Department of Insurance Securities and Banking...

Appendix 1 Department of Insurance, Securities and Banking

Organizational Chart

COMMISSIONER

Deputy Commissioner Market Operations

Insurance

Securities

Banking

Risk Finance

Deputy Commissioner Market Compliance

Compliance

Analysis

Enforcement and Consumer

Protection

Market Examinations

Chief of Policy Administration

Communications Officer

General Counsel Agency Fiscal

Officer

Executive Assistant

Executive Assistant

Administrative Services

Human Resources

IT

Public Information

Officer

Consumer Advocate

Appendix 2 Department of Insurance, Securities and Banking

Agency Organization

MARKET OPERATIONS - (MO)

Provides technical and administrative authority over the Department's functional areas, which include the Insurance Bureau, Securities Bureau, Banking Bureau, and Risk Finance Bureau;

Develops plans for work to be performed by subordinates, sets priorities and prepares schedules for completion of work; and

Develops quantitative and qualitative measures for evaluating the performance standards of subordinate employees.

Insurance Bureau

Conducts on-site financial examinations of all domiciled insurance companies and monitors the financial solvency of insurance companies doing business in the District of Columbia;

Issues licenses to insurance companies, insurance producers and health maintenance organizations, and mediates disputes between consumers and insurance industry;

Resolves issues relating to the review and approval of rates and policy forms of insurance products marketed in the District of Columbia;

Performs on-site examinations of the underwriting, policyholder service, claims, marketing, producer licensing and compliant handling processes of licensed companies to determine compliance with District of Columbia laws and industry practices; and

Monitors the activities of health maintenance organizations to determine compliance with pertinent District of Columbia and federal laws.

Securities Bureau

Regulates securities professionals in the District of Columbia; Licenses broker-dealer firms and their agents, agents of issuers, and investment advisers

and their representatives; Protects investor/consumers by insuring that securities entities and representatives

operating in the District comply with the District's securities laws; Conducts investor education through outreach activities in the community; Reviews and analyzes financial statements of business entities to ensure full disclosure

by registrants; and Is a member of the North American Securities Administrators Association, Inc. (NASAA).

NASAA is the voice of state securities agencies responsible for grass-roots investor protection and efficient capital formation.

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Banking Bureau

Conducts on-site examinations of District-chartered banks; Conducts examinations of non-depository financial services institutions doing business

in the District of Columbia; Issues licenses to check cashing organizations, consumer credit service organizations,

money lenders, money transmitters, mortgage brokers and lenders, and consumer sales finance companies; and

Reviews consumer complaints regarding banks and non-depository financial institutions to determine compliance with District of Columbia laws and regulations.

Risk Finance (Captives)

Regulates captive insurance companies, risk retention groups, and other kinds of non-

traditional risk transfer mechanisms that operate in or from the District of Columbia;

Licenses qualified institutions, performs financial analyses, and conducts regular

financial examinations to ensure fiscal stability; and

Provides practical and innovative regulatory responses in a timely manner to captive

insurance companies and other risk finance organizations seeking to establish

operations or transact business in the District.

MARKET COMPLIANCE - (MC)

Provides technical and administrative authority over the Department's functional areas,

which include the Enforcement and Consumer Protection Division, Market Examinations Division, and Compliance Analysis Division;

Develops quantitative and qualitative measures for evaluating the performance standards of subordinate employees;

Develops plans for work to be performed by subordinates, sets priorities and prepares schedules for completion of work; and

Establishes a functional process and reporting regimen to receive information from market operations that: a) identifies current and emerging market conditions and issues which may affect the development, design, and/or distribution of financial products and services in each industry sector and, b) evaluates the effect of current and proposed financial products and services on individual and business consumers.

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Market Examinations Division

Conducts on-site examinations of all domiciled insurance companies, inspections of investment advisers and broker-dealers, District-chartered banks and non-depository financial services institutions doing business in the District of Columbia;

Prioritizes companies for examination or inspection of financial records, prepares and reviews planning and examination work papers, and prepares examination reports in accordance with District of Columbia statutes and appropriate industry examination procedures; and

Monitors the solvency of financial firms doing business in the District of Columbia. Compliance and Analysis Division

Develops research and analysis of industry sectors to establish “best practices” standards and guidelines for design, delivery, and results monitoring of financial products and services;

Reviews consumer complaints regarding financial institutions and firms operating in the District to determine compliance with District of Columbia laws and regulations;

Conducts analysis and investigates matters regarding consumer issues, such as claim disputes, cancellation or non-renewal of insurance policies, improper insurance producer conduct and uninsured motorist fund claims, complaints regarding allegations of misconduct by securities professionals operating in the District of Columbia and complaints regarding banks and non-depository financial institutions to determine compliance with District of Columbia laws and regulations;

Refers suspected illegal activities to the Enforcement and Consumer Protection Division for investigation; and

Coordinates information from Market Examinations Division with Bureaus to identify and define key market factors that drive changes in each industry sector.

Enforcement and Consumer Protection Division

Plans and coordinates antifraud programs to detect and provide assistance in the prosecution of fraudulent insurance, securities and banking activities in the District of Columbia; maintains and reviews mandated antifraud plans submitted by insurers;

Ensures that all relevant consumer protection laws are strictly enforced;

Conducts investigations of suspected fraudulent insurance, securities and banking acts;

Conducts investigations and makes referrals to the appropriate authority for criminal or civil action in insurances fraud cases or to impose sanctions upon insurance producer, insurers and consumers who violate insurance statutes; and

Takes referrals, investigates and turns findings over to the appropriate law enforcement or regulatory agency, if there is a suspicion of securities, banking or financial institutions fraud.

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CHIEF OF POLICY, PLANNING, AND ADMINISTRATION

Provides management, administrative and program planning services to the Department;

Provides procurement coordination, supply management, inventory control, space utilization, telephone and other equipment installation and limited transportation services;

Provides clerical and administrative services to the Department; Manages the Technology and Systems professionals for network administration and

support of the Department's computer system and develops workflow management and analysis for the Department; and

Manages the Department’s strategic planning process. Administrative Services

Provides management, administrative and program planning services to the Department;

Provides procurement coordination, supply management, inventory control, space utilization, telephone and other equipment installation and limited transportation services;

Serves as the Department's liaison with the DC Procurement Office to coordinate, order, receive and inventory supplies, equipment and services;

Undertakes special studies dealing with administrative problems; Coordinates matters related to building maintenance; and Provides clerical and administrative services to the Department.

Human Resources

Provides services to the Department to assist with hiring, training and retaining a qualified and diverse staff.

Responsible for developing, implementing and continually refining DISB’s People Strategy, which is Transforming the Human Resource Function to ensure that DISB has the right people, in the right jobs, with the right skills and abilities, with a true sense of personal value;

Commits to providing high quality service to the residents of the District of Columbia; and

Facilitates the management of all corrections and disciplinary actions.

Information Technology

Provides network administration and support of the Department's computer system and develops workflow management and analysis for the Department;

Operates and maintains the Department's computer and computer related equipment;

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Ensures systems compatibility between the Local Area Network (LAN) and various equipment and software configurations being utilized by the Department's user community and the District's Wide Area Network through the Supervisory Computer Specialist;

Reviews and assigns numeric classifications to incoming materials including mail, publication directives, facsimiles, and other electronic communications;

Develops and maintains a process for electronically providing documents to the appropriate Office/Division within the Department; and

Performs searches for records and serves as the Department's Record Retention Coordinator, which identifies and categorizes all documents retained by the Department.

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COMMUNICATIONS

Prepares speeches, fact sheets and news releases for the Department; Handles inquiries from the press and public; Develops and prepares publications on insurance, securities and banking issues; Coordinates information from the NAIC and other financial industry regulatory

organizations on current and emerging marketplace issues and directs DISB's Consumer Outreach Program and the Financial Literacy Program;

Advocates for the Department on economic development issues; Conducts Fraud Public Education and Outreach Programs to increase the public's

awareness of insurance, securities and banking fraud; and Promotes the Department’s legislative, regulatory and policy positions to regulated

industries, media, community associations, residents, and elected officials in order to

increase public awareness of departmental programs, issues and challenges.

Consumer Advocate

Solicits and evaluates information concerning consumer protection issues and serves as

the chief advocate against consumer related financial service abuses. The objective of

the Division is achieved through both advocacy and education.

Public Information Officer

Promotes the Department’s legislative, regulatory and policy positions and make the

positions known to regulated industries, media, community associations, residents, and

elected officials in order to increase public awareness of departmental programs, issues

and challenges.

AGENCY FISCAL OFFICE

Provides overall general financial support to the Department including budgeting, short term planning, forecasting, and procurement services, accounting operations and payroll activities; and

Administers the Insurance Bureau and Health Division assessment programs.

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GENERAL COUNSEL

Provides legal guidance on insurance, securities and banking issues to the Insurance Bureau, Securities Bureau, Banking Bureau, Risk Finance Bureau, and the Market Examinations Division, Compliance Analysis Division and Enforcement and Consumer Protection Division as well as District of Columbia regulated entities and consumers;

Provides legislative and regulatory drafting to address insurance, securities and banking issues;

Negotiates and/or drafts settlement agreements, administrative bulletins, consent orders, administrative orders, rules, adjudicatory petitions, responses to motions, legal memorandums and briefs;

Develops charges and specifications relative to the denial, suspension and revocation of licensed companies and individuals;

Provides legal support for corrective and disciplinary actions against employees; Manages the Department’s Freedom of Information Act requirement, including

preparation of Department’s annual FOIA report; Manages all legal support for civil or administrative matters referred to the Office of the

Attorney General; and Serves as Legislative Counsel for the Department to the Council of the District of

Columbia and the Office of Documents.

Appendix 3

Department of Insurance, Securities and Banking

Agency Organization (Position Listings)

Title Name Hire Date Vac Stat Salary Funding F/P

Reg/Temp/Te

rm Series Grade Step

# FTE OFFICE OF THE COMMISSIONER1 Executive Assistant Wade, Alicia M 5/16/2011 F 78,925$ O-type F Reg DS-301 13 3

COMMUNICATIONS OFFICE2 Public Information Officer Hartig, Kathryn 8/27/2012 F 103,000$ O-type F Reg MS-1035 14 0

3 Public Affairs Specialist Bryant, Tanya D 5/22/2000 F 87,936$ O-type F Reg DS-1035 13 4

4 Public Affairs Specialist Drafton-Lowery, Lucille 9/14/1977 F 89,077$ O-type F Reg DS-1035 12 10

5 Consumer Protection Advocate Abdullah, Idriys J 9/4/2007 F 93,187$ O-type F Reg DS-301 13 9

FISCAL OFFICE6 Controller Bright, Ahaiwe 8/12/1985 F 155,131$ O-type F Reg DS 16 8

7 Accountant Armstrong Jr., Sherwood 12/5/2011 F 54,106$ O-type P Part-Time DS 11 1

8 Accountant May, Julia C 7/25/1990 F 62,805$ O-type F Reg DS 11 6

9 Accounts Payable Specialist Branham, Valencia M 12/10/1990 F 75,261$ O-type F Reg DS 12 5

10 Accounts Payable Supervisor Vanhorne, Lashawn M 12/3/1990 F 87,027$ O-type F Reg DS 13 5

11 Budget Officer Leakemariam, Nazreth 11/14/2005 F 108,692$ O-type F Reg DS 14 7

12 Deputy Commissioner for Market Operations * McPherson, Chester A 4/26/2010 F 145,873$ O-type Reg XS-301 10 0

INSURANCE13 Associate Commissioner for Insurance Barlow, Philip A 4/10/2000 F 152,453$ O-type F Reg MS-301 16 0

Financial Surveillance

14 Financial Examiner HMO Overman, Olivia Ann 8/27/2001 F 100,796$ O-type P Part-Time DS-1101 13 9

15 Financial Examiner Insurance Gordon, Janice Taylor 3/13/2000 F 119,115$ O-type P Part-Time DS-1101 14 9

16 Financial Examiner Insurance Merlo, Samuel A 4/3/2006 F 93,080$ O-type F Reg DS-1101 13 6

Actuarial Analysis

17 Actuary Manager Nkojo, Robert I 4/21/2003 F 104,777$ O-type F Reg MS-1510 14 0

18 Actuary Dyson, Monica L 3/24/2003 F 95,652$ O-type F Reg DS-1510 13 7

Forms and Policy

19 Supervisory Insurance Examiner General Fontaine, Jamai Y 6/8/1987 F 114,146$ O-type F Reg MS-1163 14 0

20 Insurance Examiner Beard, Andre 5/21/2012 F 76,111$ O-type F Reg DS-1163 12 4

21 Insurance Examiner Johnson, Colin B 2/25/1994 F 93,080$ O-type F Reg DS-1163 13 6

22 Insurance Examiner King, Angela Jenice 5/25/1994 F 95,652$ O-type F Reg DS-1163 13 7

OFFICE OF THE COMMISSIONER

COMMUNICATIONS

FINANCE

MARKET OPERATIONS

Appendix 3




Reg/Temp/Te


23 Insurance Examiner Rielley, John M 9/19/1994 F 98,224$ O-type F Reg DS-1163 13 8

24 Health Insurance Financial Analyst Xu, Donghan 12/2/2013 F 56,271$ O-type F Reg DS-301 11 1

Insurance Licensing

25 Insurance Licensing Specialist Manager Bowles, Zadie 10/13/1974 F 117,471$ O-type F Reg MS-301 14 0

26 Insurance Licensing Specialist Hicks, Willie C 6/28/1983 F 73,950$ O-type F Reg DS-301 12 3

27 Insurance Licensing Specialist Johnson-Parker, Sheila A 10/31/2005 F 71,789$ O-type F Reg DS-301 12 2

28 Insurance Licensing Specialist Jordan Robinson, Lucynthia D 8/25/1981 F 80,433$ O-type F Reg DS-301 12 6

29 Insurance Licensing Specialist Parker, Denise M 10/4/1981 F 84,755$ O-type F Reg DS-301 12 8

SECURITIES30 Director of Securities Miles, Theodore A 7/3/2000 F 157,266$ O-type F Reg MS-303 16 0

Securities Licensing

31 Assistant Director Securities Licensing Goff, Maurice V 10/13/1987 F 111,878$ O-type F Reg MS-301 14 0

32 Securities Licensing Specialist Henderson, Yvonne A 11/30/1981 F 84,755$ O-type F Reg DS-301 12 8

33 Securities Licensing Specialist Martin, Lucinda D 12/5/2011 F 73,950$ O-type F Reg DS-301 12 3

34 Securities Licensing Specialist Sherard, Gregory W 4/15/2002 F 84,755$ O-type F Reg DS-301 12 8

Corporation Finance

35 Assistant Director McManus, James M. 10/22/2001 F 122,185$ O-type F Reg MS-1101 15 0

36 Secur Finan Exam (Rpt & Discl) Adu, George 8/8/2006 F 93,080$ O-type F Reg DS-1101 13 6

37 Secur Finan Exam (Rpt & Discl) Rusch, Alfred E t 8/26/2002 F 103,368$ O-type F Reg DS-1101 13 10

38 Securities Registration Specialist Jenkins, Sandra Ann 3/4/1974 F 57,151$ O-type F Reg DS-301 9 8

39 Securities Registration Specialist Settles, Dante D 3/1/2010 F 59,889$ O-type F Reg DS-301 11 3

BANKING40 Associate Commissioner for Banking Weaver, Christopher L. 10/11/2009 F 147,290$ O-type F Reg MS-1101 16 0

41 Program Manager (SSBCI) Egbuniwe, Ifeanyichukwu 3/24/2013 F 109,441$ F Reg MS-301 14 0

Banking Licensing

42 Banking Licensing Manager Hicks, Tiwana 2/24/2013 F 120,385$ O-type F Reg MS-301 14 0

43 Banking Licensing Specialist Cole, Jacqueline D 12/1/2003 F 58,080$ O-type F Reg DS-301 11 2

44 Banking Licensing Specialist Goines, Robsine M 6/22/1998 F 54,167$ O-type F Reg DS-301 9 6

45 Banking Licensing Specialist Robinson, Tracey K 3/26/2001 F 71,789$ O-type F Reg DS-301 12 2

46 Senior Licensing Specialist Rouse, Brian A 3/7/2005 F 95,652$ O-type F Reg DS-301 13 7

RISK FINANCE47 Director of Risk Finance * Sheppard, Dana G 9/13/1993 F 144,524$ O-type F Reg MS-301 16 0

