                                                                                                                           Note: PBC M08A is
M08-A    M) Procurement            retainage provisions, as of June 30, 2011                                Electronic     Interim 2      7/11/2011                Shem Yusuf             NOAA      7/12/2011              labeled as M09A in
                                   QUERY NAME: DISCPBC.FY 10 PBC M8 & M9                                                                                                                                                   Kclient
                                   M8-A (Detail listing of all contracts identified as having contract
M08-B    M) Procurement                                                                                     Electronic       Final        10/4/2011                Shem Yusuf             NOAA                  Past Due
                                   retainage provisions) for September 30, 2011
                                   For contracts: detail listing of contract retainages with total
M09-A    M) Procurement            accrued cost that have been withheld as of June 30, 2011                 Electronic     Interim 2      7/11/2011                Shem Yusuf             NOAA      7/12/2011
                                   QUERY NAME: DISCPBC.FY 10 PBC M8 & M9
                                   M9-A (Detail listing of contract retainages) for September 30,
M09-B    M) Procurement                                                                                     Electronic       Final        10/4/2011                Shem Yusuf             NOAA                  Past Due
                                   2011
                                   Detail listing (roll-forward) of all other liabilities as of September                                                          Mark Miller
M10      M) Procurement                                                                                                      Final        10/12/2011                                      NOAA                  Past Due
                                   30, 2011                                                                                                                       Heather Potter
                                   Aging analysis for accounts payable (GLD 172 G) for SGL 2110
                                   only that indicates amounts outstanding 30, 60, 90, and over 90
M11-A    M) Procurement                                                                                     Electronic     Interim 2      7/11/2011                Marti Iacono          NOAA/BIS   7/12/2011
                                   days, as of June 30, 2011. SEPARATE REPORTS BY ARRA
                                   AND NON ARRA FUND CODES
                                   M11-A (Aging analysis for accounts payable) for September 30,
M11-B    M) Procurement                                                                                     Electronic       Final        10/4/2011                Marti Iacono          NOAA/BIS               Past Due
                                   2011
                                   Analysis of account 1410 - including fields: Project Code, Task
                                   Code, Vendor No, Vendor Name, Org Doc Type, $ - at
                                   September 30, 2011.                                                                                                            Mark Miller
M12      M) Procurement                                                                                     Electronic       Final        10/7/2011                                       NOAA                  Past Due
                                   [This PBC item was K10 and K16 in FY08]                                                                                       Melvin Spencer
                                   QUERY NAME: DISCGLBA.GL-AUDIT-REPORTS-14XX-
                                   ADVANCES
                                   Project Code Listing for all goals (Budgeting Office) as of June
                                   30, 2011.
                                                                                                                                                            Kathy Adams (NOAA); Debra
M13      M) Procurement            QUERY NAME: CAMSADM.PE-REPORTING (WORKSHEET:                                            Interim 2      7/11/2011                                      NOAA/BIS   7/12/2011
                                                                                                                                                                   Thornton (BIS)
                                   GOAL/PROG/ACT/CBS PROG – QTRLY AMT)
                                   *INCLUDING BIS GOALS*
M14      M) Procurement            The FY 2011 Internal Fund Cost allocation rates.                                          Final        10/4/2011             Thomas Santymire          NOAA                  Past Due
                                                                                                                                                                   Mark Miller
M15      M) Procurement            The FY 2011 balance for deferred credits as of 9/30/10.                                   Final        10/18/2011                                      NOAA                  Past Due
                                                                                                                                                                  Heather Potter
                                   Disbursement report for Prompt Pay Act, for the period of:
                                   10/1/09 - 6/30/10
                                   This report should show all payments made to vendors and have
                                   the following fields:
                                   1. Vendor name
                                   2. Invoice number (and any other information that help locating
                                   the supporting documents)
M16-A    M) Procurement                                                                                     Electronic     Interim 2      7/11/2011               Karen Green            NOAA/BIS   7/11/2011              received on CD
                                   3. Invoice amount and amount paid
                                   4. Date invoice was received
                                   5. Date invoice was paid
                                   6. Interest paid, if any"
                                   7. If item was flagged as "do not pay interest penalty"
                                   QUERY NAME: FPCD-COMMON/PBC QUERIES/FY 09 PBC
                                   M16
                                   M16-A (Disbursement report for Prompt Pay Act) for 7/1/10-
M16-B    M) Procurement                                                                                     Electronic       Final        10/4/2011               Karen Green            NOAA/BIS               Past Due
                                   9/30/10
                                   Detail schedules for Prepayments for both Intergovernmental
M17      M) Procurement                                                                                     Electronic       Final        10/14/2011                Mark Miller           NOAA                  Past Due
                                   and Governmental, as of September 30, 2011
                                   SQL query data file (listing) of upward and downward
                                   adjustments to undelivered orders in the GLD173B format that
                                   reconciles to the general ledger as of September 15, 2011 -
M18      M) Procurement                                                                                     Electronic     Interim 2      9/20/2011                Marti Iacono          NOAA/BIS   9/22/2011
                                   please include grant award numbers in query
                                   QUERY NAME: FPCD-COMMON/PBC QUERIES/FY 10 PBC
                                   M18
M19      M) Procurement            Query data file of Unpaid Invoice Amount >$1M as of October 28           Electronic       Final        10/28/2011               Marti Iacono          NOAA/BIS               Past Due
                                                                                                                                          Due date for
                                   Query data file named 'Audit Query KPMG Cash Disb Trial                                              this item will be
M20-A    M) Procurement            Posting for Samples' upon receipt of cash disbursement                   Electronic     Interim 1      as a result of     Bill Parkman/Marti Iacono   NOAA/BIS   5/18/2011
                                   samples from KPMG as of 3/31/10 (for Interim I)                                                       sampling from
                                                                                                                                          PBC M02-A