Financial Analysis

48 Financial Examiner Officer Lawrence III, James H 7/31/2000 F 116,077$ O-type F Reg DS-501 14 8

Regulatory Review & Licensing

Appendix 3




Reg/Temp/Te


49 Licensing Specialist Lewis, Joyce Ann 5/30/1980 F 71,789$ O-type F Reg DS-301 12 2

50 Deputy Commissioner for Market Compliance Schruender, Margaret 6/20/2011 F 157,266$ O-type F Reg MS-301 16 0

Market Examination Division

51 Director Market Examinations Meaza, Senayet 2/7/1994 F 123,136$ O-type F Reg MS-301 15 0

Insurance Examination

52 Supervisory Insurance Operations Examiner Audit Brown, Nathaniel Kevin 4/10/2000 F 120,385$ O-type F Reg MS-501 14 0

53 Insurance Operations Examiner (Audit) Ukairo, Chidinma 7/27/1987 F 70,743$ O-type F Reg DS-501 11 9

54 Insurance Operations Examiner (Audit) Ryan Jr., Francis J 2/2/2009 F 80,433$ O-type F Reg DS-501 12 6

Risk Finance Examination

55 Supervisory Financial Examiner O'Donnell, Patrick S. 6/6/2005 F 141,726$ O-type F Reg MS-501 15 0

56 Financial Examiner Insurance Holden, Kimberly N 7/16/2001 F 98,224$ O-type F Reg DS-1101 13 8

57 Financial Examiner & Analyst LI, Xiangchun 3/6/2006 F 106,963$ O-type F Reg DS-501 14 5

58 Financial Examiner Insurance Schleit, David 3/25/2013 F 98,224$ O-type F Reg DS-1101 13 8

Securities Examination

59 Securities Financial Examiner Cross, Theodore Vincent 8/18/2008 F 93,080$ O-type F Reg DS-501 13 6

60 Securities Financial Examiner Kunzweiler, Brad L 3/5/2007 F 87,872$ O-type F Reg DS-501 13 5

61 Securities Financial Examiner McHenry, Claire V 3/23/2005 F 93,080$ O-type F Reg DS-501 13 6

Banking Examination

62 Supervisory Bank Examiner Hochbaum, Warren 11/19/2012 F 141,726$ O-type F Reg MS-501 15 0

63 Banking Examiner Bright, Eva M 9/29/2008 F 78,272$ O-type F Reg DS-501 12 5

64 Banking Examiner Fuller, Samuel V 1/9/2006 F 97,849$ O-type F Reg DS-501 14 2

65 Banking Examiner Barrett, Tammie 9/24/2012 F 78,272$ O-type F Reg DS-501 12 5

66 Banking Examiner Farquharson-Reid, Angela 9/10/2012 F 72,552$ O-type F Reg DS-501 11 10

67 Banking Examiner Kerr, Monique 9/10/2012 F 71,789$ O-type F Reg DS-501 12 2

68 Lead Banking Examiner Smith, Beverly 1/14/2013 F 122,153$ O-type F Reg DS-501 14 10

Enforcement & Investigation

Enforcement

69 Fraud Compliance Manager Bates, Betty 10/3/1994 F 108,957$ O-type F Reg MS-1801 14 0

70 Fraud Investigator Izaguirre, Andres R 10/21/1979 F 86,916$ O-type F Reg DS-1810 12 9

Investigations

71 Assistant Director Marsillo, Gregory W 4/27/1998 F 141,726$ O-type F Reg MS-301 15 0

72 Fraud Investigator Tengen, Juliana N 3/5/2006 F 82,594$ O-type F Reg DS-1801 12 7

73 Investigator Fraud Loproto, Robert B 9/26/2010 F 78,272$ O-type F Reg DS-1810 12 5

MARKET COMPLIANCE

Appendix 3




Reg/Temp/Te


74 Investigator Fraud Coles, Karen 1/10/2013 F 89,077$ O-type F Reg DS-1810 12 10

75 Investigator Fraud Ditchey, Carl J 11/4/2002 F 95,652$ O-type F Reg DS-1810 13 7

Compliance Analysis Division

76 Director Compliance Analysis Backus, Robley D 3/6/2005 F 133,900$ O-type F Reg MS-301 15 0

Consumer Services

77 Policy Analyst Carmen, Evelyn R 7/19/1999 F 110,001$ O-type F Reg DS-343 14 6

78 Insurance Operations Specialist Matthews, Sylvia D 2/16/1995 F 82,594$ O-type F Reg DS-301 12 7

79 Insurance Operations Specialist Dickens, Marionnetta 4/28/1986 F 84,755$ O-type F Reg DS-301 12 8

80 Insurance Operations Specialist Slade, Arthur F 10/14/2008 F 71,789$ O-type F Reg DS-301 12 2

81 Insurance Operations Specialist Stinson, Douglas 10/14/2008 F 73,950$ O-type F Reg DS-301 12 3

82 Consumer Services Specialist Shipp, Sharon 9/10/2012 F 76,111$ O-type F Reg DS-301 12 4

83 Consumer Services Specialist Moore, David 12/3/2012 F 89,077$ O-type F Reg DS-301 12 10

Market Research Analysis

84 Compliance Analyst Owens, Cheryl 9/9/2012 F 78,272$ O-type F Reg DS-1801 12 5

85 Compliance Analyst King, Carolyn 9/12/2011 F 89,077$ O-type F Reg DS-1801 12 10

86 Compliance Analyst Telamour, Junia 9/10/2012 F 73,950$ O-type F Reg DS-1801 12 3

87 Chief of Policy and Administration Purdie, Katrice 2/24/2013 F $112,334 O-type F Reg DS-301 16 0

Administrative Services

88 Administrative Services Program Supervisor Moore, Terry L 11/12/2002 F 100,425$ O-type F Reg MS-301 14 0

89 Support Services Specialist Tolson, Gerald J 3/4/1985 F 67,125$ O-type F Reg DS-342 11 7

90 Clerical Assistant Coto, Vera Maria 9/18/2006 F 45,381$ O-type F Reg DS-303 7 6

91 Clerical Assistant Pedroso-Scott, Tamisha 12/3/2012 F 40,009$ O-type F Reg DS-303 7 2

92 Clerical Assistant Melvin, Albert 12/21/1987 F 50,753$ O-type F Reg DS-303 7 10

93 Administrative Specialist Palmer, Shawnice Q 12/24/2007 F 58,080$ O-type F Reg DS-301 11 2

Human Resources Office

94 Management Liaison Specialist Rodriguez, Ernesto 9/26/2010 F 86,056$ O-type F Reg DS-301 13 6

95 Management Liaison Specialist Simmons, Marlene O 7/11/2005 F 60,389$ O-type F Reg DS-301 11 6

96 Management Liaison Specialist Pettigrew, Alice VonEva 7/7/1999 F 53,697$ O-type F Reg DS-301 11 2

Information Technology

97 Chief Information Officer Vaidyanathan, Shankar 5/7/2001 F 131,028$ O-type F Reg DS-2210 15 0

98 Information Technology Specialist Anderson II, Lloyd J 3/22/2005 F 93,080$ O-type F Reg DS-2210 13 6

99 Imaging Specialist Patterson, Deserie 10/13/1998 F 55,659$ O-type F Reg DS-301 9 7

OFFICE OF PLANNING, POLICY AND ADMINISTRATION

Appendix 3




Reg/Temp/Te


Insurance Federal Grant

1 Supervisory Health Actuary Tanhehco, Efren L 11/7/2011 F 123,600$ federal F Term MS-1510 14 0

2 Health Insurance Financial Analyst Selassie, Alula 12/18/2011 F 59,889$ federal F Term DS-301 11 3

3 Actuary Shirley, Darniece L 1/3/2011 F 90,508$ federal F Term DS-1510 13 5

Banking Private Grant

1 Foreclosure Mediation Administrator Arnold, Ben 6/18/2012 F 91,201$ private F Term MS-301 14 0

2 Clerical Assistant Payton, Sirita Y 10/24/2011 F 45,381$ private F Term DS-303 7 6

3 Clerical Assistant Butler, Sabrina 2/27/2012 F 44,038$ private F Term DS-303 7 5

4 Program Manager (Econ. Development) Cook, Sybongile 10/21/2012 F 91,201$ private F Term DS-340 14 0

Interim Commissioner * McPherson, Chester

Acting Deputy Commissioner/Market Operations * Sheppard, Dana

GRANT FUNDED POSITIONS

Vacancy Title Series Grade Step Funding Job Status Salary Date Expected to fill

1945 Assistant Director for Financial Exam 1101 14 0 Local Reg $85,105.00 TBD

5439 Actuary 1510 13 1 Local Reg $80,220.00 3/30/2014

12196 Financial Examiner Insurance 1101 14 0 Local Reg $94,811.00 TBD

13699 Associate Commissioner Enforcement 301 16 0 Local Reg $109,062.00 TBD

15485 Information Technology Specialist 2210 13 Local Reg $80,220.00 3/30/2014

18144 Executive Assistant 301 12 0 Local Reg $62,499.00 3/30/2014

34865 Banking Examiner 501 12 0 Local Reg $69,628.00 3/30/2014

35824 Imaging Specialist 301 9 0 local Reg $46,707.00 TBD

36236 Health Care Policy Analyst 301 14 0 Local Reg $94,811.00 3/30/2014

39088 Commissioner 501 E5 0 Local Reg $153,340.00 TBD

46076 Financial Examiner (Auditor) 501 13 0 Local Reg $80,220.00 3/30/2014

46081 Banking Examiner 501 12 0 Local Reg $69,628.00 3/30/2014

75075 Policy Analyst 343 14 0 Local Reg $94,811.00 TBD

75089 Clerical Assistant 301 7 0 Local Reg $37,539.00 TBD

75090 Accounts Payable Specialist 501 11 0 Local Reg $56,271.00 TBD

75095 Market Services Manager 301 15 0 Local Reg $98,285.00 TBD

75304 Senior Banking Licensing Specialist 301 13 0 Local Reg $80,220.00 TBD

75356 Health Insurance Research Analyst 301 11 0 Local Reg $56,271.00 TBD

75386 Senior Bank Examiner 501 13 0 local Reg $80,220.00 3/30/2014

75392 Director Communication 301 15 0 local Reg $98,285.00 TBD

75430 Manager Consumer Services 301 14 0 Local Reg $85,105.00 TBD

75431 Manager-Market Research & Analysis 301 14 0 Local Reg $85,105.00 TBD

78117 Health Insurance Analyst 301 12 1 Local Reg $69,628.00 3/30/2014

78131 Health Insurance Financial Analyst 301 11 1 Local Reg $56,271.00 TBD

78145 Health Insurance Examiner 301 12 1 local Reg $69,628.00 TBD

82353 Administrative Specialist 301 11 1 Grant Reg $56,271.00 TBD

82354 Foreclosure Counsel 13 1 Grant Reg $80,220.00 TBD

82360 Health Insurance Consumer Specialist 301 12 0 Grant Reg $69,628.00 TBD

Total: 28 Vacant Positions

Appendix 4


Agency Organization (Vacant Positions)

Employee/Vendor Name Job Title Program

Code

Program Title Agy

Fund

Agy Fund Title Description Travel Date Trans Amt Total by

Empl/Vendor

ALFRED RUSCH SECURITIES FINAN EXAM (RPT AND DISCL) 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND SECLAW-4/7 4/3/13 855.24

ALFRED RUSCH SECURITIES FINAN EXAM (RPT AND DISCL) 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND LAWENF-7/14 6/7/13 956.58

ALFRED RUSCH-Travel Reimbursement SECURITIES FINAN EXAM (RPT AND DISCL) 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND 062113 (855.24) 956.58

ANDRE BEARD INSURANCE EXAMINER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAIC-4/5-9 3/27/13 1,189.98

ANDRE BEARD INSURANCE EXAMINER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAIC-4/5REIM 8/1/13 46.00

ANDRE BEARD INSURANCE EXAMINER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICSUM-8/23 8/14/13 1,476.74

ANDRE BEARD INSURANCE EXAMINER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICSUM-8/23 9/13/13 50.60 2,763.32BETTY BATES FRAUD COMPLIANCE MANAGER 4000 ENFORCEMENT PROGRAM 2100 HMO ASSESSMENT 2013IRES-7/27 6/27/13 138.45

BETTY BATES FRAUD COMPLIANCE MANAGER 4000 ENFORCEMENT PROGRAM 2200 INSURANCE ASSESSMENT 2013IRES-7/27 6/27/13 751.61

BETTY BATES FRAUD COMPLIANCE MANAGER 4000 ENFORCEMENT PROGRAM 2350 SECURITIES AND BANKING FUND 2013IRES-7/27 6/27/13 870.29

BETTY BATES FRAUD COMPLIANCE MANAGER 4000 ENFORCEMENT PROGRAM 2800 CAPTIVE INSURANCE 2013IRES-7/27 6/27/13 217.57

BETTYE BATES-Travel Reimb FRAUD COMPLIANCE MANAGER 4000 ENFORCEMENT PROGRAM 2100 HMO ASSESSMENT 093013 (3.56)

BETTYE BATES-Travel Reimb FRAUD COMPLIANCE MANAGER 4000 ENFORCEMENT PROGRAM 2200 INSURANCE ASSESSMENT 093013 (19.31)

BETTYE BATES-Travel Reimb FRAUD COMPLIANCE MANAGER 4000 ENFORCEMENT PROGRAM 2350 SECURITIES AND BANKING FUND 093013 (22.36)

BETTYE BATES-Travel Reimb FRAUD COMPLIANCE MANAGER 4000 ENFORCEMENT PROGRAM 2350 SECURITIES AND BANKING FUND 093013 (56.20)

BETTYE BATES-Travel Reimb FRAUD COMPLIANCE MANAGER 4000 ENFORCEMENT PROGRAM 2800 CAPTIVE INSURANCE 093013 (5.59) 1,870.90BEVERLY SMITH LEAD BANKING EXAMINER 5000 BANKING 2350 SECURITIES AND BANKING FUND AARMR-4/28 4/4/13 1,307.65

BEVERLY SMITH LEAD BANKING EXAMINER 5000 BANKING 2350 SECURITIES AND BANKING FUND AARMR-4/28 5/17/13 103.25

BEVERLY SMITH LEAD BANKING EXAMINER 5000 BANKING 2350 SECURITIES AND BANKING FUND 54242095-SMITH 4/8/13 945.00

BEVERLY SMITH LEAD BANKING EXAMINER 5000 BANKING 2350 SECURITIES AND BANKING FUND 14548-SMITH 6/7/13 325.00 2,680.90

BRAD KUNZWEILER SECURITIES FINANCIAL EXAMINER 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND TRAVADV.-5/30 4/29/13 889.80

BRAD KUNZWEILER SECURITIES FINANCIAL EXAMINER 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND MIDATL.-6/4-6 5/23/13 550.65

BRAD KUNZWEILER SECURITIES FINANCIAL EXAMINER 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND NASAABD-5/30 6/13/13 11.50

BRAD KUNZWEILER SECURITIES FINANCIAL EXAMINER 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND NASAAINV-8/11 7/31/13 960.93

BRAD KUNZWEILER SECURITIES FINANCIAL EXAMINER 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND MIDATL.-6/4-6 6/28/13 51.68

BRAD KUNZWEILER SECURITIES FINANCIAL EXAMINER 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND BKUNZWEILER-20 5/14/13 185.00

BRAD KUNZWEILER SECURITIES FINANCIAL EXAMINER 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND SPRINGCONF.SEC 4/9/13 2,600.00

BRAD KUNZWEILER SECURITIES FINANCIAL EXAMINER 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND NASAAINV-8/11 8/26/13 360.47

BRAD KUNZWEILER SECURITIES FINANCIAL EXAMINER 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND 2467-KUNZWEIL 9/16/13 185.00

BRAD KUNZWEILER-Travel Reimbursement SECURITIES FINANCIAL EXAMINER 3000 SECURITIES PROGRAM 2800 SECURITIES AND BANKING FUND 100512 (1,171.60) 4,623.43

BRIAN ROUSE SENIOR LICENSING SPECIALIST 5000 BANKING 2350 SECURITIES AND BANKING FUND NMLSCONF.-2/26 5/3/13 300.00

BRIAN ROUSE SENIOR LICENSING SPECIALIST 2000 MARKET EXAMINATIONS 2200 SECURITIES AND BANKING FUND TRAVREIM-8/12 10/16/13 12.16

BRIAN ROUSE SENIOR LICENSING SPECIALIST 8000 MARKET EXAMINATIONS 2350 SECURITIES AND BANKING FUND MTR2013-9/25 9/18/13 1,465.05 1,777.21BRIGHT AHAIWE CONTROLLER 100F AGENCY FINANCIAL OPERATIONS 2100 HMO ASSESSMENT AIRREM-7/13 5/10/13 25.59

BRIGHT AHAIWE CONTROLLER 100F AGENCY FINANCIAL OPERATIONS 2100 HMO ASSESSMENT AGACONF-7/13 6/20/13 81.82

BRIGHT AHAIWE CONTROLLER 100F AGENCY FINANCIAL OPERATIONS 2200 INSURANCE ASSESSMENT AIRREM-7/13 5/10/13 138.93

BRIGHT AHAIWE CONTROLLER 100F AGENCY FINANCIAL OPERATIONS 2200 INSURANCE ASSESSMENT AGACONF-7/13 6/20/13 444.18

BRIGHT AHAIWE CONTROLLER 100F AGENCY FINANCIAL OPERATIONS 2350 SECURITIES AND BANKING FUND AIRREM-7/13 5/10/13 160.86

BRIGHT AHAIWE CONTROLLER 100F AGENCY FINANCIAL OPERATIONS 2350 SECURITIES AND BANKING FUND AGACONF-7/13 6/20/13 514.32

BRIGHT AHAIWE CONTROLLER 100F AGENCY FINANCIAL OPERATIONS 2800 CAPTIVE INSURANCE AIRREM-7/13 5/10/13 40.22

BRIGHT AHAIWE CONTROLLER 100F AGENCY FINANCIAL OPERATIONS 2800 CAPTIVE INSURANCE AGACONF-7/13 6/20/13 128.58

BRIGHT AHAIWE CONTROLLER 100F AGENCY FINANCIAL OPERATIONS 2100 HMO ASSESSMENT 01635567-AHAIW 7/30/13 26.25

BRIGHT AHAIWE CONTROLLER 100F AGENCY FINANCIAL OPERATIONS 2200 INSURANCE ASSESSMENT 01635567-AHAIW 7/30/13 142.50

BRIGHT AHAIWE CONTROLLER 100F AGENCY FINANCIAL OPERATIONS 2350 SECURITIES AND BANKING FUND 01635567-AHAIW 7/30/13 165.00

BRIGHT AHAIWE CONTROLLER 100F AGENCY FINANCIAL OPERATIONS 2800 CAPTIVE INSURANCE 01635567-AHAIW 7/30/13 41.25

BRIGHT AHAIWE CONTROLLER 1000 AGENCY MANANGEMENT PROGRAM 2100 HMO ASSESSMENT ID-35953AHAIWE 3/15/13 9.10

BRIGHT AHAIWE CONTROLLER 1000 AGENCY MANANGEMENT PROGRAM 2100 HMO ASSESSMENT NLC CONF.-BAHA 2/5/13 42.00

Appendix 5


Travel Report -FISCAL YEAR 2013

Appendix 5


Code

Program Title Agy

Fund


Empl/Vendor

BRIGHT AHAIWE CONTROLLER 1000 AGENCY MANANGEMENT PROGRAM 2200 INSURANCE ASSESSMENT ID-35953AHAIWE 3/15/13 49.40

BRIGHT AHAIWE CONTROLLER 1000 AGENCY MANANGEMENT PROGRAM 2200 INSURANCE ASSESSMENT NLC CONF.-BAHA 2/5/13 228.00

BRIGHT AHAIWE CONTROLLER 1000 AGENCY MANANGEMENT PROGRAM 2350 SECURITIES AND BANKING FUND ID-35953AHAIWE 3/15/13 57.20

BRIGHT AHAIWE CONTROLLER 1000 AGENCY MANANGEMENT PROGRAM 2350 SECURITIES AND BANKING FUND NLC CONF.-BAHA 2/5/13 264.00

BRIGHT AHAIWE CONTROLLER 1000 AGENCY MANANGEMENT PROGRAM 2800 CAPTIVE INSURANCE ID-35953AHAIWE 3/15/13 14.30

BRIGHT AHAIWE CONTROLLER 1000 AGENCY MANANGEMENT PROGRAM 2800 CAPTIVE INSURANCE NLC CONF.-BAHA 2/5/13 66.00

BRIGHT AHAIWE CONTROLLER 100F AGENCY FINANCIAL OPERATIONS 2100 HMO ASSESSMENT PDC2013-B.AHAI 5/8/13 54.25

BRIGHT AHAIWE CONTROLLER 100F AGENCY FINANCIAL OPERATIONS 2200 INSURANCE ASSESSMENT PDC2013-B.AHAI 5/8/13 294.50

BRIGHT AHAIWE CONTROLLER 100F AGENCY FINANCIAL OPERATIONS 2350 SECURITIES AND BANKING FUND PDC2013-B.AHAI 5/8/13 341.00

BRIGHT AHAIWE CONTROLLER 100F AGENCY FINANCIAL OPERATIONS 2800 CAPTIVE INSURANCE PDC2013-B.AHAI 5/8/13 85.25

BRIGHT AHAIWE CONTROLLER 100F AGENCY FINANCIAL OPERATIONS 2100 HMO ASSESSMENT AGACONF-7/18 8/16/13 14.35

BRIGHT AHAIWE CONTROLLER 100F AGENCY FINANCIAL OPERATIONS 2200 INSURANCE ASSESSMENT AGACONF-7/18 8/16/13 77.90

BRIGHT AHAIWE CONTROLLER 100F AGENCY FINANCIAL OPERATIONS 2350 SECURITIES AND BANKING FUND AGACONF-7/18 8/16/13 90.20

BRIGHT AHAIWE CONTROLLER 100F AGENCY FINANCIAL OPERATIONS 2800 CAPTIVE INSURANCE AGACONF-7/18 8/16/13 22.55 3,619.50CHERYL OWENS COMPLIANCE ANALYST 5000 BANKING 2350 SECURITIES AND BANKING FUND NACCA-6/11 6/7/13 1,371.22