                                                                                                                                                                                                                                            Page 15 of 21
                                                                                       National Oceanic Atmospheric Administration / Bureau of Industry and Security                                                                FY 2011 PBC Listing



                                New                                                                                                        Date
Item #   Category                      Documents to be provided                                             Format       Time / Phase                                                   Bureau     Received    Past Due   Note
                              Items*                                                                                                     Requested              Contact Person
                                                                                                                                          Due date for
                                       Query data file named 'Audit Query KPMG Cash Disb Trial                                          this item will be
M20-B    M) Procurement                Posting for Samples' upon receipt of cash disbursement               Electronic     Interim 2      as a result of    Bill Parkman/Marti Iacono   NOAA/BIS   8/2/2011
                                       samples from KPMG as of 6/30/2011 (for Interim II)                                                sampling from
                                                                                                                                          PBC M02-B

                                                                                                                                          Due date for
                                       Query data file named 'Audit Query KPMG Cash Disb Trial                                          this item will be
M20-C    M) Procurement                Posting for Samples' upon receipt of cash disbursement               Electronic       Final        as a result of    Bill Parkman/Marti Iacono   NOAA/BIS
                                       samples from KPMG as of 9/30/2011 (for Final)                                                     sampling from
                                                                                                                                          PBC M02-C
                                                                                                                                          Due date for
                                       Query data file named 'Auditor Query GLD172b Sample
                                                                                                                                        this item will be
                                       Breakout for Vendor.sql' upon receipt of the Interim 2 Vendor AP
M21-A    M) Procurement                                                                                     Electronic     Interim 2      as a result of          Marti Iacono          NOAA/BIS   8/15/2011
                                       balance samples from KPMG -breakout detail data as of
                                                                                                                                         sampling from
                                       6/30/2011
                                                                                                                                              M04A
                                       M21-A for the interim 2 Vendor AP balance - breakout detail
M21-B    M) Procurement                data as of 8/31/2011 - in order to see transaction detail with       Electronic     Interim 2       9/7/2011               Marti Iacono          NOAA/BIS   9/7/2011
                                       subsequent cash disbursements
                                       M-21-A upon receipt of the Final Vendor AP balance samples
M-21-C   M) Procurement                                                                                     Electronic       Final        10/14/2011              Marti Iacono          NOAA/BIS               Past Due
                                       from KPMG - breakout detail data as of 9/30/2011
                                       M-21-B for the Final Vendor AP balance - breakout detail data
M-21-D   M) Procurement                as of 10/20/2011 - in order to see transaction detail with           Electronic       Final        10/20/2011              Marti Iacono          NOAA/BIS               Past Due
                                       subsequent cash disbursements
                                       CBS query detailing the population of Estimated Accruals by
                                                                                                                                                                  Marti Iacono
M-22     M) Procurement                fiscal year from FY2005 to the current fiscal year.                  Electronic       Final        10/11/2011                                    NOAA/BIS               Past Due
                                                                                                                                                                  Bill Parkman
                                       Please include current fiscal year.
                                       CBS query detail of accounts 6100 and 6400 by object class
                                       code for the quarter ended March 31, 2011. Please include the
M-23A    M) Procurement        New                                                                          Electronic     Interim 1      4/22/2011               Marti Iacono          NOAA/BIS   4/13/2011
                                       following query fields - Fund Code, GL account, object class
                                       code, bureau code, and total balance
                                       CBS query detail of accounts 6100 and 6400 by object class
                                       code for the quarter ended June 30, 2011. Please include the
M-23B    M) Procurement        New                                                                          Electronic     Interim 2      7/11/2011               Marti Iacono          NOAA/BIS   7/12/2011
                                       following query fields - GL account, object class code, bureau
                                       code, and total balance
                                       CBS query detail of accounts 6100 and 6400 by object class
                                       code for the quarter ended September 30, 2011. Please include
M-23C    M) Procurement        New                                                                          Electronic       Final        10/7/2011               Marti Iacono          NOAA/BIS               Past Due
                                       the following query fields - GL account, object class code,
                                       bureau code, and total balance
N01      N) Human Resources            Item deleted
                                       Listing of NOAA Corps employees via the Roster of
N02      N) Human Resources            Commissioned Officers, as of June 30, 2011 for active and                           Interim 2      7/11/2011            Gregory Raymond          NOAA/BIS   7/11/2011
                                       retired officers.
                                       Listing of all NOAA Corps beneficiaries as of June 1, 2011. (Both
N02A     N) Human Resources            active duty and retired beneficiaries, please specify whether they                  Interim 2      7/11/2011              Carolyn Harris         NOAA/BIS   7/12/2011
                                       are active or retired)
                                                                                                                                                                                                                          Note: PBC due date
                                                                                                                                                            NOAA: Renita Richardson,                                      to be updated pending
                                       Access to Personnel files for NOAA/BIS and NOAA Corps
N03-A    N) Human Resources                                                                                                Interim 2          TBD              Gregory Raymond          NOAA/BIS                          KPMG's sample
                                       employees.
                                                                                                                                                              BIS: Debra Thornton                                         selection of NOAA
                                                                                                                                                                                                                          Corps officers
                                                                                                                                                            NOAA: Renita Richardson,
                                       Access to Personnel files for NOAA/BIS and NOAA Corps
N03-B    N) Human Resources                                                                                                  Final        10/4/2011            Gregory Raymond          NOAA/BIS               Past Due
                                       employees.
                                                                                                                                                              BIS: Debra Thornton
                                       Reconciliation of CBS payroll expenses, including CBS query of
                                       actual and estimated payroll expenses for object classes 11, 12,
                                       13, and 14, as of September 30, 2011. ***Please include GL
                                                                                                                                                                 Ruth Ann Bond
N04      N) Human Resources            account field**                                                                       Final        10/7/2011                                     NOAA/BIS               Past Due
                                                                                                                                                                  Nancy Eadie
                                       QUERY NAME: DISCPBC.FY 10 PBC N4
                                       Please include a detail of Object Class Code 12 and 13 amounts
                                       showing all 'Obj 2' classes.
                                       Object Class Year-end Summary Report (Object class 1230-
                                       1237) for Employer Contributions to Retirement.                                                                           Ruth Ann Bond
N05      N) Human Resources                                                                                                  Final        10/7/2011                                     NOAA/BIS               Past Due
                                       QUERY NAMES: DISCPBC.FY 10 PBC N5 – NOAA;                                                                                  Nancy Eadie
                                       DISCPBC.FY 10 PBC N5 – BIS




                                                                                                                                                                                                                                          Page 16 of 21
                                                                                           National Oceanic Atmospheric Administration / Bureau of Industry and Security                                                             FY 2011 PBC Listing



                                     New                                                                                                       Date
Item #        Category                      Documents to be provided                                            Format      Time / Phase                                                Bureau      Received    Past Due   Note
                                   Items*                                                                                                    Requested           Contact Person
                                            Reconciliation detailing the actual monthly payroll expense for
                                            FY2011, and all GWA Account Statements w/ labor reported for
                                                                                                                                                                  Ruth Ann Bond
N06-A         N) Human Resources            the months October 2010 through September 2011                                      Final        10/11/2011                                NOAA/BIS                 Past Due
                                                                                                                                                                   Nancy Eadie
                                            QUERY NAME: FPCD-COMMON/PBC QUERIES/FY 10 PBC
                                            N6
                                                                                                                                                                  Ruth Ann Bond
N06-B         N) Human Resources            NFC000 for pay period 19                                                            Final        10/20/2011                                NOAA/BIS                 Past Due
                                                                                                                                                                   Nancy Eadie
                                                                                                                                                                  Ruth Ann Bond
N06-C         N) Human Resources            NFC000 for pay period 20                                                            Final        11/3/2011                                 NOAA/BIS                 Past Due
                                                                                                                                                                   Nancy Eadie
                                            Reconciliation detailing the actual monthly payroll expense for
                                            the randomly selected month in FY2011, all GWA Account
                                            Statements w/ labor reported for this month, and NFC Abstract                                                         Ruth Ann Bond                                            received for randomly
N06-D         N) Human Resources                                                                                              Interim 2      7/15/2011                                 NOAA/BIS     7/15/2011
                                            of Transactions for the selected month.                                                                                Nancy Eadie                                             selected month April
                                            QUERY NAME: FPCD-COMMON/PBC QUERIES/FY 10 PBC
                                            N6
                                            N06-D for September 2011 (Reconciliation detailing the actual
                                            monthly payroll expense for September 2011) (Reconciliation
                                                                                                                                                                  Ruth Ann Bond
N06-E         N) Human Resources            detailing the actual monthly payroll expense for SEPTEMBER                          Final        10/11/2011                                NOAA/BIS                 Past Due
                                                                                                                                                                   Nancy Eadie
                                            FY2011, all GWA Account Statements with labor reported for
                                            this month, and NFC Abstract of Transactions for the selected
                                            month.
                                            CBS print out, for each FY 2011 month, of NOAA Corps Plan &
N07           N) Human Resources                                                                                                Final        10/6/2011            Carolyn Harris       NOAA/BIS                 Past Due
                                            Obligation detail, which is broken down between object classes.
                                                                                                                                                                  Ruth Ann Bond
N08           N) Human Resources            09/30/10 payroll accrual computation.                                               Final        10/4/2011                                 NOAA/BIS                 Past Due
                                                                                                                                                                   Nancy Eadie
                                            Annual accrued leave GJ for BIS and NOAA with applicable
                                            supporting documentation (including NFC Focus Report used to
                                            support accrued annual leave for NOAA, BIS and NOAA Corps -                                                            Mark Miller
N09           N) Human Resources                                                                                                Final        10/7/2011                                 NOAA/BIS                 Past Due
                                            i.e. Pay Leave Status Report, detailed by individual, as of                                                           Melvin Spencer
                                            September 30, 2011.) Please provide NOAA Corps NFC Report
                                            Electronically with names.
                                            CBS query showing total number of employees, and number of
                                            employees enrolled in a health benefits plan, for both NOAA and
                                            BIS at 09/30/10 – for Q's 2, 3 and 4 (final pay periods of each                                                       Ruth Ann Bond
N10           N) Human Resources                                                                                                Final        10/11/2011                                NOAA/BIS                 Past Due
                                            quarter).                                                                                                              Nancy Eadie
                                            Quarterly FEHBA Count Query for NOAA/BIS.
                                            QUERY NAME: DISCPBC.FY 10 PBC N10
                                            NOAA Corps Retirement System and Post-Retirement Medical
N11           N) Human Resources            Plan Report produced by Hay Group - DRAFT version as of            Electronic       Final        10/4/2011            Carolyn Harris         NOAA       9/26/2011
                                            9/15/10
                                            NOAA Corps Retirement System and Post-Retirement Medical
N12           N) Human Resources            Plan Report produced by Hay Group- FINAL version as of                              Final        10/17/2011            Brad Hickson          NOAA                   Past Due
                                            9/30/10
                                                                                                                                                                   Mark Miller
N13           N) Human Resources            09/30/10FECA Liability calculation for both NOAA and BIS.                           Final        10/11/2011                                NOAA/BIS                 Past Due
                                                                                                                                                                  Melvin Spencer
                                            Imputed Cost Calculation
                                            • Quarterly DOC Accounting for Pensions and Other Retirement
                                            Benefits Report
                                            • NOAA/BIS prepared spreadsheets detailing the pension and
                                            ORB expense calculation (electronic copy if available)
                                            • FY 2011 Retirement and Other Benefits Calculation of 1st and                                                         Mark Miller
N14           N) Human Resources                                                                                                Final        10/11/2011                                NOAA/BIS                 Past Due
                                            4th Quarter Conversion Factors                                                                                        Melvin Spencer
                                            • FY 2011 Cost Factors Imputed cost factors related to FEHB for
                                            each quarter of FY 2011.
                                            • Quarterly Treasury Judgment Fund entries for NOAA/BIS
                                            Quarterly Inter Entity Costs for NASA and Coast Guard.
                                            • Quarterly FEHBA Count Query for NOAA/BIS.
                                            A file listing all NOAA employees who charged overtime for the 3                                                      Ruth Ann Bond
N15           N) Human Resources                                                                                                Final        10/24/2011                                NOAA/BIS                 Past Due
                                            randomly selected Pay Period (PP needs to be determined)                                                               Nancy Eadie