CHERYL OWENS COMPLIANCE ANALYST 5000 BANKING 2350 SECURITIES AND BANKING FUND NACCA-6/10-14 7/5/13 741.92

CHERYL OWENS COMPLIANCE ANALYST 5000 BANKING 2350 SECURITIES AND BANKING FUND SILA-9/21 8/26/13 1,695.38 3,808.52CHESTER MCPHERSON DEPUTY COMMISSIONER FOR MARKET OPERATIONS 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT TRAVADV-1/28 1/17/13 340.80

CHESTER MCPHERSON DEPUTY COMMISSIONER FOR MARKET OPERATIONS 6000 RISK FINANCE 2200 INSURANCE ASSESSMENT CAPTCONF3/10 2/27/13 488.68

CHESTER MCPHERSON DEPUTY COMMISSIONER FOR MARKET OPERATIONS 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAIC-4/6-9 3/27/13 1,625.28

CHESTER MCPHERSON DEPUTY COMMISSIONER FOR MARKET OPERATIONS 6000 RISK FINANCE 2200 INSURANCE ASSESSMENT CICA-3/10/13 3/29/13 83.48

CHESTER MCPHERSON DEPUTY COMMISSIONER FOR MARKET OPERATIONS 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICSPR.-4/5 4/29/13 16.00

CHESTER MCPHERSON DEPUTY COMMISSIONER FOR MARKET OPERATIONS 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICCOMM-7/10 7/29/13 250.00

CHESTER MCPHERSON DEPUTY COMMISSIONER FOR MARKET OPERATIONS 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICNEZONE6/18 7/29/13 165.00

CHESTER MCPHERSON DEPUTY COMMISSIONER FOR MARKET OPERATIONS 5000 BANKING 2350 SECURITIES AND BANKING FUND TRAVADV-1/28 1/17/13 681.60

CHESTER MCPHERSON DEPUTY COMMISSIONER FOR MARKET OPERATIONS 6000 RISK FINANCE 2350 SECURITIES AND BANKING FUND CAPTCONF3/10 2/27/13 977.35

CHESTER MCPHERSON DEPUTY COMMISSIONER FOR MARKET OPERATIONS 6000 RISK FINANCE 2350 SECURITIES AND BANKING FUND CICA-3/10/13 3/29/13 166.96

CHESTER MCPHERSON DEPUTY COMMISSIONER FOR MARKET OPERATIONS 5000 BANKING 2350 SECURITIES AND BANKING FUND CSBSFORUM-5/20 5/10/13 2,315.34

CHESTER MCPHERSON DEPUTY COMMISSIONER FOR MARKET OPERATIONS 5000 BANKING 2350 SECURITIES AND BANKING FUND CSBSFORUM-5/20 6/21/13 262.51

CHESTER MCPHERSON DEPUTY COMMISSIONER FOR MARKET OPERATIONS 6000 RISK FINANCE 2800 CAPTIVE INSURANCE TRAVADV-1/28 1/17/13 340.80

CHESTER MCPHERSON DEPUTY COMMISSIONER FOR MARKET OPERATIONS 6000 RISK FINANCE 2800 CAPTIVE INSURANCE CAPTCONF3/10 2/27/13 488.68

CHESTER MCPHERSON DEPUTY COMMISSIONER FOR MARKET OPERATIONS 6000 RISK FINANCE 2800 CAPTIVE INSURANCE CICA-3/10/13 3/29/13 83.48

CHESTER MCPHERSON DEPUTY COMMISSIONER FOR MARKET OPERATIONS 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICSUM-8/23 8/14/13 1,477.54

CHESTER MCPHERSON DEPUTY COMMISSIONER FOR MARKET OPERATIONS 8000 MARKET EXAMINATIONS 2350 SECURITIES AND BANKING FUND AARMR-8/4-9 8/21/13 2,148.60

CHESTER MCPHERSON DEPUTY COMMISSIONER FOR MARKET OPERATIONS 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND CSBS-10/2 8/26/13 571.96

CHESTER MCPHERSON DEPUTY COMMISSIONER FOR MARKET OPERATIONS 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICSUM-8/23 9/3/13 124.55

CHESTER MCPHERSON DEPUTY COMMISSIONER FOR MARKET OPERATIONS 8000 MARKET EXAMINATIONS 2200 INSURANCE ASSESSMENT NASAACONF-9/24 9/25/13 2,040.76

CHESTER MCPHERSON-Travel Reimbursement DEPUTY COMMISSIONER FOR MARKET OPERATIONS 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 101912 (169.18) 14,480.19

CHIDINMA UKAIRO INSURANCE OPERATIONS EXAMINER (AUDIT) 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT SOFE-9/4 8/26/13 309.16 309.16CHRISTOPHER WEAVER ASSOCIATE COMMISSIONER FOR BANKING 5000 BANKING 2350 SECURITIES AND BANKING FUND CHRISWEAVER-SY 12/7/12 995.00

CHRISTOPHER WEAVER ASSOCIATE COMMISSIONER FOR BANKING 5000 BANKING 2350 SECURITIES AND BANKING FUND 14553-WEAVER 6/7/13 325.00

CHRISTOPHER WEAVER ASSOCIATE COMMISSIONER FOR BANKING 5000 BANKING 2350 SECURITIES AND BANKING FUND TRAVREIM-10/1 11/20/12 1,165.62

CHRISTOPHER WEAVER ASSOCIATE COMMISSIONER FOR BANKING 5000 BANKING 2350 SECURITIES AND BANKING FUND CSBS Mgt. Boston 3/27/13 1,133.90

CHRISTOPHER WEAVER ASSOCIATE COMMISSIONER FOR BANKING 5000 BANKING 2350 SECURITIES AND BANKING FUND CSBSFORUM-5/19 5/10/13 2,609.19

CHRISTOPHER WEAVER ASSOCIATE COMMISSIONER FOR BANKING 5000 BANKING 2350 SECURITIES AND BANKING FUND NACCA-6/10 5/24/13 1,228.12

CHRISTOPHER WEAVER ASSOCIATE COMMISSIONER FOR BANKING 5000 BANKING 2350 SECURITIES AND BANKING FUND CSBS-4/3REIM. 7/29/13 284.98

CHRISTOPHER WEAVER ASSOCIATE COMMISSIONER FOR BANKING 5000 BANKING 2350 SECURITIES AND BANKING FUND NACCA-6/10 7/29/13 90.76

CHRISTOPHER WEAVER ASSOCIATE COMMISSIONER FOR BANKING 5000 BANKING 2350 SECURITIES AND BANKING FUND NMLS CONF-2/26 3/18/13 1,385.54

CHRISTOPHER WEAVER ASSOCIATE COMMISSIONER FOR BANKING 5000 BANKING 2350 SECURITIES AND BANKING FUND SSBCI-6/2-5/13 5/23/13 1,032.15

CHRISTOPHER WEAVER ASSOCIATE COMMISSIONER FOR BANKING 5000 BANKING 2350 SECURITIES AND BANKING FUND SSBCIREIM-6/5 7/29/13 29.90

CHRISTOPHER WEAVER ASSOCIATE COMMISSIONER FOR BANKING 5000 BANKING 2350 SECURITIES AND BANKING FUND NDCECON.-8/4 7/31/13 1,497.15

CHRISTOPHER WEAVER ASSOCIATE COMMISSIONER FOR BANKING 5000 BANKING 2350 SECURITIES AND BANKING FUND NDCECON-8/4 9/3/13 122.95

Appendix 5


Code

Program Title Agy

Fund


Empl/Vendor

CHRISTOPHER WEAVER ASSOCIATE COMMISSIONER FOR BANKING 5000 BANKING 2350 SECURITIES AND BANKING FUND 15170 7/3/13 1,790.00

CHRIS WEAVER-Travel Reimbursement ASSOCIATE COMMISSIONER FOR BANKING 5000 BANKING 2800 SECURITIES AND BANKING FUND 102612 (1,085.66) 12,604.60

CLAIRE MCHENRY SECURITIES FINANCIAL EXAMINER 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND NASAAINV-8/11 7/31/13 1,084.62

CLAIRE MCHENRY SECURITIES FINANCIAL EXAMINER 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND NASAAINV-8/11 8/26/13 205.50

CLAIRE MCHENRY-Travel Reimb SECURITIES FINANCIAL EXAMINER 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND 083013 (976.80) 313.32COLIN JOHNSON INSURANCE EXAMINER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICEREG-5/8 4/11/13 213.50

COLIN JOHNSON INSURANCE EXAMINER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICEREG-5/8 6/13/13 119.50

COLIN JOHNSON-Travel Reimbursement INSURANCE EXAMINER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 062813 (103.22) 229.78

DANA SHEPPARD DIRECTOR OF RISK FINANCE 6000 RISK FINANCE 2800 CAPTIVE INSURANCE TRAVADV.-1/27 1/17/13 1,733.40

DANA SHEPPARD DIRECTOR OF RISK FINANCE 6000 RISK FINANCE 2800 CAPTIVE INSURANCE CAPT.CONF-3/10 2/13/13 1,858.68

DANA SHEPPARD DIRECTOR OF RISK FINANCE 6000 RISK FINANCE 2800 CAPTIVE INSURANCE WORLDCAPT.1/28 2/22/13 180.99

DANA SHEPPARD DIRECTOR OF RISK FINANCE 6000 RISK FINANCE 2800 CAPTIVE INSURANCE CAPT.CONF-3/10 4/4/13 373.17

DANA SHEPPARD DIRECTOR OF RISK FINANCE 6000 RISK FINANCE 2800 CAPTIVE INSURANCE CAPTPANEL-7/29 6/7/13 639.02

DANA SHEPPARD DIRECTOR OF RISK FINANCE 6000 RISK FINANCE 2800 CAPTIVE INSURANCE VERMCAPT.-8/13 8/13 1,755.50

DANA SHEPARD DIRECTOR OF RISK FINANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICSUM-8/23 8/14/13 997.25

DANA SHEPARD DIRECTOR OF RISK FINANCE 6000 RISK FINANCE 2800 CAPTIVE INSURANCE PROPCASU-7/31 8/26/13 113.53

DANA SHEPARD DIRECTOR OF RISK FINANCE 6000 RISK FINANCE 2800 CAPTIVE INSURANCE VERMCAPT.-8/13 9/13/13 28.30

DANA SHEPARRD-Travel Reimb DIRECTOR OF RISK FINANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 080913 (278.22)

DANA SHEPARRD-Travel Reimb DIRECTOR OF RISK FINANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 083013 (106.15)

DANA SHEPARRD-Travel Reimb DIRECTOR OF RISK FINANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 092013 (729.60) 6,565.87DARNIECE L. SHIRLEY ACTUARY 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAIC-5/5ADVANC 4/3/13 1,260.76

DARNIECE L. SHIRLEY ACTUARY 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICEREG-5/5/1 6/21/13 59.62 1,320.38

DAVID SCHLEIT FINANCIAL EXAMINER INSURANCE 6000 RISK FINANCE 2200 INSURANCE ASSESSMENT NAICFINAN-5/29 5/10/13 1,127.33

DAVID SCHLEIT FINANCIAL EXAMINER INSURANCE 6000 RISK FINANCE 2200 INSURANCE ASSESSMENT NAICFINAN-5/29 6/13/13 108.27

DAVID SCHLEIT FINANCIAL EXAMINER INSURANCE 6000 RISK FINANCE 2800 CAPTIVE INSURANCE SOFE-7/20/13 6/7/13 1,457.90

DAVID SCHLEIT FINANCIAL EXAMINER INSURANCE 6000 RISK FINANCE 2800 CAPTIVE INSURANCE 506-DSCHLEIT 5/29/13 530.00

DAVID SCHLEIT FINANCIAL EXAMINER INSURANCE 6000 RISK FINANCE 2800 CAPTIVE INSURANCE SOFE-7/20 8/20/13 140.50

DAVID SCHLIETravel Reimb FINANCIAL EXAMINER INSURANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 080213 (987.10) 2,376.90DENA REED DEPUTY GENERAL COUNSEL 1000 AGENCY MANANGEMENT PROGRAM 2100 HMO ASSESSMENT CONFREIM-2/20 3/6/13 12.53

DENA REED DEPUTY GENERAL COUNSEL 1000 AGENCY MANANGEMENT PROGRAM 2200 INSURANCE ASSESSMENT CONF.REIM-2/20 3/6/13 68.02

DENA REED DEPUTY GENERAL COUNSEL 1000 AGENCY MANANGEMENT PROGRAM 2350 SECURITIES AND BANKING FUND CONF.REIM-2/20 3/6/13 78.76

DENA REED DEPUTY GENERAL COUNSEL 1000 AGENCY MANANGEMENT PROGRAM 2800 CAPTIVE INSURANCE CONFREIM-2/20 3/6/13 19.69

DENA REED DEPUTY GENERAL COUNSEL 1000 AGENCY MANANGEMENT PROGRAM 2350 SECURITIES AND BANKING FUND CSBSSEM-7/30 6/28/13 1,057.56

DENA REED GENERAL COUNSEL 1000 AGENCY MANANGEMENT PROGRAM 2350 SECURITIES AND BANKING FUND 15168 7/3/13 1,790.00

DENA REED GENERAL COUNSEL 1000 AGENCY MANANGEMENT PROGRAM 2350 SECURITIES AND BANKING FUND CSBSSEM-7/30 8/21/13 106.78

DENA REED GENERAL COUNSEL 1000 AGENCY MANANGEMENT PROGRAM 2100 HMO ASSESSMENT NASAA-10/5 9/25/13 140.63

DENA REED GENERAL COUNSEL 1000 AGENCY MANANGEMENT PROGRAM 2200 INSURANCE ASSESSMENT NASAA-10/5 9/25/13 763.40

DENA REED GENERAL COUNSEL 1000 AGENCY MANANGEMENT PROGRAM 2350 SECURITIES AND BANKING FUND NASAA-10/5 9/25/13 883.94

DENA REED GENERAL COUNSEL 1000 AGENCY MANANGEMENT PROGRAM 2800 CAPTIVE INSURANCE NASAA-10/5 9/25/13 220.99 5,142.30EFREN TANHEHCO SUPERVISORY HEALTH ACTUARY 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAIC-4/5-9 3/27/13 1,632.08

EFREN TANHEHCO SUPERVISORY HEALTH ACTUARY 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT SOANAT.-6/10 6/7/13 205.00

EFREN TANHEHCO SUPERVISORY HEALTH ACTUARY 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT SOANAT.-6/10 7/5/13 205.82

EFREN TANHECO-Travel Reimb SUPERVISORY HEALTH ACTUARY 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 092013 (541.73)

EFREN TANHEHCO SUPERVISORY HEALTH ACTUARY 2000 INSURANCE PROGRAM 8210 FEDERAL GRANTS NAICSUMM-8/23 8/14/13 1,842.65

EFREN TANHEHCO SUPERVISORY HEALTH ACTUARY 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAIC 4/5-9 10/16/13 36.41 3,380.23EVA M. BRIGHT BANKING EXAMINER 5000 BANKING 2350 SECURITIES AND BANKING FUND 54242146-BRIGH 4/8/13 945.00

EVA M. BRIGHT BANKING EXAMINER 5000 BANKING 2350 SECURITIES AND BANKING FUND AARMR-4/28 4/4/13 1,307.65 2,252.65

FRANK RYAN INSURANCE OPERATIONS EXAMINER (AUDIT) 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICFINA-5/28 4/12/13 1,259.70

FRANK RYAN INSURANCE OPERATIONS EXAMINER (AUDIT) 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICFINAN-5/28 6/21/13 81.68

FRANK RYAN INSURANCE OPERATIONS EXAMINER (AUDIT) 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT SOFE-9/4 8/26/13 226.11 1,567.49GEORGE ADU SECUR FINAN EXAM (RPT AND DISCL) 8000 MARKET EXAMINATIONS 2350 SECURITIES AND BANKING FUND NASAA-10/5 10/1/13 2,073.76

GEORGE ADU-Travel Reimb SECUR FINAN EXAM (RPT AND DISCL) 3000 SECURITIES PROGRAM 2800 SECURITIES AND BANKING FUND 100512 (1,113.00) 960.76

GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2100 HMO ASSESSMENT 2013INSFRAUD 2/27/13 74.40

Appendix 5


Code

Program Title Agy

Fund


Empl/Vendor

GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2100 HMO ASSESSMENT TRAVREIM-10/2 10/15/12 75.35

GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2100 HMO ASSESSMENT 2013INS.-3/10 3/29/13 16.02

GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2100 HMO ASSESSMENT NW3CMORTG.6/17 5/17/13 91.63

GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2100 HMO ASSESSMENT 2013FRAUD-8/13 6/27/13 91.36

GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2100 HMO ASSESSMENT MORTG.FRAUD617 7/5/13 14.35

GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2200 INSURANCE ASSESSMENT 2013INSFRAUD 2/27/13 403.86

GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2200 INSURANCE ASSESSMENT TRAVREIM-10/2 10/15/12 409.06

GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2200 INSURANCE ASSESSMENT 2013INS.-3/10 3/29/13 86.95

GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2200 INSURANCE ASSESSMENT NW3CMORTG.6/17 5/17/13 497.44

GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2200 INSURANCE ASSESSMENT 2013FRAUD-8/13 6/27/13 495.94

GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2200 INSURANCE ASSESSMENT MORTG.FRAUD617 7/5/13 77.90

GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2350 SECURITIES AND BANKING FUND 2013INSFRAUD 2/27/13 467.62

GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2350 SECURITIES AND BANKING FUND TRAVREIM-10/2 10/15/12 473.66

GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2350 SECURITIES AND BANKING FUND 2013INS.-3/10 3/29/13 100.67

GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2350 SECURITIES AND BANKING FUND NW3CMORTG.6/17 5/17/13 576.00

GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2350 SECURITIES AND BANKING FUND 2013FRAUD-8/13 6/27/13 574.24

GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2350 SECURITIES AND BANKING FUND MORTG.FRAUD617 7/5/13 90.19

GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2800 CAPTIVE INSURANCE 2013INSFRAUD 2/27/13 116.90

GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2800 CAPTIVE INSURANCE TRAVREIM-10/2 10/15/12 118.41

GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2800 CAPTIVE INSURANCE 2013INS.-3/10 3/29/13 25.17

GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2800 CAPTIVE INSURANCE NW3CMORTG.6/17 5/17/13 144.00

GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2800 CAPTIVE INSURANCE 2013FRAUD-8/13 6/27/13 143.56

GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2800 CAPTIVE INSURANCE MORTG.FRAUD617 7/5/13 22.55

GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2100 HMO ASSESSMENT 2013FRAUD-8/13 8/26/13 27.36

GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2200 INSURANCE ASSESSMENT 2013FRAUD-8/13 8/26/13 148.52

GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2350 SECURITIES AND BANKING FUND 2013FRAUD-8/13 8/26/13 171.98

GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2800 CAPTIVE INSURANCE 2013FRAUD-8/13 8/26/13 42.99 5,578.08IFEANYICHUKWU EGBUNIWE PROGRAM MANAGER (SSBCI) 5000 BANKING 2350 SECURITIES AND BANKING FUND SSBCI-6/2-5/13 5/23/13 1,032.15

IFEANYICHUKWU EGBUNIWE PROGRAM MANAGER (SSBCI) 5000 BANKING 2350 SECURITIES AND BANKING FUND NDCECON.-8/4 7/31/13 1,497.15

IFEANYICHUKWU EGBUNIWE PROGRAM MANAGER (SSBCI) 5000 BANKING 2350 SECURITIES AND BANKING FUND NDCECON-8/4 9/3/13 105.95 2,635.25JAMES H. LAWRENCE, III FINANCIAL EXAMINER OFFICER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICFIN.-5/28 5/23/13 248.50

JAMES H. LAWRENCE, III FINANCIAL EXAMINER OFFICER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICFIN.-5/28 5/23/13 70.60 319.10

JAMES LAWRENCE FINANCIAL EXAMINER OFFICER 6000 RISK FINANCE 2800 CAPTIVE INSURANCE SOFE-7/20 6/7/13 1,360.70

JAMES LAWRENCE FINANCIAL EXAMINER OFFICER 6000 RISK FINANCE 2800 CAPTIVE INSURANCE 510-JLAWRENCE 5/29/13 530.00

JAMES LAWRENCE FINANCIAL EXAMINER OFFICER 6000 RISK FINANCE 2800 CAPTIVE INSURANCE TRAVREIM-SOFE 10/21/13 41.00

JAMES LAWRENCE-Travel Reimb FINANCIAL EXAMINER OFFICER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 080913 (217.00) 1,714.70JAMES MCMANUS ASSISTANT DIRECTOR 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND TRAVADV.-1/27 1/17/13 960.20

JAMES MCMANUS ASSISTANT DIRECTOR 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND NASAASMAL-1/27 8/26/13 148.46

JAMES MCMANUS ASSISTANT DIRECTOR 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND NASAACONF-10/5 9/25/13 1,643.51

JAMES MCMANUS ASSISTANT DIRECTOR 8000 MARKET EXAMINATIONS 2350 SECURITIES AND BANKING FUND 2513-JMCMANUS 10/25/13 325.00

JAMES MCMANUS-Travel Reimb ASSISTANT DIRECTOR 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND 080913 (1,018.16) 2,059.01JANICE GORDON FINANCIAL EXAMINER INSURANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT SOFE-7/20-24 6/20/13 1,317.00

JANICE GORDON FINANCIAL EXAMINER INSURANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 553-JGORDON 7/2/13 530.00

JANICE GORDON FINANCIAL EXAMINER INSURANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT SOFE-7/20-24 8/21/13 46.75 1,893.75JUNIA TELAMOUR COMPLIANCE ANALYST 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND NASAABD-5/30 5/1/13 890.00

JUNIA TELAMOUR COMPLIANCE ANALYST 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND NASAABD-5/30 6/13/13 145.29

JUNIA TELAMOUR COMPLIANCE ANALYST 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND JTELAMOUR-2013 5/14/13 185.00

JUNIA TELAMOUR COMPLIANCE ANALYST 8000 MARKET EXAMINATIONS 2350 SECURITIES AND BANKING FUND NASACONF-10/5 9/25/13 2,019.66 3,239.95KAREN A. COLES INVESTIGATOR FRAUD 8000 MARKET EXAMINATIONS 2350 SECURITIES AND BANKING FUND NASAA-7/14 6/28/13 1,141.93

KAREN A. COLES INVESTIGATOR FRAUD 8000 MARKET EXAMINATIONS 2350 SECURITIES AND BANKING FUND NASAA-7/14REIM 8/1/13 84.00 1,225.93

KATHRYN HARTIG PUBLIC INFORMATION OFFICER 1000 AGENCY MANANGEMENT PROGRAM 2100 HMO ASSESSMENT TRAVREIM-10/16 11/30/12 40.00

KATHRYN HARTIG PUBLIC INFORMATION OFFICER 1000 AGENCY MANANGEMENT PROGRAM 2100 HMO ASSESSMENT TRAVADV.-10/16 10/15/12 6.40

Appendix 5


Code

Program Title Agy

Fund


Empl/Vendor

KATHRYN HARTIG PUBLIC INFORMATION OFFICER 1000 AGENCY MANANGEMENT PROGRAM 2200 INSURANCE ASSESSMENT TRAVADV.-10/16 10/15/12 34.77

KATHRYN HARTIG PUBLIC INFORMATION OFFICER 1000 AGENCY MANANGEMENT PROGRAM 2350 SECURITIES AND BANKING FUND TRAVADV.-10/16 10/15/12 40.26

KATHRYN HARTIG PUBLIC INFORMATION OFFICER 1000 AGENCY MANANGEMENT PROGRAM 2800 CAPTIVE INSURANCE TRAVADV.-10/16 10/15/12 10.07

KATHRYN HARTIG PUBLIC INFORMATION OFFICER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAIC-9/24 8/26/13 91.50 223.00KIMBERLY HOLDEN FINANCIAL EXAMINER INSURANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICFIN.-5/29 5/17/13 1,199.13

KIMBERLY HOLDEN FINANCIAL EXAMINER INSURANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICFINAN-5/29 6/13/13 171.74

KIMBERLY HOLDEN-Travel Reimb FINANCIAL EXAMINER INSURANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 080213 (1,122.26) 248.61LEE BACKUS DIRECTOR COMPLIANCE ANALYSIS 8000 MARKET EXAMINATIONS 2200 INSURANCE ASSESSMENT NAIC-4/5-9 3/27/13 1,520.28

LEE BACKUS DIRECTOR COMPLIANCE ANALYSIS 8000 MARKET EXAMINATIONS 2200 INSURANCE ASSESSMENT NAICSPRING-4/5 4/29/13 254.78

LEE BACKUS DIRECTOR COMPLIANCE ANALYSIS 8000 MARKET EXAMINATIONS 2100 HMO ASSESSMENT TRAVREIM-10/15 12/28/12 174.77

LEE BACKUS DIRECTOR COMPLIANCE ANALYSIS 8000 MARKET EXAMINATIONS 2100 HMO ASSESSMENT TRAVADV-10/15 10/15/12 55.14

LEE BACKUS DIRECTOR COMPLIANCE ANALYSIS 8000 MARKET EXAMINATIONS 2100 HMO ASSESSMENT NACCA-6/11 5/17/13 130.17

LEE BACKUS DIRECTOR COMPLIANCE ANALYSIS 8000 MARKET EXAMINATIONS 2100 HMO ASSESSMENT NACCA-6/11REIM 7/12/13 18.51

LEE BACKUS DIRECTOR COMPLIANCE ANALYSIS 8000 MARKET EXAMINATIONS 2200 INSURANCE ASSESSMENT TRAVADV-10/15 10/15/12 299.32

LEE BACKUS DIRECTOR COMPLIANCE ANALYSIS 8000 MARKET EXAMINATIONS 2200 INSURANCE ASSESSMENT NACCA-6/11 5/17/13 706.66

LEE BACKUS DIRECTOR COMPLIANCE ANALYSIS 8000 MARKET EXAMINATIONS 2200 INSURANCE ASSESSMENT NACCA-6/11REIM 7/12/13 100.46

LEE BACKUS DIRECTOR COMPLIANCE ANALYSIS 8000 MARKET EXAMINATIONS 2350 SECURITIES AND BANKING FUND TRAVADV-10/15 10/15/12 346.58

LEE BACKUS DIRECTOR COMPLIANCE ANALYSIS 8000 MARKET EXAMINATIONS 2350 SECURITIES AND BANKING FUND NACCA-6/11 5/17/13 818.23

LEE BACKUS DIRECTOR COMPLIANCE ANALYSIS 8000 MARKET EXAMINATIONS 2350 SECURITIES AND BANKING FUND NACCA-6/11REIM 7/12/13 116.33

LEE BACKUS DIRECTOR COMPLIANCE ANALYSIS 8000 MARKET EXAMINATIONS 2800 CAPTIVE INSURANCE TRAVADV-10/15 10/15/12 86.65

LEE BACKUS DIRECTOR COMPLIANCE ANALYSIS 8000 MARKET EXAMINATIONS 2800 CAPTIVE INSURANCE NACCA-6/11 5/17/13 204.56

LEE BACKUS DIRECTOR COMPLIANCE ANALYSIS 8000 MARKET EXAMINATIONS 2800 CAPTIVE INSURANCE NACCA-6/11REIM 7/12/13 29.08

LEE BACKUS DIRECTOR COMPLIANCE ANALYSIS 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICSUMM-8/23 8/14/13 1,477.54

LEE BACKUS DIRECTOR COMPLIANCE ANALYSIS 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICSUM-8/23 9/13/13 150.96

LEE BACKUS-Travel Reimb DIRECTOR COMPLIANCE ANALYSIS 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 092713 (1,368.10)

LEAH BUCKUS- Travel Reimb DIRECTOR COMPLIANCE ANALYSIS 8000 MARKET EXAMINATIONS 2200 INSURANCE ASSESSMENT 013113 (778.93) 4,342.99

LILAH BLACKSTONE ASSISTANT ATTORNEY GENERAL 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND MIDATL.-6/4-6 5/23/13 550.65

LILAH BLACKSTONE ASSISTANT ATTORNEY GENERAL 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND MIDATL.-6/4/13 6/21/13 29.99 580.64

M. MATHIS-Travel Reimbursement OPERATIONS SUPPORT MANAGER 1000 AGENCY MANANGEMENT PROGRAM 2100 HMO ASSESSMENT 011813 (4.79)

M. MATHIS-Travel Reimbursement OPERATIONS SUPPORT MANAGER 1000 AGENCY MANANGEMENT PROGRAM 2200 INSURANCE ASSESSMENT 011813 (26.00)

M. MATHIS-Travel Reimbursement OPERATIONS SUPPORT MANAGER 1000 AGENCY MANANGEMENT PROGRAM 2350 SECURITIES AND BANKING FUND 011813 (30.11)

M. MATHIS-Travel Reimbursement OPERATIONS SUPPORT MANAGER 1000 AGENCY MANANGEMENT PROGRAM 2800 CAPTIVE INSURANCE 011813 (7.53) (68.43)

MARGARET SCHRUENDER DEPUTY COMMISSIONER FOR MARKET COMPLIANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAIC-4/6-9 3/27/13 1,728.28

MARGARET SCHRUENDER DEPUTY COMMISSIONER FOR MARKET COMPLIANCE 8000 MARKET EXAMINATIONS 2100 HMO ASSESSMENT NCCI-5/15 4/12/13 54.29

MARGARET SCHRUENDER DEPUTY COMMISSIONER FOR MARKET COMPLIANCE 8000 MARKET EXAMINATIONS 2100 HMO ASSESSMENT CAPT.DAY-3/23 4/12/13 11.20

MARGARET SCHRUENDER DEPUTY COMMISSIONER FOR MARKET COMPLIANCE 8000 MARKET EXAMINATIONS 2200 INSURANCE ASSESSMENT NCCI-5/15 4/12/13 294.71

MARGARET SCHRUENDER DEPUTY COMMISSIONER FOR MARKET COMPLIANCE 8000 MARKET EXAMINATIONS 2200 INSURANCE ASSESSMENT CAPT.DAY-3/23 4/12/13 60.80

MARGARET SCHRUENDER DEPUTY COMMISSIONER FOR MARKET COMPLIANCE 8000 MARKET EXAMINATIONS 2200 INSURANCE ASSESSMENT IRES-7/28 6/20/13 1,244.26

MARGARET SCHRUENDER DEPUTY COMMISSIONER FOR MARKET COMPLIANCE 8000 MARKET EXAMINATIONS 2200 INSURANCE ASSESSMENT NAICNEZONE-617 7/5/13 473.08

MARGARET SCHRUENDER DEPUTY COMMISSIONER FOR MARKET COMPLIANCE 8000 MARKET EXAMINATIONS 2350 SECURITIES AND BANKING FUND NCCI-5/15 4/12/13 85.31

MARGARET SCHRUENDER DEPUTY COMMISSIONER FOR MARKET COMPLIANCE 8000 MARKET EXAMINATIONS 2350 SECURITIES AND BANKING FUND CAPT.DAY-3/23 4/12/13 17.60

MARGARET SCHRUENDER DEPUTY COMMISSIONER FOR MARKET COMPLIANCE 8000 MARKET EXAMINATIONS 2800 CAPTIVE INSURANCE NCCI-5/15 4/12/13 341.25

MARGARET SCHRUENDER DEPUTY COMMISSIONER FOR MARKET COMPLIANCE 8000 MARKET EXAMINATIONS 2800 CAPTIVE INSURANCE CAPT.DAY-3/23 4/12/13 70.40

MARGARET SCHRUENDER DEPUTY COMMISSIONER FOR MARKET COMPLIANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICSUMM-8/23 8/14/13 1,463.54

MARGARET SCHRUENDER DEPUTY COMMISSIONER FOR MARKET COMPLIANCE 8000 MARKET EXAMINATIONS 2350 SECURITIES AND BANKING FUND 2013SILA-9/22 8/26/13 1,482.84

MARGARET SCHRUENDER-Travel Reimb DEPUTY COMMISSIONER FOR MARKET COMPLIANCE 8000 MARKET EXAMINATIONS 2200 INSURANCE ASSESSMENT 090613 (1,044.26)

MARGARET SCHRUENDER-Travel Reimb DEPUTY COMMISSIONER FOR MARKET COMPLIANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 091313 (172.27)

MARGARET SCHRUENDER-Travel Reimb DEPUTY COMMISSIONER FOR MARKET COMPLIANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 092713 (1,078.73)

MARGARET SCHRUENDER-Travel Reimb DEPUTY COMMISSIONER FOR MARKET COMPLIANCE 8000 MARKET EXAMINATIONS 2350 SECURITIES AND BANKING FUND 093013 (248.01)

MARGARET SCHRUENDER-Travel Reimb DEPUTY COMMISSIONER FOR MARKET COMPLIANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 042613 (168.60)

MARGARET SCHRUENDER-Travel Reimb DEPUTY COMMISSIONER FOR MARKET COMPLIANCE 8000 MARKET EXAMINATIONS 2800 CAPTIVE INSURANCE 061413 (775.56) 3,840.13

MICHAEL FLAGG COMMUNICATIONS DIRECTOR 1000 AGENCY MANANGEMENT PROGRAM 2200 INSURANCE ASSESSMENT NAICSUM-9/23 8/14/13 1,252.90 1,252.90

Appendix 5


Code

Program Title Agy

Fund


Empl/Vendor

MARK WELLS MARKET SERVICES MANAGER 5000 BANKING 2350 SECURITIES AND BANKING FUND CHICAGO-3/12 3/6/13 341.80 341.80

MARTIN-Travel Reimbursement SECURITIES LICENSING SPECIALIST 5000 SECURITIES AND BANKING 2800 SECURITIES AND BANKING FUND 100512 (78.74) (78.74)

MONICA DYSON ACTUARY 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NCCI-2/5-8/13 3/11/13 393.03

MONICA DYSON ACTUARY 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT TRAVADV.-5/14 4/29/13 1,242.01

MONICA DYSON ACTUARY 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NCCI-5/14 7/12/13 135.93 1,770.97

MONIQUE BONHOM BANKING EXAMINER 5000 BANKING 2350 SECURITIES AND BANKING FUND AARMR-4/28 4/4/13 1,307.65

MONIQUE BONHOM BANKING EXAMINER 5000 BANKING 2350 SECURITIES AND BANKING FUND AARMR-4/28 5/17/13 3.25

MONIQUE BONHOM BANKING EXAMINER 5000 BANKING 2350 SECURITIES AND BANKING FUND 54242034-BONIH 4/9/13 945.00 2,255.90

NATHANIEL BROWN SUPERVISORY INSURANCE OPERATIONS EXAMINER AUDIT 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAIC-4/5-9 3/27/13 1,264.46

NATHANIEL BROWN SUPERVISORY INSURANCE OPERATIONS EXAMINER AUDIT 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICSPRING-4/5 4/29/13 105.20

NATHANIEL BROWN SUPERVISORY INSURANCE OPERATIONS EXAMINER AUDIT 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT SOFE-7/20-24 6/20/13 1,268.60

NATHANIEL BROWN SUPERVISORY INSURANCE OPERATIONS EXAMINER AUDIT 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 502-NBROWN 7/2/13 530.00 3,168.26

NATHANIEL BROWN SUPERVISORY INSURANCE OPERATIONS EXAMINER AUDIT 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICSUM.-8/23 8/14/13 1,012.15

NATHANIEL BROWN SUPERVISORY INSURANCE OPERATIONS EXAMINER AUDIT 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT SOFE-7/20-24 8/21/13 178.00

NATHANIEL BROWN SUPERVISORY INSURANCE OPERATIONS EXAMINER AUDIT 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT SOFE-9/4 8/26/13 341.03

NATHANIEL BROWN SUPERVISORY INSURANCE OPERATIONS EXAMINER AUDIT 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICSUMM-8/23 10/1/13 69.10

NATHANIEL BROWN SUPERVISROY INSURANCE OPERATIONS EXAMINER AUDIT 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT SOFE-9/4REIM 10/21/13 25.76 1,626.04

NIC-Travel Reimbursement 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 051713 (7,277.98)

NIC-Travel Reimbursement 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 100512 (9,534.25) (16,812.23)

P. SEAN O'DONNELL SUPERVISORY FINANCIAL EXAMINER 6000 RISK FINANCE 2200 INSURANCE ASSESSMENT NAICFIN-5/29 5/10/13 1,115.73

P. SEAN O'DONNELL SUPERVISORY FINANCIAL EXAMINER 6000 RISK FINANCE 2200 INSURANCE ASSESSMENT NAICFINAN-5/29 6/13/13 34.01

P. SEAN O'DONNELL SUPERVISORY FINANCIAL EXAMINER 6000 RISK FINANCE 2800 CAPTIVE INSURANCE 511-PSODONNELL 5/29/13 530.00

PATRICK O'DONNELL SUPERVISORY FINANCIAL EXAMINER 6000 RISK FINANCE 2800 CAPTIVE INSURANCE SOFE-7/20/13 6/7/13 1,069.80

PATRICK O'DONNELL SUPERVISORY FINANCIAL EXAMINER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICSUMM-8/23 8/14/13 1,033.25

PATRICK O'DONNELL SUPERVISORY FINANCIAL EXAMINER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICSUMM-8/23 9/13/13 56.00

PATRICK O'DONNELL-Travel Reimb SUPERVISORY FINANCIAL EXAMINER 6000 RISK FINANCE 2800 CAPTIVE INSURANCE 032213 (107.09) 3,731.70