N16 item deleted/merged with N09

                                            NFC payroll summary, by pay period, for pay periods selected by                                                 NOAA: Natahnya Campbell,
                                            Consolidated Audit Team. The summary's should be provided                                                      Ruth Ann Bond (reconciliation                                   Note: Reconciliation
N17           N) Human Resources    New     on CD and reconciled back to the general ledger. Fields should        CD          Interim 2                    only)                    BIS: NOAA/BIS                          received from Ruth
                                            (at a minimum) include: pay period, type of pay (OT, REG,                                                       Debra Thornton,       Ruth                                     Ann Bond 7/26
                                            Award, etc), number of employees, and gross amount paid.                                                       Ann Bond (reconciliation only)


                                                                                                                                                                                                                                            Page 17 of 21
                                                                                        National Oceanic Atmospheric Administration / Bureau of Industry and Security                                                          FY 2011 PBC Listing



                                New                                                                                                         Date
Item #   Category                      Documents to be provided                                              Format      Time / Phase                                              Bureau     Received    Past Due   Note
                              Items*                                                                                                      Requested           Contact Person
                                       Please provide the detail payroll file for pay period selected by
                                       Consolidated Audit Team. Total payroll should reconcile back to
                                       payroll summary provided in PBC #N17 (from above). The
                                       detail payroll file should include the following fields:
                                       • Employee id number • Schedule number • File pay period •
                                                                                                                                                         NOAA: Natahnya Campbell
N18-A    N) Human Resources    New     Applicable pay period (for pay adjustments) • Fund code • Hours                     Interim 2                                               NOAA/BIS
                                                                                                                                                           BIS: Debra Thornton
                                       • Gross pay amount • Net pay amount • NFC object class code •
                                       Census object class code • Project code • Task number •
                                       Function • Duty station • Grade step level • Appointment type •
                                       Pay plan • Pay type (i.e. Reg, OT, award)
                                       • Cost center
                                                                                                                                                         NOAA: Natahnya Campbell
N18-B    N) Human Resources    New     N18-A for second pay period selected                                                Interim 2                                               NOAA/BIS
                                                                                                                                                           BIS: Debra Thornton
                                                                                                                                                         NOAA: Natahnya Campbell
N18-C    N) Human Resources    New     N18-A for third pay period selected.                                                  Final                                                 NOAA/BIS
                                                                                                                                                           BIS: Debra Thornton
                                       Payroll query for selected pay periods for NOAA and BIS (pay
                                       periods to be provided) to assist with the bureau to department
N19-A    N) Human Resources    New     payroll tie-out (KPMG Verify Net Pay Sum Version 2) ****Please                      Interim 2                           Larry Hiemenz       NOAA/BIS
                                       run the query on the same date as the Commerce query is run -
                                       dates to be provided.***
                                       Payroll query for selected pay periods for NOAA and BIS (pay
                                       periods to be provided) to assist with the bureau to department
N19-B    N) Human Resources    New     payroll tie-out (KPMG Verify Net Pay Sum Version 2) ****Please                      Interim 2                           Larry Hiemenz       NOAA/BIS
                                       run the query on the same date as the Commerce query is run -
                                       dates to be provided.***
                                       Payroll query for selected pay periods for NOAA and BIS (pay
                                       periods to be provided) to assist with the bureau to department
N19-C    N) Human Resources    New     payroll tie-out (KPMG Verify Net Pay Sum Version 2) ****Please                        Final                              Bill Parkman       NOAA/BIS
                                       run the query on the same date as the Commerce query is run -
                                       date
                                                                                                                                          8/15/2011 -
                                                                                                                                        confirmed with
                                       NOAA Corps FY 2011 Pension Data File (details the social
                                                                                                                                           Mike Van
                                       security number, birth date, sex, hire date, retirement date, and                                                                                                             Note: Received email
                                                                                                                                        Deusen this is
N20      N) Human Resources            monthly salary/benefit amount for each active duty personnel,                       Interim 2                           Carolyn Harris      NOAA/BIS   8/10/2011              access from Hay
                                                                                                                                         the expected
                                       retired annuitant, disabled annuitant, & surviving family), both                                                                                                              Group 8/10
                                                                                                                                         delivery date
                                       from Hay Huggins Company, Inc.
                                                                                                                                           from Hay
                                                                                                                                             Group
                                       NOAA Time and Attendance (T&A) Error reports for a randomly
                                                                                                                                                         NOAA: Renita Richardson
N21      N) Human Resources            selected sample of five pay periods (pay periods selected to be                       Final        10/4/2011                                NOAA/BIS               Past Due
                                                                                                                                                           BIS: Debra Thornton
                                       provided)
                                                                                                                                                                 Minh Trinh
O01-A    O) Environmental              List of all environmental projects, at June 30, 2011                                Interim 2      7/11/2011                                 NOAA      7/14/2011
                                                                                                                                                               Jennifer Melton
                                                                                                                                                                 Minh Trinh
O01-B    O) Environmental              List of all environmental projects, at September 17, 2011                             Final        9/26/2011                                 NOAA                  Past Due
                                                                                                                                                               Jennifer Melton
                                       List of all environmental liabilities as of June 30, 2011
                                       This listing should be presented in a rollforward format:
                                       • Format should include the following columns: beginning
                                       balances, additions, deletions, adjustments, and ending                                                                   Minh Trinh
O02-A    O) Environmental                                                                                                  Interim 2      7/11/2011                                 NOAA      7/14/2011
                                       balances.                                                                                                               Jennifer Melton
                                       • Beginning balance should agree to the prior period’s audited
                                       ending balance
                                       • Ending balance should agree to the general ledger.
                                                                                                                                                                 Minh Trinh
O02-B    O) Environmental              O2-A (List of all environmental liabilities) for September 17, 2011                   Final        9/26/2011                                 NOAA                  Past Due
                                                                                                                                                               Jennifer Melton
                                                                                                                                                                                                                     Note: Pending
                                       Detail supporting the environmental projects and liabilities                                                              Minh Trinh
O03-A    O) Environmental                                                                                                  Interim 2         TBD                                    NOAA                             submission of selected
                                       selected (TBD).                                                                                                         Jennifer Melton
                                                                                                                                                                                                                     projects from KPMG
                                       Detail supporting the environmental projects and liabilities                                                              Minh Trinh
O03-B    O) Environmental                                                                                                    Final           TBD                                    NOAA
                                       selected (TBD).                                                                                                         Jennifer Melton
                                       “Environmental Liability – Estimated Environmental Costs for FY                                                           Minh Trinh
O04      O) Environmental                                                                                                  Interim 2      7/11/2011                                 NOAA      7/14/2011
                                       2011” information packet.                                                                                               Jennifer Melton
                                                                                                                                                                 Minh Trinh
O05      O) Environmental              Office of CAO Organization chart for FY 2011                                        Interim 2      7/11/2011                                 NOAA      7/14/2011
                                                                                                                                                               Jennifer Melton




                                                                                                                                                                                                                                      Page 18 of 21
                                                                                          National Oceanic Atmospheric Administration / Bureau of Industry and Security                                                       FY 2011 PBC Listing



                                    New                                                                                                       Date
Item #   Category                          Documents to be provided                                            Format      Time / Phase                                            Bureau   Received    Past Due   Note
                                  Items*                                                                                                    Requested           Contact Person
                                                                                                                                                                                                                   Note: Per email from
                                                                                                                                                                                                                   Minh Trinh on
                                                                                                                                                                                                                   7/14/2011, No FY11
                                                                                                                                                                                                                   EC Reports are
                                                                                                                                                                                                                   available because
                                                                                                                                                                                                                   SECO has not
                                                                                                                                                                                                                   performed any
                                                                                                                                                                                                                   compliance audit yet
                                           FY 2011 Environmental Compliance Status Reports for the 1st                                                             Minh Trinh
O06-A    O) Environmental                                                                                                    Interim 2      7/11/2011                              NOAA       N/A                  for FYI11. We have
                                           to 3rd quarters                                                                                                       Jennifer Melton
                                                                                                                                                                                                                   just hired a contractor
                                                                                                                                                                                                                   to perform eight (8)
                                                                                                                                                                                                                   audits in the field and
                                                                                                                                                                                                                   two (2) audits in HQ at
                                                                                                                                                                                                                   SSMC. The activities
                                                                                                                                                                                                                   will occur in FY11 4th
                                                                                                                                                                                                                   quarter and FY12 1st
                                                                                                                                                                                                                   quarter.
                                           FY 2011 Environmental Compliance Status Reports for the 4th                                                             Minh Trinh
O06-B    O) Environmental                                                                                                      Final        10/4/2011                              NOAA                 Past Due
                                           quarter                                                                                                               Jennifer Melton
                                           Listing of all FY 2011 assessments performed by NECSAS, as                                                              Minh Trinh
O07-A    O) Environmental                                                                                                    Interim 2      7/11/2011                              NOAA     7/14/2011
                                           of June 30, 2011                                                                                                      Jennifer Melton
                                           Listing of all FY 2011 assessments performed by NECSAS, as                                                              Minh Trinh
O07-B    O) Environmental                                                                                                      Final        10/4/2011                              NOAA                 Past Due
                                           of Sept 30, 2011                                                                                                      Jennifer Melton
                                           Detail supporting documentation for all FY 2011 assessments                                                             Minh Trinh
O08-A    O) Environmental                                                                                                    Interim 2         TBD                                 NOAA
                                           selected (TBD).                                                                                                       Jennifer Melton
                                           Detail supporting documentation for all FY 2011 assessments
O08-B    O) Environmental                                                                                                      Final           TBD                 Minh Trinh      NOAA
                                           selected (TBD).
                                           Updated resumes for Bernie Denno, RECOs, and other                                                                      Minh Trinh
O09      O) Environmental                                                                                                    Interim 2      7/11/2011                              NOAA     7/14/2011
                                           specialists computing cost estimates.                                                                                 Jennifer Melton
                                           Copy of or access to the ECS Council Meeting and Decisions                                                              Minh Trinh
O10-A    O) Environmental                                                                                                    Interim 2     As Available                            NOAA
                                           minutes for FY 2011.                                                                                                  Jennifer Melton
                                           Copy of or access to the ECS Council Meeting and Decisions                                                              Minh Trinh