PHILIP BARLOW ASSOCIATE COMMISSIONER FOR INSURANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT TRAVREIM-10/14 10/29/12 223.60

PHILIP BARLOW ASSOCIATE COMMISSIONER FOR INSURANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT TRAVADV-11/13 11/2/12 994.82

PHILIP BARLOW ASSOCIATE COMMISSIONER FOR INSURANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAIC-4/5-8 3/27/13 1,231.66

PHILIP BARLOW ASSOCIATE COMMISSIONER FOR INSURANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICTASK-4/30 4/12/13 983.40

PHILIP BARLOW ASSOCIATE COMMISSIONER FOR INSURANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAIC-4/5-REIM 4/19/13 131.55

PHILIP BARLOW ASSOCIATE COMMISSIONER FOR INSURANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICTASK-4/30 5/17/13 84.56

PHILIP BARLOW ASSOCIATE COMMISSIONER FOR INSURANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT TRAVADV-11/13 11/13 (994.82)

PHILIP BARLOW ASSOCIATE COMMISSIONER FOR INSURANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICSUM-8/23 8/14/13 904.12

PHILIP BARLOW ASSOCIATE COMMISSIONER FOR INSURANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICSUM-8/23 9/3/13 155.84

PHILIP BARLOW- Travel Reimb ASSOCIATE COMMISSIONER FOR INSURANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 092013 (910.92)

PHILIP BARLOW-Travel Reimb ASSOCIATE COMMISISONER FOR INSURANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 060713 (890.46) 1,913.35

ROBERT NKOJO ACTUARY MANAGER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICSPRING-4/5 4/24/13 1,332.26

ROBERT NKOJO ACTUARY MANAGER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT TRAVADV.-5/14 4/29/13 1,242.01

ROBERT NKOJO ACTUARY MANAGER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICSUM-8/23 8/14/13 903.92

ROBERT NKOJO ACTUARY MANAGER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICSUM-8/23 9/24/13 92.50

ROBERT NKOJO-Travel Reimb ACTUARY MANAGER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 061413 (1,460.08) 2,110.61

SAMUEL FULLER BANKING EXAMINER 5000 BANKING 2350 SECURITIES AND BANKING FUND 14529-FULLER 6/7/13 325.00

SAMUEL FULLER BANKING EXAMINER 5000 BANKING 2350 SECURITIES AND BANKING FUND TRAVADVN-1/27 1/17/13 2,840.10

SAMUEL FULLER BANKING EXAMINER 5000 BANKING 2350 SECURITIES AND BANKING FUND CSBSCONF-1/27 2/13/13 217.25 3,382.35

SAMUEL MERLO FINANCIAL EXAMINER INSURANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT SOFE-7/20-24 6/20/13 1,798.60

SAMUEL MERLO FINANCIAL EXAMINER INSURANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT SOFE-9/4 8/26/13 270.51

SAMUEL MERLO FINANCIAL EXAMINER INSURANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT SOFE-7/20 9/13/13 131.27 2,200.38SEAN O'DONNELL SUPERVISORY FINANCIAL EXAMINER 6000 RISK FINANCE 2200 INSURANCE ASSESSMENT NAIC-4/5-8/13 3/27/13 1,291.46

SEAN O'DONNELL SUPERVISORY FINANCIAL EXAMINER 6000 RISK FINANCE 2200 INSURANCE ASSESSMENT NAICSPRING-4/5 4/29/13 70.00

Appendix 5


Code

Program Title Agy

Fund


Empl/Vendor

SEAN O'DONNELL SUPERVISORY FINANCIAL EXAMINER 6000 RISK FINANCE 2800 CAPTIVE INSURANCE TRAVADV.-1/28 1/17/13 1,297.20

SEAN O'DONNELL SUPERVISORY FINANCIAL EXAMINER 6000 RISK FINANCE 2800 CAPTIVE INSURANCE CAPT.CONF.3/10 2/13/13 1,858.68

SEAN O'DONNELL SUPERVISORY FINANCIAL EXAMINER 6000 RISK FINANCE 2800 CAPTIVE INSURANCE WLDCAPT.1/28 2/13/13 147.96

SEAN O'CONNEL-Travel Reimb SUPERVISORY FINANCIAL EXAMINER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 080913 (901.24)

SEAN O'CONNEL-Travel Reimb SUPERVISORY FINANCIAL EXAMINER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 092713 (925.67) 2,838.39SENAYET MEAZA DIRECTOR MARKET EXAMINATIONS 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND SMEAZA-TCROSS 3/25/13 2,985.00

SENAYET MEAZA DIRECTOR MARKET EXAMINATIONS 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND ACFE-6/22 4/11/13 3,264.70

SENAYET MEAZA DIRECTOR MARKET EXAMINATIONS 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND BDAGENT-5/30 4/29/13 845.80

SENAYET MEAZA DIRECTOR MARKET EXAMINATIONS 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND NASAA-5/30 6/13/13 149.30

SENAYET MEAZA DIRECTOR MARKET EXAMINATIONS 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND NASAA-7/14 6/20/13 902.80

SENAYET MEAZA DIRECTOR MARKET EXAMINATIONS 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND ACFE-6/22-REIM 7/12/13 46.60

SENAYET MEAZA DIRECTOR MARKET EXAMINATIONS 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND NASAA-7/14REIM 8/1/13 89.74

SENAYET MEAZA DIRECTOR MARKET EXAMINATIONS 8000 MARKET EXAMINATIONS 2350 SECURITIES AND BANKING FUND NASAACONF-9/24 9/25/13 2,048.76

SENAYET MEAZA- Travel Reimb DIRECTOR MARKET EXAMINATIONS 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND 061413 (866.60) 9,466.10

SHARON SHIPP CONSUMER SERVICES SPECIALIST 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAIC-4/5-9 3/27/13 1,520.28

SHARON SHIPP CONSUMER SERVICES SPECIALIST 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICSPRING-4/5 4/29/13 138.80

SHARON SHIPP CONSUMER SERVICES SPECIALIST 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICSUM-8/23 8/14/13 1,553.05

SHARON SHIPP CONSUMER SERVICES SPECIALIST 8000 MARKET EXAMINATIONS 2350 SECURITIES AND BANKING FUND SILA-9/21 8/26/13 1,675.39

SHARON SHIPP CONSUMER SERVICES SPECIALIST 8000 MARKET EXAMINATIONS 2350 SECURITIES AND BANKING FUND SILA-9/21REIM 10/16/13 67.99

SHARON SHIPP-Travel Reimb CONSUMER SERVICES SPECIALIST 8000 MARKET EXAMINATIONS 2350 SECURITIES AND BANKING FUND 093013 (11.51) 4,944.00SIMONE MANIGO-TRUELL DOSSANTOS ASSISTANT ATTORNEY GENERAL 5000 BANKING 2350 SECURITIES AND BANKING FUND CSBSCONF-7/30 6/28/13 1,057.56

SIMONE MANIGO-TRUELL DOSSANTOS ASSISTANT ATTORNEY GENERAL 5000 BANKING 2350 SECURITIES AND BANKING FUND 15170 7/3/13 1,790.00

SIMONE MANIGO-TRUELL DOSSANTOS ASSISTANT ATTORNEY GENERAL 5000 BANKING 2350 SECURITIES AND BANKING FUND CSBSCONF-7/30 8/21/13 111.00 2,958.56STEPHEN PERRY ASSOCIATE COMMISSIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2200 INSURANCE ASSESSMENT NAIC-4/6-9 3/27/13 1,221.66

STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2350 SECURITIES AND BANKING FUND MIDATLAN-6/5 5/23/13 326.82

STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2350 SECURITIES AND BANKING FUND SECENF.-6/5 6/21/13 53.84

STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2100 HMO ASSESSMENT 2013INSFRAUD 2/27/13 73.64

STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2100 HMO ASSESSMENT TRAVREIM-10/2 10/15/12 82.33

STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2100 HMO ASSESSMENT INSFRAUD-3/10 3/29/13 2.25

STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2100 HMO ASSESSMENT 2013FRAUD-8/13 6/27/13 99.83

STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2200 INSURANCE ASSESSMENT 2013INSFRAUD 2/27/13 399.75

STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2200 INSURANCE ASSESSMENT TRAVREIM-10/2 10/15/12 446.91

STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2200 INSURANCE ASSESSMENT INSFRAUD-3/10 3/29/13 12.24

STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2200 INSURANCE ASSESSMENT 2013FRAUD-8/13 6/27/13 541.92

STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2350 SECURITIES AND BANKING FUND 2013INSFRAUD 2/27/13 462.87

STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2350 SECURITIES AND BANKING FUND TRAVREIM-10/2 10/15/12 517.47

STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2350 SECURITIES AND BANKING FUND INSFRAUD-3/10 3/29/13 14.18

STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2350 SECURITIES AND BANKING FUND 2013FRAUD-8/13 6/27/13 627.48

STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2800 CAPTIVE INSURANCE 2013INSFRAUD 2/27/13 115.72

STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2800 CAPTIVE INSURANCE TRAVREIM-10/2 10/15/12 129.37

STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2800 CAPTIVE INSURANCE INSFRAUD-3/10 3/29/13 3.54

STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2800 CAPTIVE INSURANCE 2013FRAUD-8/13 6/27/13 156.87

STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2200 INSURANCE ASSESSMENT IRES-7/27-30 6/20/13 1,064.37

STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICSUMM-8/23 8/14/13 1,078.76

STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 8000 MARKET EXAMINATIONS 2200 INSURANCE ASSESSMENT IRES-7/27-30 8/21/13 106.41

STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2100 HMO ASSESSMENT 2013FRAUD-8/13 8/26/13 3.78

STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2200 INSURANCE ASSESSMENT 2013FRAUD-8/13 8/26/13 20.54

STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2350 SECURITIES AND BANKING FUND 2013FRAUD-8/13 8/26/13 23.78

STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2800 CAPTIVE INSURANCE 2013FRAUD-8/13 8/26/13 5.95

STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 8/24-26NAICSUM 9/13/13 98.55

STEPHEN PERRY-Travel Reimb ASSOCIATE COMMISSIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2200 INSURANCE ASSESSMENT 042613 (97.37) 7,593.46

STEPHANIE SCHMELZ ASSISTANT ATTORNEY GENERAL 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT CHARHEALTH8.27 8/21/13 678.77

STEPHANIE SCHMELZ ASSISTANT ATTORNEY GENERAL 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT CHARHEALT8.27 9/24/13 151.40 830.17

Appendix 5


Code

Program Title Agy

Fund


Empl/Vendor

SYBONGILE COOK PROGRAM MANAGER (ECON. DEVELOPMENT) 5000 BANKING 2350 SECURITIES AND BANKING FUND UNDERBANK-6/5 5/23/13 857.34 857.34

TAMMIE BARRETT BANKING EXAMINER 5000 BANKING 2350 SECURITIES AND BANKING FUND AARMR-4/28 4/4/13 1,262.87

TAMMIE BARRETT BANKING EXAMINER 5000 BANKING 2350 SECURITIES AND BANKING FUND 54242064-BARRE 4/9/13 945.00

TAMMIE BARRETT-Travel Reimbursement BANKING EXAMINER 5000 BANKING 2350 SECURITIES AND BANKING FUND 062113 (89.39) 2,118.48

THEODORE CROSS SECURITIES FINANCIAL EXAMINER 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND NASAAINV-8/11 7/31/13 961.13

THEODORE CROSS SECURITIES FINANCIAL EXAMINER 8000 MARKET EXAMINATIONS 2350 SECURITIES AND BANKING FUND NASAAINV-8/11 9/13/13 438.05

THEODORE CROSS-Travel Reimb SECURITIES FINANCIAL EXAMINER 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND 083013 (1,232.40) 166.78THEODORE MILES DIRECTOR OF SECURITIES 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND MIDATLAN-6/5 5/23/13 366.82

THEODORE MILES DIRECTOR OF SECURITIES 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND MIDATLAN-6/5 9/13/13 94.00

THEODORE MILES DIRECTOR OF SECURITIES 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND NASAACONF-10/5 9/25/13 1,717.56

THEODORE MILES-Travel Reimb DIRECTOR OF SECURITIES 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND 042613 (1,623.48) 554.90

THOMAS GLASSIC GENERAL COUNSEL 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT TRAVREIM-NAIC 11/20/12 392.50

THOMAS GLASSIC GENERAL COUNSEL 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT TRAVREIM-BERM. 11/20/12 100.50

THOMAS GLASSIC GENERAL COUNSEL 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT TRAVREIM-NASAA 11/20/12 147.66

THOMAS GLASSIC GENERAL COUNSEL 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT TRAVREIM-BASEL 11/30/12 437.50

THOMAS GLASSIC GENERAL COUNSEL 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAIC 4/6-9 3/27/13 1,520.28

THOMAS GLASSIC GENERAL COUNSEL 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 4/10-13-IAIS 4/4/13 694.95

THOMAS GLASSIC GENERAL COUNSEL 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICREIM-4/6-9 7/29/13 63.00

THOMAS GLASSIC GENERAL COUNSEL 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT IAISREIM-4/10 7/29/13 48.96

THOMAS GLASSIC-Travel Reimbursement GENERAL COUNSEL 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 121412 (463.98) 2,941.37

TIWANA HICKS BANKING LICENSING MANAGER 5000 BANKING 2350 SECURITIES AND BANKING FUND NMLS CONF-2/26 3/18/13 1,380.37

TIWANA HICKS BANKING LICENSING MANAGER 5000 BANKING 2350 SECURITIES AND BANKING FUND NACCA-6/10 5/24/13 1,228.12

TIWANA HICKS BANKING LICENSING MANAGER 5000 BANKING 2350 SECURITIES AND BANKING FUND NACCA-6/10 7/5/13 353.43

TIWANA HICKS BANKING LICENSING MANAGER 5000 BANKING 2350 SECURITIES AND BANKING FUND MTRA2013-9/25 9/18/13 1,827.37 4,789.29WARREN HOCHBAUM SUPERVISORY BANK EXAMINER 5000 BANKING 2350 SECURITIES AND BANKING FUND 14532-HOCHBAUM 6/7/13 325.00

WARREN HOCHBAUM SUPERVISORY BANK EXAMINER 5000 BANKING 2350 SECURITIES AND BANKING FUND AARMR-4/28 4/4/13 1,275.85

WARREN HOCHBAUM SUPERVISORY BANK EXAMINER 5000 BANKING 2350 SECURITIES AND BANKING FUND AARMR-4/28 5/17/13 177.05

WARREN HOCHBAUM SUPERVISORY BANK EXAMINER 5000 BANKING 2350 SECURITIES AND BANKING FUND IIB-NEWYORK 2/14/13 499.96

WARREN HOCHBAUM SUPERVISORY BANK EXAMINER 5000 BANKING 2350 SECURITIES AND BANKING FUND NACCA-6/10 5/24/13 1,228.12

WARREN HOCHBAUM SUPERVISORY BANK EXAMINER 5000 BANKING 2350 SECURITIES AND BANKING FUND NACCA-6/10 7/5/13 344.92

WARREN HOCHBAUM SUPERVISORY BANK EXAMINER 5000 BANKING 2350 SECURITIES AND BANKING FUND K8NFYS74BV3 12/7/12 995.00 4,845.90

WILLIAM WHITE COMMISSIONER 1000 AGENCY MANANGEMENT PROGRAM 2100 HMO ASSESSMENT TRAVADV-BASEL 1/22/13 37.80

WILLIAM WHITE COMMISSIONER 1000 AGENCY MANANGEMENT PROGRAM 2100 HMO ASSESSMENT IAIS,NO-1/13 3/4/13 55.64

WILLIAM WHITE COMMISSIONER 1000 AGENCY MANANGEMENT PROGRAM 2200 INSURANCE ASSESSMENT TRAVADV-BASEL 1/22/13 205.20

WILLIAM WHITE COMMISSIONER 1000 AGENCY MANANGEMENT PROGRAM 2200 INSURANCE ASSESSMENT IAIS,NO-1/13 3/4/13 302.04

WILLIAM WHITE COMMISSIONER 1000 AGENCY MANANGEMENT PROGRAM 2200 INSURANCE ASSESSMENT IAIS,BASEL2/23 3/22/13 515.10



WILLIAM WHITE COMMISSIONER 1000 AGENCY MANANGEMENT PROGRAM 2200 INSURANCE ASSESSMENT NAICJOINT-6/10 5/30/13 315.00

WILLIAM WHITE COMMISSIONER 1000 AGENCY MANANGEMENT PROGRAM 2200 INSURANCE ASSESSMENT NAICIAIS-6/14 5/30/13 810.00

WILLIAM WHITE COMMISSIONER 1000 AGENCY MANANGEMENT PROGRAM 2200 INSURANCE ASSESSMENT ASEAN-OIC-7/19 7/5/13 535.50

WILLIAM WHITE COMMISSIONER 1000 AGENCY MANANGEMENT PROGRAM 2200 INSURANCE ASSESSMENT ASEAN/OIC-7/13 7/5/13 566.50

WILLIAM WHITE COMMISSIONER 1000 AGENCY MANANGEMENT PROGRAM 2350 SECURITIES AND BANKING FUND TRAVADV-BASEL 1/22/13 237.60

WILLIAM WHITE COMMISSIONER 1000 AGENCY MANANGEMENT PROGRAM 2350 SECURITIES AND BANKING FUND IAIS,NO-1/13 3/4/13 349.73

WILLIAM WHITE COMMISSIONER 1000 AGENCY MANANGEMENT PROGRAM 2350 SECURITIES AND BANKING FUND IAIS,BASEL2/23 3/22/13 596.41

WILLIAM WHITE COMMISSIONER 1000 AGENCY MANANGEMENT PROGRAM 2800 CAPTIVE INSURANCE TRAVADV-BASEL 1/22/13 59.40

WILLIAM WHITE COMMISSIONER 1000 AGENCY MANANGEMENT PROGRAM 2800 CAPTIVE INSURANCE IAIS,NO-1/13 3/4/13 87.43

WILLIAM WHITE COMMISSIONER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAIC-4/6-9 3/27/13 248.50

WILLIAM WHITE COMMISSIONER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 4/17-22-IAIS 4/4/13 405.00

WILLIAM WHITE COMMISSIONER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICSPRING-4/6 5/17/13 97.40

WILLIAM WHITE COMMISSIONER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICIAIS-4/16 6/13/13 397.42 6,065.67

Appendix 5


Code

Program Title Agy

Fund


Empl/Vendor

XIANGCHUN LI FINANCIAL EXAMINER & ANALYST 6000 RISK FINANCE 2200 INSURANCE ASSESSMENT NAICFIN.-5/29 5/17/13 1,180.93

XIANGCHUN LI FINANCIAL EXAMINER & ANALYST 6000 RISK FINANCE 2200 INSURANCE ASSESSMENT NAICFINAN-5/29 6/13/13 45.42

XIANGCHUN LI FINANCIAL EXAMINER & ANALYST 6000 RISK FINANCE 2800 CAPTIVE INSURANCE SOFE,7/20/13 6/7/13 1,277.70

XIANGCHUN LI FINANCIAL EXAMINER & ANALYST 6000 RISK FINANCE 2800 CAPTIVE INSURANCE SOFE-7/20 8/20/13 113.82

XIANGCHUN LI-Travel Reimb FINANCIAL EXAMINER & ANALYST 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 080213 (991.67)