O10-B    O) Environmental                                                                                                      Final       As Available                            NOAA
                                           minutes for FY 2011.                                                                                                  Jennifer Melton
                                           Corrective Action Plan(s) in response to FY 2010 NFRs - at        Electronic,
P01-A    P) Financial Reporting                                                                                              Interim 1      4/13/2011             Brad Hickson     NOAA     4/21/2011
                                           March 31, 2011                                                    Word doc
                                                                                                             Electronic,
P01-B    P) Financial Reporting            Corrective Action Plan(s) update - at June 30, 2011                               Interim 2      7/18/2011             Brad Hickson     NOAA     7/22/2011
                                                                                                             Word doc
                                                                                                             Electronic,
P01-C    P) Financial Reporting            Corrective Action Plan(s) update - at September 30, 2011                            Final        10/4/2011             Brad Hickson     NOAA                 Past Due
                                                                                                             Word doc
P02      P) Financial Reporting            ALL updated A-123 process documentation / cycle memos.                            Interim 1      4/13/2011            Sandra Smoak      NOAA     4/12/2011
                                           NOAA Financial Statements, including footnotes, as of March                                                            Mark Miller
P03-A    P) Financial Reporting                                                                              Electronic      Interim 1      4/27/2011                              NOAA     4/28/2011
                                           31, 2011                                                                                                              Heather Potter
                                           BIS Financial Statements, including footnotes, as of March 31,                                                         Mark Miller
P03-B    P) Financial Reporting                                                                              Electronic      Interim 1      4/22/2011                               BIS     4/21/2011
                                           2011                                                                                                                  Tara Asgarian
                                           NOAA Financial Statements, including footnotes, as of June 30,                                                         Mark Miller
P03-C    P) Financial Reporting                                                                              Electronic      Interim 2      7/22/2011                              NOAA     7/25/2011
                                           2011                                                                                                                  Heather Potter
                                           BIS Financial Statements, including footnotes, as of June 30,                                                          Mark Miller
P03-D    P) Financial Reporting                                                                              Electronic      Interim 2      7/22/2011                               BIS     7/22/2011
                                           2011                                                                                                                  Tara Asgarian
                                           NOAA Financial Statements, including footnotes, as of                                                                  Mark Miller
P03-E    P) Financial Reporting                                                                              Electronic        Final        10/17/2011                             NOAA                 Past Due
                                           September 30, 2011                                                                                                    Heather Potter
                                           BIS Financial Statements, including footnotes, as of September                                                         Mark Miller
P03-F    P) Financial Reporting                                                                              Electronic        Final        10/17/2011                              BIS                 Past Due
                                           30, 2011                                                                                                              Tara Asgarian
                                           NOAA General ledger Trial Balance (CBS GL109 T/B), as of
P04-A    P) Financial Reporting                                                                              Electronic      Interim 1      4/13/2011            Tracey Cornish    NOAA     4/12/2011
                                           March 31, 2011
                                           BIS General ledger Trial Balance (CBS GL109 T/B), as of March
P04-B    P) Financial Reporting                                                                              Electronic      Interim 1      4/13/2011            Tracey Cornish     BIS     4/12/2011
                                           31, 2011
                                           NOAA General ledger Trial Balance (CBS GL109 T/B), as of
P04-C    P) Financial Reporting                                                                              Electronic      Interim 2      7/11/2011            Tracey Cornish    NOAA     7/12/2011
                                           June 30, 2011
                                           BIS General ledger Trial Balance (CBS GL109 T/B), as of June
P04-D    P) Financial Reporting                                                                              Electronic      Interim 2      7/11/2011            Tracey Cornish     BIS     7/12/2011
                                           30, 2011
                                           NOAA General ledger Trial Balance (CBS GL109 T/B), as of
P04-E    P) Financial Reporting                                                                              Electronic        Final        10/11/2011           Tracey Cornish    NOAA                 Past Due
                                           September 30, 2011
                                           BIS General ledger Trial Balance (CBS GL109 T/B), as of
P04-F    P) Financial Reporting                                                                              Electronic        Final        10/11/2011           Tracey Cornish     BIS                 Past Due
                                           September 30, 2011
                                           NOAA Crosswalk between the Financial Statements and Trial                                                              Mark Miller
P05-A    P) Financial Reporting                                                                              Electronic      Interim 1      4/22/2011                              NOAA     4/22/2011
                                           Balance, as of March 31, 2011                                                                                         Heather Potter
                                           BIS Crosswalk between the Financial Statements and Trial                                                               Mark Miller
P05-B    P) Financial Reporting                                                                              Electronic      Interim 1      4/22/2011                               BIS     4/21/2011
                                           Balance, as of March 31, 2011                                                                                         Tara Asgarian



                                                                                                                                                                                                                                     Page 19 of 21
                                                                                          National Oceanic Atmospheric Administration / Bureau of Industry and Security                                                        FY 2011 PBC Listing



                                    New                                                                                                       Date
Item #   Category                          Documents to be provided                                             Format      Time / Phase                                          Bureau     Received    Past Due   Note
                                  Items*                                                                                                    Requested           Contact Person
                                           NOAA Crosswalk between the Financial Statements and Trial                                                              Mark Miller
P05-C    P) Financial Reporting                                                                                Electronic     Interim 2     7/22/2011                              NOAA      7/25/2011
                                           Balance, as of June 30, 2011                                                                                          Heather Potter
                                           BIS Crosswalk between the Financial Statements and Trial                                                               Mark Miller
P05-D    P) Financial Reporting                                                                                Electronic     Interim 2     7/22/2011                               BIS      7/22/2011
                                           Balance, as of June 30, 2011                                                                                          Tara Asgarian
                                           NOAA Crosswalk between the Financial Statements and Trial                                                              Mark Miller
P05-E    P) Financial Reporting                                                                                Electronic       Final       10/17/2011                             NOAA                  Past Due
                                           Balance, as of September 30, 2011                                                                                     Heather Potter
                                           BIS Crosswalk between the Financial Statements and Trial                                                               Mark Miller
P05-F    P) Financial Reporting                                                                                Electronic       Final       10/17/2011                              BIS                  Past Due
                                           Balance, as of September 30, 2011                                                                                     Tara Asgarian
                                           NOAA Flux analysis, comparing current year to prior year
                                                                                                                                                                  Mark Miller                                       Revised version sent
P06-A    P) Financial Reporting            balances, including explanations for any variances greater than     Electronic     Interim 1     4/22/2011                              NOAA      4/22/2011
                                                                                                                                                                 Heather Potter                                     4/26/11, and 4/28/11
                                           10% and $12 million, as of March 31, 2011
                                           BIS Flux analysis, comparing current year to prior year balances,
                                                                                                                                                                  Mark Miller
P06-B    P) Financial Reporting            including explanations for any variances greater than 10% and       Electronic     Interim 1     4/22/2011                               BIS      4/25/2011
                                                                                                                                                                 Tara Asgarian
                                           $12 million, as of March 31, 2011
                                                                                                                                                                  Mark Miller
P06-C    P) Financial Reporting            P6-A (NOAA Flux analysis) for June 30, 2011                                        Interim 2     7/22/2011                              NOAA      7/25/2011
                                                                                                                                                                 Heather Potter
                                                                                                                                                                  Mark Miller
P06-D    P) Financial Reporting            P6-B (BIS Flux analysis) for June 30, 2011                                         Interim 2     7/22/2011                               BIS      7/22/2011
                                                                                                                                                                 Tara Asgarian
                                                                                                                                                                  Mark Miller
P06-E    P) Financial Reporting            P6-A (NOAA Flux analysis) for September 30, 2011                                     Final       10/18/2011                             NOAA                  Past Due
                                                                                                                                                                 Heather Potter
                                                                                                                                                                  Mark Miller
P06-F    P) Financial Reporting            P6-B (BIS Flux analysis) for September 30, 2011                                      Final       10/18/2011                              BIS                  Past Due
                                                                                                                                                                 Tara Asgarian
                                           Support for FY 2011 long-term commitments and contingencies                                                            Mark Miller
P07      P) Financial Reporting                                                                                                 Final       10/17/2011                            NOAA/BIS               Past Due
                                           foot notes                                                                                                            Tara Asgarian
                                                                                                                                                                  Mark Miller
P08      P) Financial Reporting            Supporting documentation for RSI / RSSI                                              Final       10/17/2011                            NOAA/BIS               Past Due
                                                                                                                                                                 Tara Asgarian
                                           Prior year adjustments as of March 31, 2011 for NOAA                                                                   Mark Miller
P09-A    P) Financial Reporting            This should be a print out of SGL Account 7400 with supporting      Electronic     Interim 1     4/22/2011            Heather Potter    NOAA      4/22/2011
                                           documentation for each sample item (TBD).
                                                                                                                                                                                                                    Note: Per email from
                                           Prior year adjustments as of March 31, 2011 for BIS
                                                                                                                                                                  Mark Miller                                       Tara Asgarian on
P09-B    P) Financial Reporting            This should be a print out of SGL Account 7400 with supporting      Electronic     Interim 1     4/22/2011                               BIS      4/21/2011
                                                                                                                                                                 Tara Asgarian                                      4/21/2011, this item is
                                           documentation for each sample item (TBD).
                                                                                                                                                                                                                    not applicable for BIS
                                                                                                                                                                                                                    Per email from
                                                                                                                                                                                                                    Heather Potter on
                                                                                                                                                                  Mark Miller                                       7/22; there are no
P09-C    P) Financial Reporting            P9-A (Prior year adjustments) as of June 30, 2011 for NOAA                         Interim 2     7/22/2011                              NOAA      7/25/2011
                                                                                                                                                                 Heather Potter                                     prior year audit
                                                                                                                                                                                                                    adjustments for NOAA
                                                                                                                                                                                                                    as of 6/30
                                                                                                                                                                                                                    Per email from Tara
                                                                                                                                                                  Mark Miller                                       Asgarian 7/22/2011;
P09-D    P) Financial Reporting            P9-B (Prior year adjustments) as of June 30, 2011 for BIS                          Interim 2     7/22/2011                               BIS      7/22/2011
                                                                                                                                                                 Tara Asgarian                                      this item is not
                                                                                                                                                                                                                    applicable for BIS
                                           P9-A (Prior year adjustments) as of September 30, 2011 for                                                             Mark Miller
P09-E    P) Financial Reporting                                                                                                 Final       10/17/2011                             NOAA                  Past Due
                                           NOAA                                                                                                                  Heather Potter
                                                                                                                                                                  Mark Miller
P09-F    P) Financial Reporting            P9-B (Prior year adjustments) as of September 30, 2011 for BIS                       Final       10/17/2011                              BIS                  Past Due
                                                                                                                                                                 Tara Asgarian
                                                                                                                                                                  Mark Miller
P10-A    P) Financial Reporting            Equity Analysis as of September 30, 2011 for NOAA                                    Final       10/17/2011                             NOAA                  Past Due
                                                                                                                                                                 Heather Potter
                                                                                                                                                                  Mark Miller
P10-B    P) Financial Reporting            Equity Analysis as of September 30, 2011 and BIS                                     Final       10/17/2011                              BIS                  Past Due
                                                                                                                                                                 Tara Asgarian
                                                                                                                                                                  Mark Miller
P11-A    P) Financial Reporting            ETB Report from Hyperion, as of March 31, 2011 for NOAA             Electronic     Interim 1     4/22/2011                              NOAA      4/22/2011
                                                                                                                                                                 Heather Potter
                                                                                                                                                                  Mark Miller
P11-B    P) Financial Reporting            ETB Report from Hyperion, as of March 31, 2011 for BIS              Electronic     Interim 1     4/22/2011                               BIS      4/21/2011
                                                                                                                                                                 Tara Asgarian
                                                                                                                                                                  Mark Miller
P11-C    P) Financial Reporting            ETB Report from Hyperion, as of June 30, 2011 for NOAA              Electronic     Interim 2     7/22/2011                              NOAA      7/25/2011
                                                                                                                                                                 Heather Potter
                                                                                                                                                                  Mark Miller
P11-D    P) Financial Reporting            ETB Report from Hyperion, as of June 30, 2011 for BIS               Electronic     Interim 2     7/22/2011                               BIS      7/22/2011
                                                                                                                                                                 Tara Asgarian
                                           - ETB Report from Hyperion, as of September 30, 2011 for
                                           NOAA                                                                                                                   Mark Miller
P11-E    P) Financial Reporting                                                                                Electronic       Final       10/17/2011                             NOAA                  Past Due
                                           - ETB in EXCEL format as of September 30, 2011 (for NOAA                                                              Heather Potter
                                           I364
                                           - ETB Report from Hyperion, as of September 30, 2011 for BIS                                                           Mark Miller
P11-F    P) Financial Reporting                                                                                Electronic       Final       10/17/2011                              BIS                  Past Due
                                           - ETB in EXCEL format as of September 30, 2011 for BIS                                                                Tara Asgarian