XIANGCHUN LI FINANCIAL EXAMINER & ANALYST 6000 RISK FINANCE 2800 CAPTIVE INSURANCE 512-XIANGCHUNL 5/29/13 530.00 2,156.20

161,426.60 161,426.60

Appendix 5

Employee/Vendor Name Job Title Program Code Program Title Agy Fund Agy Fund Title Description Travel Date Trans Amt Total by

EmployeeCHERYL OWENS COMPLIANCE ANALYST 8000 MARKET EXAMINATIONS 2350 SECURITIES AND BANKING FUND TRAVREIM-SILA 12/4/13 71.00 71.00CHESTER MCPHERSON DEPUTY COMMISSIONER FOR MARKET

OPERATIONS*

3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND CSBS-10/2 (571.96)

CHESTER MCPHERSON DEPUTY COMMISSIONER FOR MARKET OPERATIONS 5000 BANKING 2350 SECURITIES AND BANKING FUND 1236504-AARMR 12/23/13 875.00 303.04

CHRISTOPHER WEAVER ASSOCIATE COMMISSIONER FOR BANKING 5000 BANKING 2350 SECURITIES AND BANKING FUND CSBSDIST1-1028 12/19/13 986.00

CHRIS WEAVER ASSOCIATE COMMISSIONER FOR BANKING 5000 BANKING 2350 SECURITIES AND BANKING FUND #15831-WEAVER 12/10/13 250.00 1,236.00DANA SHEPPARD ASSOCIATE COMMISSIONER FOR RISK FINANCE** 6000 RISK FINANCE 2800 CAPTIVE INSURANCE WORLDCAPT-1/29 1/13/14 1,150.17 1,150.17

DENA REED GENERAL COUNSEL 1000 AGENCY MANANGEMENT PROGRAM 2350 SECURITIES AND BANKING FUND NASAA-10/5 10/31/13 39.70 39.70GEORGE ADU SECUR FINAN EXAM (RPT & DISCL) 8000 MARKET EXAMINATIONS 2350 SECURITIES AND BANKING FUND NASAACORP-1114 12/6/13 1,141.18

GEORGE ADU SECUR FINAN EXAM (RPT & DISCL) 8000 MARKET EXAMINATIONS 2350 SECURITIES AND BANKING FUND 122013 (2,914.21) (1,773.03)JAMES MCMANUS ASSISTANT DIRECTOR 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND NASAACONF-10/5 11/7/13 287.66

JAMES MCMANUS ASSISTANT DIRECTOR 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND NASAACORP-1114 12/6/13 1,081.76

JAMES MCMANUS ASSISTANT DIRECTOR 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND 2577-MCMANUS 12/10/13 185.00 1,554.42JULIANA TENGEN INVESTIGATOR FRAUD 4000 ENFORCEMENT PROGRAM 2100 HMO ASSESSMENT FNINVEST.11/18 11/6/13 86.86

JULIANA TENGEN INVESTIGATOR FRAUD 4000 ENFORCEMENT PROGRAM 2200 INSURANCE ASSESSMENT FNINVEST.11/18 11/6/13 471.52

JULIANA TENGEN INVESTIGATOR FRAUD 4000 ENFORCEMENT PROGRAM 2350 SECURITIES AND BANKING FUND FNINVEST.11/18 11/6/13 545.96

JULIANA TENGEN INVESTIGATOR FRAUD 4000 ENFORCEMENT PROGRAM 2800 CAPTIVE INSURANCE FNINVEST.11/18 11/6/13 136.49

JULIANA TENGEN INVESTIGATOR FRAUD 4000 ENFORCEMENT PROGRAM 2100 HMO ASSESSMENT FNINVEST-11/18 12/6/13 6.68

JULIANA TENGEN INVESTIGATOR FRAUD 4000 ENFORCEMENT PROGRAM 2200 INSURANCE ASSESSMENT FNINVEST-11/18 12/6/13 36.27

JULIANA TENGEN INVESTIGATOR FRAUD 4000 ENFORCEMENT PROGRAM 2350 SECURITIES AND BANKING FUND FNINVEST-11/18 12/6/13 41.99

JULIANA TENGEN INVESTIGATOR FRAUD 4000 ENFORCEMENT PROGRAM 2800 CAPTIVE INSURANCE FNINVEST-11/18 12/6/13 10.50 1,336.27JUNIA TELAMOUR COMPLIANCE ANALYST 8000 MARKET EXAMINATIONS 2350 SECURITIES AND BANKING FUND NASACONF-10/5 (2,019.66) (2,019.66)KAREN COLES INVESTIGATOR FRAUD 4000 ENFORCEMENT PROGRAM 2100 HMO ASSESSMENT FINPRACT-10/20 11/6/13 102.68

KAREN COLES INVESTIGATOR FRAUD 4000 ENFORCEMENT PROGRAM 2200 INSURANCE ASSESSMENT FINPRACT-10/20 11/6/13 557.42

KAREN COLES INVESTIGATOR FRAUD 4000 ENFORCEMENT PROGRAM 2350 SECURITIES AND BANKING FUND FINPRACT-10/20 11/6/13 645.44

KAREN COLES INVESTIGATOR FRAUD 4000 ENFORCEMENT PROGRAM 2800 CAPTIVE INSURANCE FINPRACT-10/20 11/6/13 161.36 1,466.90MARGARET SCHRUENDER DEPUTY COMMISSIONER FOR MARKET COMPLIANCE 8000 MARKET EXAMINATIONS 2200 INSURANCE ASSESSMENT 102513 (200.00) (200.00)

MICHAEL FLAGG COMMUNICATIONS DIRECTOR 1000 AGENCY MANANGEMENT PROGRAM 2200 INSURANCE ASSESSMENT NAICREIM-9/23 12/19/13 138.00 138.00NATHANIEL BROWN SUPERVISORY INSURANCE OPERATIONS EXAMINER

AUDIT

2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 101113 (867.75) (867.75)

ROBERT LOPROTO INVESTIGATOR FRAUD 1000 AGENCY MANANGEMENT PROGRAM 2100 HMO ASSESSMENT NABI-10/8 10/31/13 53.62

ROBERT LOPROTO INVESTIGATOR FRAUD 1000 AGENCY MANANGEMENT PROGRAM 2200 INSURANCE ASSESSMENT NABI-10/8 10/31/13 291.07

ROBERT LOPROTO INVESTIGATOR FRAUD 1000 AGENCY MANANGEMENT PROGRAM 2350 SECURITIES AND BANKING FUND NABI-10/8 10/31/13 337.03

ROBERT LOPROTO INVESTIGATOR FRAUD 1000 AGENCY MANANGEMENT PROGRAM 2800 CAPTIVE INSURANCE NABI-10/8 10/31/13 84.26 765.98SEAN O'DONNELL SUPERVISORY FINANCIAL EXAMINER 6000 RISK FINANCE 2800 CAPTIVE INSURANCE WORLDCAPT.1-29 1/13/14 1,053.72 1,053.72SENAYET MEAZA DIRECTOR MARKET EXAMINATIONS 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND NASAACONF-10/5 10/31/13 156.50 156.50STEPHEN PERRY ASSOCIATE COMMISSIONER FOR ENFORCEMENT 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 120613 (1,053.03) (1,053.03)

WILLIAM WHITE COMMISSIONER 1000 AGENCY MANANGEMENT PROGRAM 2100 HMO ASSESSMENT TRAV-TAXIREIM. 12/6/13 73.93

WILLIAM WHITE COMMISSIONER 1000 AGENCY MANANGEMENT PROGRAM 2200 INSURANCE ASSESSMENT TRAV-TAXIREIM. 12/6/13 401.35

WILLIAM WHITE COMMISSIONER 1000 AGENCY MANANGEMENT PROGRAM 2350 SECURITIES AND BANKING FUND TRAV-TAXIREIM. 12/6/13 464.72

WILLIAM WHITE COMMISSIONER 1000 AGENCY MANANGEMENT PROGRAM 2800 CAPTIVE INSURANCE TRAV-TAXIREIM. 12/6/13 116.18

WILLIAM WHITE COMMISSIONER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 111513 (1,150.04) (93.86)Total 3,264.37 3,264.37

*INTERIM COMMISSIONER**ACTING DEPUTY COMMISSIONER FOR MARKET OPERATIONS

Appendix 6


Travel Report -FISCAL YEAR 2014

Appendix 6

Agy FundGAAP Category TitleObject Code Description Approved Budget Actual Expenditure Available Balance

0011 REGULAR PAY - CONT FULL TIME 575,760 542,473 33,287

0012 REGULAR PAY - OTHER 76,569 75,475 1,095

0013 ADDITIONAL GROSS PAY 5,372 2,929 2,443

0014 FRINGE BENEFITS - CURR PERSONNEL 132,749 127,343 5,406

0015 OVERTIME PAY - 489 (489)

790,450 748,709 41,741

0020 SUPPLIES AND MATERIALS 3,694 3,176 518

0031 TELEPHONE, TELEGRAPH, TELEGRAM, ETC 6,063 7,662 (1,599)

0032 RENTALS - LAND AND STRUCTURES 130,733 110,025 20,708

0035 OCCUPANCY FIXED COSTS 2,298 2,298 -

0040 OTHER SERVICES AND CHARGES 59,859 8,994 50,865

0041 CONTRACTUAL SERVICES - OTHER 8,085 5,600 2,485

0050 SUBSIDIES AND TRANSFERS 93,620 93,620 -

0070 EQUIPMENT & EQUIPMENT RENTAL 28,273 23,694 4,579

332,625 255,069 77,556

1,123,075 1,003,778 119,297 TOTAL HMO ASSESSMENT

2100 PERSONNEL SERVICES

PERSONNEL SERVICES

NON-PERSONNEL SERVICES


O-TYPE FUNDS

Agy Fund Title: HMO TRUST FUND

Appendix 7


FY2013 Budget VS Expenditure

Appendix 7


0011 REGULAR PAY - CONT FULL TIME 3,780,680 3,315,815 464,864




0015 OVERTIME PAY 16,803 387 16,416

4,861,829 4,160,916 700,913

0020 SUPPLIES AND MATERIALS 20,053 17,239 2,814

0031 TELEPHONE, TELEGRAPH, TELEGRAM, ETC 35,954 35,954 -

0032 RENTALS - LAND AND STRUCTURES 709,693 709,693 -






1,948,078 1,597,117 350,961

6,809,907 5,758,033 1,051,874 TOTAL INSURANCE ASSESSMENT

Agy Fund Title: INSURANCE TRUST FUND


PERSONNEL SERVICES



Appendix 7




0013 ADDITIONAL GROSS PAY 55,610 82,170 (26,560)


0015 OVERTIME PAY 3,500 649 2,851

5,515,756 5,040,175 475,582

0020 SUPPLIES AND MATERIALS 23,218 19,961 3,257



0035 OCCUPANCY FIXED COSTS 14,442 7,036 7,406



0050 SUBSIDIES AND TRANSFERS 588,471 460,241 128,230


2,362,612 1,936,277 426,335

7,878,368 6,976,452 901,916 TOTAL SECURITIES AND BANKING FUND

Agy Fund Title: SECURITIES AND BANKING FUND


PERSONNEL SERVICES



Appendix 7



0013 ADDITIONAL GROSS PAY 6,130 5,750 379


0015 OVERTIME PAY 647 105 542

1,492,041 1,221,932 270,109

0020 SUPPLIES AND MATERIALS 5,805 4,990 815

0031 TELEPHONE, TELEGRAPH, TELEGRAM, ETC 10,408 10,408 -







564,660 488,057 76,603

2,056,702 1,709,989 346,712

17,868,052 15,448,252 2,419,800

TOTAL CAPTIVE INSURANCE

TOTAL O-TYPE FUNDS

Agy Fund Title: CAPTIVE INSURANCE TRUST FUND


PERSONNEL SERVICES



Appendix 7

Agy Fund Title: INTRA-DISTRICTS

Agy FundGAAP Category TitleObject Code Description Approved Budget Actual Expenditure Variance

7100 NON-PERSONNEL SERVICES0040 OTHER SERVICES AND CHARGES 81,000 81,000 -

NON-PERSONNEL SERVICES 81,000 81,000 -

TOTAL INTRA-DISTRICTS 81,000 81,000 -

INTRADISTRICT FUNDS

Appendix 7


0011 REGULAR PAY - CONT FULL TIME 620,937 110,402 510,534




0015 OVERTIME PAY - 67 (67)

894,277 155,407 738,871

0020 SUPPLIES AND MATERIALS 3,882 - 3,882

0031 TELEPHONE, TELEGRAPH, TELEGRAM, ETC 6,366 1,728 4,638

0032 RENTALS - LAND AND STRUCTURES 121,688 - 121,688

0035 OCCUPANCY FIXED COSTS 4,374 - 4,374


0041 CONTRACTUAL SERVICES - OTHER 8,085 - 8,085

0050 SUBSIDIES AND TRANSFERS 113,226 - 113,226


345,884 32,778 313,106

1,240,162 188,185 1,051,977 TOTAL HMO ASSESSMENT

Appendix 8

O-TYPE FUNDS

2100

PERSONNEL SERVICES





Appendix 8



0011 REGULAR PAY - CONT FULL TIME 3,522,696 772,836 2,749,860




0015 OVERTIME PAY

4,568,279 999,654 3,568,625









2,020,213 213,751 1,806,462

6,588,492 1,213,405 5,375,087 TOTAL INSURANCE ASSESSMENT


2200

PERSONNEL SERVICES


Appendix 8



0011 REGULAR PAY - CONT FULL TIME 5,183,664 1,021,823 4,300,470



0014 FRINGE BENEFITS - CURR PERSONNEL 1,055,856 192,886 862,970

0015 OVERTIME PAY 20,950 - 20,950

6,355,024 1,261,169 5,232,485




0034 SECURITY SERVICES 5,421 - 5,421






2,481,068 354,776 2,126,293

8,836,092 1,450,173 7,358,777 TOTAL SECURITIES AND BANKING FUND


2350

PERSONNEL SERVICES


Appendix 8



0011 REGULAR PAY - CONT FULL TIME 1,247,766 274,764 973,002

0012 REGULAR PAY - OTHER 9,736 - 9,736

0013 ADDITIONAL GROSS PAY 389 4,666 (4,277)


1,536,915 332,006 1,204,909


0031 TELEPHONE, TELEGRAPH, TELEGRAM, ETC 10,004 880 9,124







583,896 51,877 532,020

2,120,811 383,883 1,736,929

18,785,557 3,235,646 15,522,770 TOTAL O-TYPE FUNDS


2800

PERSONNEL SERVICES


TOTAL CAPTIVE INSURANCE

Appendix 8

FY 2013

Date Description Amount

10.25.13

Request for Reprogramming of Federal Grant Funds .This funding will support program

activities by redirecting CGS 11- Regular Pay – Continuing Full Time, to CSG 12 Regular Pay -

Other, CSG 13 Additional Gross Pay . $286,657

10.24.13

Request for Reprogramming of O-Type Funds . This funding will support program activities

by redirecting CGS 11- Regular Pay – Continuing Full Time, to CSG 12 Regular Pay - Other,

CSG 14 Benefits. $91,132 Total $377,789

FY 2014

Date Description Amount

None

Reprogramming

Appendix 9


Appendix 9

FY 2013

From/To Transfer Type Amount

Department of Health Received $81,000

Municipal Facilities: Non-Capital Transferred $1,846,904

Office of Contracting and Procurement Transferred $103,754

Office of the Chief Technology Officer Transferred $37,342

Office of Finance and Resource Management Transferred $25,417

Office of the Attorney General for the District of Columbia Transferred $1,252,875

FY 2014

From/To Transfer Type Amount

Office of Contracting and Procurement Transferred $95,533

Office of the Chief Technology Officer Transferred $39,947


Intra-District transfers

Appendix 10

Appendix 10

Fund Detail Fund Detail Title Source of funding Description FY2013 RevenueFY2013 Actual

Expenditure

FY2014

Revenue

01/17/2014

FY2014 Actual

Expenditure

2100 HMO Assessment Health Insurance Companies An assessment on health care organizations 574,552 886,170 17 188,185

2200 Insurance Assessment Insurance Companies An assessment on Insurance Companies 4,847,831 5,814,041 60,444 1,213,405

2300 Securities Broker/Dealer Licenses Securities Broker and Dealer

A license to oprate as broker/Dealer in the District.

(reverts to local fund at year end)

3,307,386 5,523,945 136,946

2350 Securities and Banking Fund

Banking Institutions , Mortgage Companies

and Securities Firms and Companies

Funds collected are used for the agency operating

Budget

6,908,419 7,038,052 2,159,138 1,450,173

2500 Securities Investment Advisors Fees Securities Broker and Dealer

A license to operate as Securities investment advisers.

(reverts to local fund at year end)

517,386 467,195

2600 Securities Registration Fees Investment Companies

Fees that are required by DC code associated with the

registration and notice filling sale of securities in the

district(revert to local fund at the year end)

11,607,125 4,980,589

2800 Captive Premium Taxes and Fees * Licensed captive insurance companies Premium Taxes, A license to engage in business offers

2,113,992 1,709,989 38,410 383,883

29,876,691 15,448,252 13,229,737 3,372,591

* Premium Taxes

Agency Insurance Premium Taxes are reflected in Local Funds

FY13 Premium Taxes Revenue 77,548,848$

FY14 Premium Taxes Revenue (YTD) 150,447$


Special Purpose Revenue

FY2013-FY2014 Revenue & Expenditure

Appendix 11

Appendix 11

Approp Fund GAAP Category TitleComp Source Group TitleBudget Total Expenditures Available Balance Unspent

FundsExplanation for Savings in all funds

790,450.13 748,709.1 41,741.03 Surplus in personnel services is due to vacancy savings. The agency had

difficulty in filling multiple positions in FY 2013 and effort has begun to fill

them in FY 2104.

239,939.25 161,448.47 78,490.78Surplus in non personnel services is due to the following factors: 1) Office

Support: The planned office build-out could not be completed in FY 2013 and

will continue into FY 2014. 2) Printing: There was a conscious effort on the

part of the agency to cut back on promotional and printing items. 3) Training

and Travel: There was a cut back on training and travel due to Mayor’s

restriction. 4) Transfers: There was vacancy savings due to unfilled positions

in OAG Staff. 5) Equipment: The agency postponed the file net modification

project.

1,030,389.38 910,157.57 120,231.81

Approp Fund GAAP Category TitleComp Source Group TitleBudget Total Expenditures Available Balance

4,861,829.04 4,160,916.15 700,912.89

1,948,078.18 1,597,116.74 350,961.44

6,809,907.22 5,758,032.89 1,051,874.33


5,515,756.09 5,040,174.51 475,581.58

Appendix 12


FY2013 Overspending Underspending

PERSONNEL SERVICES


Fund

Balance

HMO ASSESSMENT

PERSONNEL SERVICES


Fund

Balance

General

fund


PERSONNEL SERVICES



INSURANCE ASSESSMENT

Appendix 12

2,362,612.2 1,997,877.45 364,734.75

7,878,368.29 7,038,051.96 840,316.33


1,492,041.42 1,221,932 270,109.42

564,660.21 488,057.25 76,602.96

2,056,701.63 1,709,989.25 346,712.38

2,056,701.63 1,709,989.25 346,712.38

SECURITIES AND BANKING FUND

General

fund

General

fund

CAPTIVE INSURANCE

2800


PERSONNEL SERVICES



Appendix 12

Grant No Grant No Title GAAP Category TitleComp Source Group Comp Source Group Title Approved Budget Total Expenditures Revenue

0011 REGULAR PAY - CONT FULL TIME 141,383 140,195 -

0012 REGULAR PAY - OTHER 224,120 251,009 -

0014 FRINGE BENEFITS - CURR PERSONNEL 71,499 71,497 -

437,002 462,701 -

0041 CONTRACTUAL SERVICES - OTHER 249,998 249,998 -

0070 EQUIPMENT & EQUIPMENT RENTAL 25,701 - -

275,699 249,998 -

IBPRII Total IBPRII 712,701 712,700 712,700

0011 REGULAR PAY - CONT FULL TIME 118,598 80,307 -

0013 ADDITIONAL GROSS PAY - 0 -


142,734 96,565 -

0020 SUPPLIES AND MATERIALS 3,000 - -

0040 OTHER SERVICES AND CHARGES 69,145 - -

0050 SUBSIDIES AND TRANSFERS 4,126,677 - -


4,202,822 - -

Total SSBCI1 4,345,556 96,565 79,903

PERSONNEL SERVICES


Federal Grants

FY2013

IBPRII HEALTH INSURANCE RATE REVIEW

PHASE II

PERSONNEL SERVICES


SSBCI1 STATE SMALL BUSINESS CREDIT

INITIATIVE

Appendix 13

Department of Insurance Securities and Banking

Appendix 13

Grant No Grant No Title GAAP Category TitleComp Source Group Comp Source Group Title Approved Budget Total Expenditures Revenue

0011 REGULAR PAY - CONT FULL TIME - 30,221 -

0012 REGULAR PAY - OTHER 585,209 46,133 -


709,360 91,376 -

0040 OTHER SERVICES AND CHARGES 115,856 72,073 -

0041 CONTRACTUAL SERVICES - OTHER 245,000 217,890 -


495,856 289,963 -

IBPRII Total IBPRII 1,205,216 381,339 -

0011 REGULAR PAY - CONT FULL TIME - 26,759 -

0012 REGULAR PAY - OTHER 109,442 - -


132,654 30,124 -

0020 SUPPLIES AND MATERIALS 3,000 - -

0040 OTHER SERVICES AND CHARGES 69,145 - -

0050 SUBSIDIES AND TRANSFERS 1,000,000 - -


1,076,145 - -

SSBCI1 Total SSBCI1 1,208,799 30,124 -

2,414,015 411,464 - 0200

Federal Grants

FY2014

IBPRII HEALTH INSURANCE RATE REVIEW

PHASE II

PERSONNEL SERVICES

SSBCI1 STATE SMALL BUSINESS CREDIT

INITIATIVE



PERSONNEL SERVICES

Appendix 13

Agy Object Agy Object Title Budget Total Expenditures

0308 TELEPHONE,TELETYPE,TELEGRAM,ETC 101,041 103,754

0309 RENTALS-LAND AND STRUCTURES 1,867,612 1,846,904

0310 OCCUPANCY FIXED COSTS 32,823 25,417

0404 MAINTENANCE AND REPAIRS - AUTO 12 -

0416 POSTAGE 45,000 28,000

FY13 Fixed Cost Total 2,046,489 2,004,076

Agy Object Agy Object Title Budget Total Expenditures

0308 TELEPHONE,TELETYPE,TELEGRAM,ETC 90,948 95,533

0309 RENTALS-LAND AND STRUCTURES 1,738,405 -

0310 OCCUPANCY FIXED COSTS 62,484 -

0404 MAINTENANCE AND REPAIRS - AUTO 12 -

0416 POSTAGE 40,000 30,000

1,931,850 125,533

FY14 Fixed Cost Total 5,431,062 651,384

FY14 Fixed Cost Budget and Actual Expenditures

FY13 Fixed Cost Budget and Actual Expenditures

Appendix 14


Appendix 14

DISTRICT OF COLUMBIAINSURANCE REGULATORY TRUST FUND BUREAU

DEPARTMENT OF INSURANCE SECURITIES AND BANKINGAGREED UPON PROCEDURES REPORT

FOR THE PERIODOCTOBER 1, 2009 THROUGH SEPTEMBER 30, 2011

BEJ{~SlVlITH

Certified Puhlic Accountants and M(ffI(JJ,;cmcnt Consultants


DEPARTMENT OF INSURANCE SECURITIES AND BANKING

FOR THE PERIOD OCTOBER 1, 2009 THROUGH SEPTEMBER 30, 2011

TABLE OF CONTENTS

Independent Accountant's Report 1

Results and Recommendations 3

Exhibits

. Exhibit 3-a: Lack of Documentation

. Exhibit 3-d: Lack of Documentation

. Exhibit 3-e: Improper Posting of Expenditures to Bureaus

CERTIFIED PUBLIC ACCOUNTANTS AND MANAGEMENT CONSULTANTS

BERTSMITH.(;0.

INDEPENDENT ACCOUNTANT'S REPORTON APPLYING AGREED-UPON PROCEDURES

Board of DirectorsDistrict of Columbia Insurance Regulatory Trust Fund Bureau

We have performed the procedures enumerated below, which were agreed to by the Board of Directors ofthe District of Columbia Insurance Regulatory Trust Fund Bureau (the Board), solely to assist the Boardin evaluating the assessment and expenditures of funds to support the insurance regulatory operation ofthe District of Columbia Department of Insurance Securities and Banking (DISB) for the years ended2009, 2010 and 2011. DISB's management is responsible for the accounting records. This agreed-uponprocedures engagement was conducted in accordance with attestation standards established by theAmerican Institute of Certified Public Accountants. The sufficiency of these procedures is solely theresponsibility of the Board. Consequently, we make no representation regarding the sufficiency of theprocedures described below either for the purpose for which this report has been requested or for anyother purpose.

The procedures performed are as follows:

1. Reviewed the procedures employed by the DISB in calculating the annual assessment of insurers andHMOs licensed to do business in District of Columbia.

2. Determined whether each insurer and HMO was properly assessed annually in the calendar/fiscalyears 2009, 2010 and 2011.

3. Validated the accuracy of the licensed companies, addresses and processes for updating the list oflicensed companies.

4. Examined the approved budget within the DISB responsible for regulating insurance companies,HMOs and other support areas to determine compliance with D.C. law that limit the gross amountassessed on insurers and HMOs from exceeding the amount budgeted by the Council.

5. Verified deposits to and expenditures from the Insurance Regulatory Trust Fund for FY09, FYlO andFY11 to determine compliance with applicable D.C. law provisions that provide that the funds shallbe used only to defray the expenses of the administration of insurance. The review included otherDistrict agencies that perform insurance support functions.

6. Reviewed the treatment of yearly interest income earned on the cumulative Trust Fund balance todetermine whether interest was properly credited and added to the Regulatory Trust Fund balanceduring the FY09, FY10 and FYI 1.

1090 Vermont Avenue, N.W. .:. Suite 920 .:. Washington, D.C. 20005 .:. PHONE202.393.5600 .:. FAX202.393.5608 .:. INTERNETwww.bertsmithco.com

7. Reviewed the procedures and methodology to track and allocate expenditures among insurance,HMOs and other statutory sources of revenues within the department, and the methodology andprocedures used to reflect the allocations in accounting and budget documents. This included thereview of the time keeping mechanism, payroll allocation records for positions dedicated toinsurance, HMO operation, and other department activities; and track and allocation methods andprocedure to allocate non-personnel expenditures, including rent, supplies, contract services andoverhead.

We were not engaged to, and did not conduct an audit the objective of which would be the expression ofan opinion on assessment and expenditures of funds to support the insurance/regulatory operation of theDistrict of Columbia Department of Insurance Securities and Banking. Accordingly, we do not expresssuch an opinion. Had we performed additional procedures, other matters might have come to our attentionthat would have been reported to you.

This report is intended solely for the information and use of the Board of Directors for the District ofColumbia Insurance Regulatory Trust Fund Bureau and the District of Columbia Department of InsuranceSecurities and Banking and is not intended to be and should not be used by anyone other than thespecified parties.

~ SwtL f ~6>.June 21, 2013Washington, D.C.

- 2 -


DEPARTMENT OF INSURANCE SECURITIES AND BANKING

FOR THE PERIOD OCTOBER 1, 2009 THROUGH SEPTEMBER 30, 2011

RESULTS AND RECOMMENDA nONS

The procedures perfonned disclosed certain matters relating to the rate assessment and the expendituresof the Insurance Regulatory Trust Funds.

TASK 1: ASSESSMENTS METHODOLOGY

Based on our review of the procedures utilized by the DISB in calculating the annual assessment ofinsurers and HMOs, we noted the following findings:

Finding 1 DISB Does Not Compute the Assessment in Accordance with Rel!ulations

DISB calculates the assessments for the insurers and Health Maintenance Organizations(HMO) as a percentage of the direct gross receipts of the second preceding year that isobtained from the National Association Insurance Companies (NAIC) database. The D.C.law §31-1203 requires that the preceding year's gross receipts be used in the calculationof the assessment. The DISB management explained that there is a time lag in theavailability of the preceding year's gross receipts and the available infonnation at time ofassessment is that of the second preceding year.

Recommendation: DISB and the Board should consider pursuing a revision to thecurrent requirement that would allow the use of the secondpreceding year gross receipts as the basis for the assessment.

Management'sResponse: Management has already revised the process for creating the

premium infonnation for the assessment and now uses the prioryear's premiums, so no changes need to be made to the law.

TASK 2: ASSESSMENT OF HMO AND INSURANCE COMPANIES

We perfonned procedures to detennine that each HMO and insurer was properly assessed.

Finding 2 DISB did Not Submit Assessment to One HMO

DISB inadvertently failed to assess and submit assessment to one HMO in FY 2009 for$1,000. D.C. Code states that all insurers and HMOs shall be subject to an annualassessment without exception.

Recommendation: DISB should improve its quality control procedures over theassessment calculation to ensure that all HMOs are included inthe assessment computation.

Management'sResponse: Management has already revised the process to use the company

licensing database to create the list of companies subject to theassessment, so this should not be a problem going forward.

- 3 -

Fiscal Year Assessment In-actives Collected Uncollected2009 $ 7,473,047 (48,000) $ 7,321,728 $ 103,3192010 $ 6,743,922 (1,000) $ 6,735,921 $ 7,0012011 $ 6,528,784 (1,000) $ 6,522,915 $ 4,869

Fiscal Year Assessment In-actives Collected Uncollected2009 $ 745,110 - $ 744,110 $ 1,000

2010 $ 436,118 - $ 435,118 $ 1,0002011 $ 629,410 - $ 628,410 $ 1,000

TASK 3: ACCURACY OF ADDRESSES

We perfonned procedures to validate the accuracy of the licensed companies, addresses and processes forupdating the list of licensed companies.

No exceptions were found as a result of applying the procedures.

TASK 4: APPROVED BUDGET

We examined the approved budget and other support areas for HMOs and Insurers to detenninecompliance with D.C. Law that limits the gross amount that can be assessed on Insurers and HMOsensuring that it does not exceed the amount budgeted by the City Council.


TASK 5: ASSESSMENT DEPOSITS

We reviewed the deposits to the Insurance Regulatory Trust Fund for FY09, FY10 and FY11 todetennine compliance with applicable D.C. law provisions. The tables below summarize the assessed,collected and uncollected amounts based on DISB's accounting system (SOAR) during FY 2009, FY2010 and FY 2011.

Insurance:

HMO

Our review of the deposits revealed the following deficiency.

Finding 3-a Lack of Documentation

DISB was unable to provide copies of assessment notices, checks and deposit vouchersfor seventeen (17) out of the 244 insurance and HMO assessments sampled from FY2009, FY 2010 and FY 2011. We perfonned alternative procedures by reviewing thedatabase used to track the assessment collections for FY 2009, FY 2010 and FY 2011 andnoted that of the 17 missing items, fourteen (14) items totaling $37,760 were collected,two (2) items totaling $2,000 were inactive one (1) item totaling $1,000 remainsuncollected. See detail in Exhibit 3-afor detail of missing documents.

- 4 -

Finding 3-b

Finding 3-c

Accuracv of Insurance Assessment

We noted that the insurance assessment database for FY 2009, FY 2010 and 2011included inactive insurance companies that were assessed an annual fee even though theywere inactive. As a result, the annual assessment for insurance is overstated by $48,000in FY 2009, $1,000 in FY 2010 and $1,000 in FY 2011.

Recommendation: DISB should strengthen their retention and retrievaldocumentation system that would facilitate the location of therequired support in the event of an audit or review. DISB shouldalso strengthen their quality review to ensure completeness andaccuracy of the annual assessments and pursue collection of theuncollected assessments.

Management'sResponse: 3-a - Management concurs with the finding and will strengthen

its retention and retrieval documentation system that wouldfacilitate the location of the required support in the event of anaudit or review.

3-b - Management concurs with the finding. Management willcontinue to review the list and reserves the right to collect theamount due including interest and penalties.

Penalties and Interest Not Assessed

We noted for fifty-five (55) out of the 244 insurers and HMOs reviewed submitted theirassessment payments late, but were not assessed any penalty or interest. Pursuant to D.C.§31-1203 each insurer and HMO shall pay their assessment fees within thirty (30) days ofthe mailing date of the Notice of Assessment and §31-1204 states that any insurers thatfail to pay an assessment on or before the date shall be subject to a penalty of 10% of theassessment plus interest at one half of 1% per month. The computed penalty and interestfor the late submission from the sample we tested totaled $68,614.

Recommendation: We recommend that DISB adhere to its policies and proceduresover delinquent assessment submission in accordance with D.C.regulations and consider pursuing collection of the uncollectedamounts including penalty and interest.

Management'sResponse: DISB has not followed strict adherence to the requirement for

the payment of the penalties and interest because of the verytight timeframe the law puts on insurance companies to processthe payments. We do use the threat of interest and penalties ondelinquent payers. While the notice currently has the date thepayment is due, it does not mention the prospect of interest andpenalties if the payment is not made timely. We presume the realgoal of the interest and penalties is to encourage timely payment,so we will look at revising the notice to emphasize the interestand penalties if the payment is not made by the due date on theinvoice. We will also implement procedures to review thetimeliness of payments and assess interest and penalties aswarranted as a result of these procedures.

- 5 -

FY09 FYIO FYll

Insurance $ 6,582,664 $ 6,925,026 $ 6,072,989

HMO $ 719,047 $ 568,942 $ 665,915

TASK 5:{Continued}

INSURANCE, AND HMO EXPENDITURES

We reviewed the expenditures from the Insurance Regulatory Trust Fund for FY09, FYlO and FY11 todetermine compliance with applicable D.C. law provisions that provide that the Fund shall be used onlyto defray the expenses of the administration of insurance.

Based on the DISB's accounting system (SOAR) the expenditures for the Insurance, and HMO TrustFunds were as follows:

Our review of the expenditures revealed various deficiencies which occurred due to DISB's lack ofadequate supervisory review.

Finding 3-d Lack of Documentation

We tested a sample of234 expenditures from FY 2009 through FY 2011. The underlyingsupporting documentation for four (4) of the out Insurance expenditures were notprovided. Therefore we were unable to determine whether expenditures totaling $57,432were in compliance with the applicable D.C. law. See Exhibit 3-d for listing ofexceptions.

Finding 3-e Improper Postim! of Expenditures to Bureaus

In FY 2009, 100% of one transaction was applied to HMO. However, based on review ofthe supporting document the transaction was a refund which should have been charged toCaptives. This resulted in $2,000 being erroneously allocated to HMO.

Twelve (12) of the 234 sample items indicated that expenditures were not allocated inaccordance with the prevailing HMO and Insurance percentages in FY 2009, 2010 and2011. This resulted in overstated HMO costs of $3,819 and Insurance costs of $4,119.See Exhibit 3-e for detail.

Recommendation: DISB should strengthen its document retention procedures formaintaining supporting documents for the expenditures charged.It should also improve its supervisory review process over theallocation of expenditures to ensure the propriety of costsallocated to each bureau.

Management'sResponse: 3-d- The 4 documents were inadvertently shredded with the FY

08 documents.

3-e- Management concurs with the finding and will strengthenits retention procedures for maintaining supporting documentsfor the expenditures charged.

- 6 -

Actual AmountDISB Actual Amount Allocated

Prevailing Allocated Paid Per Should Over/(Under)Bureau Allocation % EIS Reoort Have Been Payment

HMO 4.0% 0.6% $ 13,063 $ 80,517 $ (67,454)

Insurance 44.0% 47.4% 953,140 885,686 67,454

Captives 11.0% 11.0% 221,422 221,422 -Securities 21.0% 21.0% 422,714 422,714 -Banking 20.0% 20.0% $402,585 402,585 -

Total 100% 100% $ 2,012,924 $ 2,012,924 $ -

TASK 6: INTEREST INCOME

We reviewed the treatment of yearly interest income earned on the cumulative Trust Fund balance todetermine whether interest was properly credited and added to the Regulatory Trust Fund balance duringthe FY09, FYlO and FYI 1.


TASK 7: ALLOCATION METHODOLOGY

We reviewed the procedures and methodology to track and allocate expenditures among insurance,HMOs and other statutory sources of revenues within the Department, and the methodology andprocedures used to reflect the allocations in accounting and budget documents.

Finding 4 Allocation Percentaf!e Incorrectlv Aoolied

Office Space: Based on discussion with DISB's management, the allocationmethodology in place over rental expenditures is based on full time equivalents. Ourrecalculation of overhead costs showed that allocation to the HMO and Insurance bureauswas not properly applied during FYlO. The schedule below compares the rent charges perbureau recorded by DISB and the charges based on the allocation percentages in place atthe time.

FY2010: Rent

Based on the prevailing allocation percentages, the rent for HMO was understated by$67,454 and insurance was overstated by $67,454.

Recommendation: DISB should adhere to its methodologies established. This willensure consistency and allow for cost comparisons from oneperiod to the next. In addition, DISB should reimburse insurancefor the overcharge and allocate to HMO its correct share of therental cost.

Management'sResponse: Management concurs with the finding and will adhere to the

established allocation methodologies.