                                                                                                                                                                                                                                      Page 20 of 21
                                                                                            National Oceanic Atmospheric Administration / Bureau of Industry and Security                                                         FY 2011 PBC Listing



                                    New                                                                                                         Date
Item #   Category                          Documents to be provided                                              Format      Time / Phase                                                Bureau     Received    Past Due   Note
                                  Items*                                                                                                      Requested           Contact Person
                                           Data file (listing) of all manual journal entries (except payroll)
                                           posted to the general ledger (CBS). Listing should include GJ#,
                                           date and time posted, G/L accounts affected, as well as total
                                           debit and credit amounts. For the period October 1, 2010 to
P12-A    P) Financial Reporting                                                                                 Electronic     Interim 2      7/18/2011             Marti Iacono        NOAA/BIS    7/12/2011
                                           June 30, 2011
                                           QUERY NAMES: FPCD-COMMON/PBC QUERIES/FY 10 PBC
                                           P12 - 1 OF 2
                                           FPCD-COMMON/PBC QUERIES/FY 10 PBC P12 – 2 OF 2
                                           P12-A (Data file (listing) of all manual journal entries (except
P12-B    P) Financial Reporting            payroll) posted to the general ledger (CBS)) for July 1, 2011-       Electronic       Final        10/4/2011             Marti Iacono        NOAA/BIS                Past Due
                                           September 30, 2011.
                                           Transaction Summary Report (TSR) and Transaction Detail                                                                  Mark Miller
P13      P) Financial Reporting                                                                                 Electronic       Final        10/28/2011                                NOAA/BIS                Past Due
                                           Report (TDR).                                                                                                              Amy Lin
                                                                                                                                                                    Mark Miller
P14-A    P) Financial Reporting            Post-Closing PY ETBs (Final FY10 ETB)                                Electronic     Interim 1      4/22/2011                                   NOAA      4/22/2011
                                                                                                                                                                   Heather Potter
                                                                                                                                                                    Mark Miller
P14-B    P) Financial Reporting            Post-Closing PY ETBs (Final FY10 ETB)                                Electronic     Interim 1      4/22/2011                                    BIS      4/21/2011
                                                                                                                                                                   Tara Asgarian
P15-A    removed
P15-B    removed
                                           A memo from the Director of the Finance Office, indicating any
P16      P) Financial Reporting            subsequent events as of October 31, 2011, which may have a                            Final        11/2/2011             Brad Hickson        NOAA/BIS                Past Due
                                           significant effect on the organization.
                                           On-top entry spreadsheets, showing:
                                           - GL 109 Trial Balance
                                           - Adjusting entries
P17      P) Financial Reporting                                                                                 Electronic       Final        10/27/2011           Tracey Cornish       NOAA/BIS                Past Due
                                           - Adjusted Trial Balance
                                           - On-top entries
                                           - Pre-closing Final Trial Balance
                                                                                                                                                                     Mark Miller
                                           Detailed supporting schedules for Reconciliation of Net Cost of
P18      P) Financial Reporting                                                                                 Electronic       Final        10/17/2011    Melvin Spencer          Tara NOAA/BIS               Past Due
                                           Operations to Budget footnote
                                                                                                                                                                      Asgarian
                                                                                                                                                                     Mark Miller
P19      P) Financial Reporting            Hyperion Reports in PDF Form                                         Electronic       Final        10/17/2011           Heather Potter       NOAA/BIS                Past Due
                                                                                                                                                                    Tara Asgarian
                                           Current Year NOAA Internal Org. Chart – FPCD

P20      P) Financial Reporting    New     Current Year NOAA CFO Council List                                   Electronic     Interim 2      9/14/2011             Brad Hickson        NOAA/BIS    9/8/2011

                                           Current Year NOAA CFO Council Terms of Reference


                                                                                                                                                                   Krystal Nguyen
Q1       Q) Superfund                      Listing of all current fiscal year Superfund project codes                          Interim 2      7/11/2011            Angela Hunter          NOAA      7/15/2011
                                                                                                                                                                   Donna Roberts


                                           Listing of individuals who charged time to Supefund codes
                                           identified in PBC #P15 for pay periods 20 thru 12.                                                                      Ruth Ann Bond
Q2       Q) Superfund                                                                                                          Interim 2      7/11/2011                                   NOAA      7/11/2011
                                           QUERY NAME: FPCD-COMMON/PBC QUERIES/FY 10 PBC                                                                            Nancy Eadie
                                           P15
                                           P15-A (Listing from NFC of individuals who charged time to
                                                                                                                                                                   Ruth Ann Bond
Q3       Q) Superfund                      Supefund project codes identified in PBC #P15) for pay periods                        Final        10/17/2011                                  NOAA                  Past Due
                                                                                                                                                                    Nancy Eadie
                                           13 thru 18




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