- 7 -

EXHIBITS

Fiscal Assessment

Year Bureau Company Amount Status

2009 Insurance First Hlth Life & Hlth Ins Co $ 1,000 Uncollected

2009 Insurance MBIA Ins Corp $ 2,673 Collected

2009 Insurance DaVita Villagehealth of VA Inc $ 1,000 Inactive

2009 Insurance Cumberland Cas & Surety Co $ 1,000 Inactive

2009 Insurance American Motorists Ins Co $ 1,000 Collected

2009 Insurance Travelers Ind Co Of CT $ 21,818 Collected

2010 Insurance Nationsbui1ders Ins Co $ 1,000 Collected

2010 Insurance Bravo Hlth Ins Co Inc $ 1,000 Collected

2010 Insurance Healthy Alliance Life Ins Co $ 1,000 Collected

2010 Insurance Homesite Ins Co Of The Midwest $ 1,000 Collected

2010 Insurance CIFG Assur N Amer Inc $ 1,000 Collected

2010 Insurance John Hancock Variable Life Ins Co $ 2,269 Collected

2010 Insurance Insurance Corp Of NY $ 1,000 Collected

2010 Insurance Equitrust Life Ins Co $ 1,000 Collected

2010 Insurance CMG Mortgage Ins Co $ 1,000 Collected

2010 Insurance American Equity Invest Life Ins Co $ 1,000 Collected

2011 Insurance Great Western Ins Co $ 1,000 Collected

Exhibit 3-a: Lack of Documentation

$ 40,760

FiscalYear Bureau Vendor Trans Amt

2009 Insurance Blank $ 4,320.00

2009 Insurance Blank 32,624.64



Exhibit 3-d: Lack of Documentation

$ 57,432.33

Contracting Party Product/Service Budgeted Amount Actual Spending Term Negotiated/Competitive Bid Contract Monitor Results Funding Source CBE

ACO Information Services Database Maintenance $172,051.00 $172,051.00 FY13 and FY14 Negotiated Christopher Weaver/Theodore Miles Maintenance Paid in Full O-Type No

American Assoc. of Residential Mortgage Reg Membership Dues $750.00 $750.00 FY13 Negotiated Christopher Weaver Received and Paid O-Type No

AON

Assessment and Implementation of Organizational

Services $80,000.00 $80,000.00 FY13 Negotiated Katrice Purdie Received and Paid O-Type No

Bureau of Nationsl Affairs Investor Advisor Subscription $3,380.00 $3,380.00 FY13 Negotiated Theodore Miles Received and Paid O-Type No

BizTech Fusion LLC VMWare Vsphere Maintenance $3,797.00 $3,797.00 FY13 Competitive Shankar Vaidyanathan Received and Paid O-Type Yes

CCH Website Subscription Package $20,977.00 $20,977.00 FY13 and FY14 Negotiated Theodore Miles Received and Paid O-Type No

Center for Dispute Mediation Services $50,000.00 $6,300.00 FY13 and FY14 Negotiated Ben Arnold On going service monitor monthly payment Private Grant Funds No

Central Parking Subsidy Parking $20,295.00 $0.00 FY14 Negotiated Terry Moore On going service monitor monthly payment O-Type No

Commcore, Inc. Media Training for Staff $21,781.00 $21,781.00 FY13 Negotiated Michael Flagg Received and Paid O-Type No

CSBS Annual Membership Membership Dues $23,590.00 $23,590.00 FY13 Negotiated Christopher Weaver Received and Paid O-Type No

Datawatch Systems Security $19,862.00 $13,960.00 FY13 and FY14 Negotiated Terry Moore On going service monitor monthly payment O-Type No

Dell Computers Opti 990 and Monitors $15,721.00 $15,721.00 FY13 Competitive Shankar Vaidyanathan Received and Paid O-Type No

Dell Computers PowerEdge Server $9,277.00 $9,277.00 FY13 Competitive Shankar Vaidyanathan Received and Paid O-Type No

Document Systems Support Maintenance - Filenet $38,814.00 $38,814.00 FY13 and FY14 Competitive Shankar Vaidyanathan Maintenance Paid in Full O-Type Yes

Document Systems Kofax Support and Upgrade $3,366.00 $3,366.00 FY13 Competitive Shankar Vaidyanathan Maintenance Paid in Full O-Type Yes

Document Systems IBM Lotus Domino Enterprise Web sphere $3,091.00 $3,091.00 FY13 Competitive Shankar Vaidyanathan Maintenance Paid in Full O-Type Yes

Dynamic Development Advisors Captive Domicile Study $17,000.00 $17,000.00 FY13 Negotiated Dana Sheppard Received and Paid O-Type No

Iron Mountain Off-Site Data Protection $8,571.00 $8,571.00 FY13 and FY14 Negotiated Shankar Vaidyanathan Maintenance Paid in Full O-Type No

IronData Database Upgrade $12,000.00 $12,000.00 FY13 Negotiated Theodore Miles Received and Paid O-Type No

National Association of Insurance NAIC State Assessment & TeamMate $9,634.00 $9,634.00 FY13 Negotiated Phillip Barlow Assessment Fees Paid in Full O-Type No

National Association of Insurance NAIC Rate Form Filing $62,201.00 $62,201.00 FY13 Negotiated Phillip Barlow Received and Paid Federal Grant Fund No

National Association of Insurance NAIC Teammate Website $4,221.00 $4,221.00 FY13 Negotiated Phillip Barlow Received and Paid O-Type No

NASAA Annual Dues $1,800.00 $1,800.00 FY13 Negotiated Theodore Miles Received and Paid O-Type No

Nova Rest Inc Health Rate Regulatory Contractor $249,220.00 $176,100.00 FY13 and FY14 Competitive Phillip Barlow On going service monitor monthly payment Federal Grant Fund No

Pitney Bowes Mailing System and Postage $28,872.00 $18,910.00 FY13 and FY14 Competitive Terry Moore On going service monitor monthly payment O-Type No

Pitney Bowes Postage $60,000.00 $30,000.00 FY13 and FY14 Negotiated Terry Moore Received and Paid O-Type No

Pro Image Consultants Kodak Scanners Annual Warranty $6,567.00 $6,567.00 FY13 Competitive Shankar Vaidyanathan Received and Paid O-Type No

Reed Elsevier Corporation LexisNexis Website $15,747.00 $15,747.00 FY13 Negotiated Terry Moore On going service monitor monthly payment O-Type No

Shred-It USA Recycling/Shredding $8,000.00 $4,600.00 FY13 and FY14 Competitive Terry Moore On going service monitor monthly payment O-Type No

Smith, Graham & Crump Mediation Services $50,000.00 $5,700.00 FY13 and FY14 Negotiated Ben Arnold On going service monitor monthly payment Private Grant Fund No

SuperTech Incorporated Laptops $5,092.00 $5,092.00 FY13 Competitive Phillip Barlow Received and Paid Federal Grant Fund Yes

Syscom Maintenance Rightfax Support $2,589.00 $2,589.00 FY13 Competitive Terry Moore Received and Paid O-Type No

Xerox Copier Lease Agreement and Maintenance $113,279.00 $113,279.00 FY13 Negotiated Terry Moore On going service monitor monthly payment O-Type No

Appendix 16


Contracting and ProcurementFY13 and FY14

Appendix 17 Department of Insurance, Securities and Banking Current Memoranda of Understanding (MOU)

FY 2013 and thus far in FY 2014

PARTIES PURPOSE DATE

EXECUTED SIGNED

DISB and the Office of the Attorney General (OAG)

MOU between DISB and OAG

legal service FY 2014

12/18/13

DISB and the

Department of Health

Care Finance (DHCF)

MOU between DISB and DHCF

to assess all insurers.

08/12/13

DISB and Office

Administrative

Hearings (OAH)

Amended MOU between DISB and OAH for the hearing of adjudicative cases under DISB’s regulatory jurisdiction in FY 2014

Executed by

DISB

12/26/13

DISB and Metropolitan

Police Department

(MPD)

MOU between DISB and MPD

to conduct fingerprinting

services as authorized by FBI

for FY 2014

Executed by

DISB

11/27/13

DISB and District of

Columbia Department

of Cable Television

(OCT)

MOU between DISB and OCT

for a 3- minute DISB overview

video promotion for FY 2013

7/11/13

DISB and Consumer

Financial Protection

Bureau (CFPB)

MOU between DISB and CFPB

for the Sharing of Information

for Consumer Protection

Purposes for FY 2012

03/15/12

DISB and The

Department of

General Services (DGS)

MOU between DISB and DGS

for the renovations of the 6th

and 7th Floors in FY 2013

08/13/13

DISB and the

Department of

Treasury Financial

Crimes Enforcement

MOU between DISB and FinCEN

to establish procedures for the

Sharing and Exchanging of

confidential Information in FY

08/30/12

Network (FinCEN) 2013

DISB and the National Association of Insurance Commissioners (NAIC)

MOU between DISB and NAIC

for uninterrupted access to the

Data System of confidential

Information (Application)

11/29/10

DISB and the Consumer Financial Protection Bureau (CFPB), the Conference of State Bank Supervisors (CSBS), and the Other Signatories (The PARTIES)

DISB and the Consumer

Financial Protection Bureau

(CFPB), the Conference of State

Bank Supervisors (CSBS), and

the Other Signatories (The

PARTIES).

Executed by

CFPB on

01/04/11;

Executed by

CSBS on

01/14/11;

Executed by

DISB

03/15/12

Appendix 18

Department of Insurance, Securities and Banking FY13 and FY14 to date Events and Presentations

WARD EVENT DATE EVENT/PROGRAM LOCATION FOCUS #PPL

6

October 16, 2012

DC's Foreclosure Mediation Process

Metropolitan Washington Council of Government, 777 North Capital Street, NW

Presentation – Foreclosure mediation process.

30

6

October 17, 2012

Financial Fraud Against Seniors

River Park Apartment, 1311 Delaware Avenue, SW

Presentation - Financial Fraud and Prevention as it relates to seniors.

25

1

October 27, 2012

2012 Financial Planning Day

Columbia Heights Educational Campus, 3101 16th Street, NW

Presentation and Information Booth – Discussed the department’s role in protecting consumer financial interest.

50

2

November 3, 2012

Moneywise Financial Empowerment Tour 2012

Metropolitan AME Church, 1518 M Street, NW

Presentation and Information Booth: Foreclosure Mediation Program

75

4

November 5, 2012

Financial Fraud Against Seniors

Emery Heights AARP, Emery Heights Recreation Center, 5701 Georgia Avenue, NW

Presentation - Financial Fraud and Prevention as it relates to seniors.

19

6

November 28, 2012

The 2012 Financial Literacy Council Town Hall

Center at the Old Naval Hospital, 921 Pennsylvania Avenue, SE

Presentation and Information Booth – Discussed financial products, services and strategies offered to assist residents towards financial literacy.

50

MD December 3, 2012

Financial Literacy Online Radio Interview

4305 St. Barnabas Rd, Temple Hills MD Go-Go Radio Station

Interview: Internet radio talk show with Industrial Bank focus on financial literacy and education

N/A


6

December 5, 2012

2012 Mayor’s Annual Senior Holiday Celebration

D.C. Armory located 2001 East Capitol St, SE

Information Booth - Financial Fraud and Prevention as it relates to seniors.

N/A

2

December 6, 2012

Residential Foreclosures 2012: Who, What, When, Why, and How

D.C. Bar Conference Center, 1101 K Street, NW

Presentation – District’s Foreclosure Mediation Program

55

5

January 12, 2013

Trinity University of Continuing Education

Trinity College, 125 Michigan Avenue, NE

Presentation – Role of DISB, consumer protection, financial literacy

11

5

January 16, 2013

Interview Washington Informer, DC Cable Television Show

DCTV/Studio B, 901 Newton Street, NE

Interview – mortgage foreclosure crisis and its impact on the Nation’s Capital

N/A

1

February 15, 2013

Financial Crimes Against Seniors

Garfield Terrace Apartments, 2301 11th St., NW

Presentation - Financial fraud and prevention as it relates to seniors.

10

6

February 19, 2013

Role of DISB in the Community

Gallaudet University, 800 Florida Avenue, NE

Presentation – Introduction to insurance, function of the bureau, day to day operations esp. on consumer services.

12

6

February 20, 2013

Financial Crimes Against Seniors

Potomac Gardens, 1229 G Street, SE

Presentation – Financial fraud and prevention as it relates to seniors.

10

5

March 5, 2013

Flood Insurance Town Hall Flood Hazard Protection: What You Need to Know

St. George’s Church, 160 U Street, NW

Presentation - Flood and Homeowner Insurance

35

5

March 29, 2013

Senior Financial Fraud Prevention Presentations

Model Cities Senior Wellness Center, 1901 Evarts Street, NE


32


8

April 6, 2013

Temple of Praise 2013 Job Fair

Mary Virginia Merrick Center, 4275 4th Street, SE

Presentation – Overview of DISB and health insurance

7

6

April 11, 2013


Congress Heights Senior Wellness Center, 3500 MLK, Jr. Avenue., SE


35

7

April 14, 2013

Financial Scam Presentation

St. Timothy’s Episcopal Church, 3601 Alabama Ave. SE


38

VA

April 15, 2013

Sandwich Generation Session

700 Army Navy Drive, Arlington, Virginia 22202

Presentation - Financial Scams

30

8

April 17, 2013

Senior Financial and Insurance Awareness Day

Congress Heights Senior Wellness Center, 3500 MLK, Jr. Avenue., SE

Presentation - information on avoiding senior financial scams

54

7

April 30, 2013

Child Abuse Prevention and Community Conversation

3917 Minnesota Avenue, NE (ERFSC's Conference Room)

Presentation - Discuss DISB and Bank on DC

40

6

May 1, 2013

Senior Financial and Elderly Abuse

D,C. Department on Aging, 500 K Street, NE


14

5

May 2, 2013

St. Anthony Catholic School Career Day

12th and Lawrence Streets, NE

Presentation - Introduction of Saving

120

7

May 7, 2013

Banking on Our Future Program at HD Woodson-2013

HD Woodson High School, 540 55th Street, NE

Presentation - Basics of Banking/ Checking & Savings

14

6

May 7, 2013


Bernice Elizabeth Fonteneau Senior Wellness Center, 3531 Georgia Avenue, NW


14

5

May 10, 2013

Mayor’s Age-Friendly City Senior Symposium

Omni Shoreham Hotel, 2500 Calvert Street, NW

Presentation and Information Booth - Elder Abuse and Fraud

60

7

May 14, 2013

Banking on Our Future Program at HD Woodson-2013

HD Woodson High School, 540 55th Street, NE

Presentation - Power of Credit/ Basic Investments

14

Financial Literacy Day Dunbar High School, 1301 Presentation – Financial


1 May 16, 2013 of Service New Jersey Avenue, NW Literacy 20

8

May 17, 2013

United Planning Organization's Foster Grandparent Program

Matthews Memorial Baptist Church, 2616 Martin Luther King Jr. Avenue, SE


124

2

June 1, 2013

5th Annual Housing Expo

Walter E. Washington Convention Center, 801 Mt. Vernon Place, NW

Presentation - Foreclosure Mediation Program

17

2

June 4, 2013

Congresswoman Eleanor Holmes Norton’s Small Business Fair

Walter E. Washington Convention Center, 801 Mt. Vernon Place, NW

Presentation - Small Business Initiative and Small Business Insurance

80

7

June 12, 2013


Washington Seniors Wellness Center, 3001 Alabama Avenue, SE

Presentation - information on avoiding senior financial scams

25

4

June 18, 2013

Senior Financial Fraud Prevention Presentation

Hattie Holmes Senior Wellness Center, 324 Kennedy Street, NW

Presentation – Financial fraud and prevention as it relates to seniors.

35

6

June 27, 2013

Building Capacity for Success

One Judiciary Square, 441 4th Street, NW

Presentation - Small Business Initiative

100

7

June 29, 2013

Ward 7 Economic Development Summit

H.D. Woodson High School, 540 55th Street, NE

Information Booth – Information on DISB resources and services

N/A

3

July 29, 2013


Iona Senior Services Center, St. Alban’s Episcopal Church, 3001 Wisconsin Avenue, NW

Presentation – Making the best insurance and financial choices.

33

7

August 6, 2013

Youth Financial Education Listening Session

DC Department of Employment Services, Minnesota Avenue

Presentation - Local youth financial education initiatives.

29

6

August 14, 2013

Senior Financial Fraud Prevention Presentation

Hayes Senior Wellness Center, 500 K Street, NE


32

3

August 21, 2013


4200 Connecticut Avenue, NW, Bldg. 32, Room 203


90


7

August 21, 2013

Reverse Mortgage and Home Equity Loan Presentation

Washington Seniors Wellness Center, 3001 Alabama Avenue, SE

Presentation – Reverse Mortgages and Home Equity Loans

23

2

August 29, 2013

Senior Fraud Presentation

U.S. Attorney’s Office, 555 4th Street, NW


12

7

September 9, 2013

AARP Financial Fraud Presentation

Jones Memorial Methodist Church, 4625 G Street, SE


15

4

September 18, 2013


Peoples Congregational Church, 4704 13th St, NW


44

8

September 19, 2013

2013 Senior Feast & Health Expo

Oxon Run Park, 700 Valley Avenue, SE

Information Booth – Information on DISB resources and services as it relates to seniors

N/A

8

September 25, 2013

Senior Financial and Insurance and Awareness Day

Overlook Apartment, 635 Edgewood Street, NE

Presentation – Making the best insurance and financial choices.

51

2

September 25, 2013

Senior Financial Fraud Prevention Presentation to the Asian Community

Asian Pacific Islander, 417 G Street, NW

Presentation – Financial Literacy

10

6

September 26, 2013

CFPB Financial Education

DC Office of Human Services, 64 New York Avenue, NW

Presentation – Trained case workers on Financial Literacy

26

2

September 28, 2013

6th Annual Tenant and Tenant Association Summit

Kellogg Center at Gallaudet University, 800 Florida Avenue, NW

Presentation and Exhibit Booth – DISB services and resources

110

4 September 30, 2013

6th Anniversary Health Fair


Information Booth – Information on DISB resources and services as it relates to seniors 55

4 October 2, 2013



Presentation – Making the best insurance and financial choices. 92


6 October 8, 2013 AARP Financial Fraud Presentation

Liberty Baptist Church, 527 Kentucky Avenue, SE


10

4 October 21, 2013


Peoples Congregational Church, 4704 13th Street, NW

Presentation - Financial fraud and prevention as it relates to seniors. 35

7 October 24, 2013

Community Reinvestment Act (CRA) Listening Session

Marshall Heights Community Development Organization, 3939 Benning Rd., NE

Discussion - Local financial education initiatives 26

1 November 2, 2013

2013 Metro Washington Financial Planning Day

Columbia Heights Educational Campus, 3101 16th Street, NW

Presentation – Discussed the department’s role in protecting consumer financial interest. 200

7 November 7, 2013

Banking on Our Future

HD Woodson Senior High School, 540 55th St NE

Presentation – Basics of Budgeting and Banking 16

2 November 7, 2013

Continuing Legal Education

D.C. Bar Conference Center, 1101 K Street, NW

Panel discussion - focusing on the impact of the new legislation and changes in the process 80

7 November 12, 2013



Presentation – Fundamentals of Credit 20

5 November 18, 2013


Northeastern Presbyterian Church, 2112 Varnum St, NE

Presentation - Financial fraud and prevention as it relates to seniors. 35

6 November 20, 2013


River Park Coop, 1301 Delaware Avenue, SW

Presentation - Financial fraud and prevention as it relates to seniors 28

7 November 21, 2013



Presentation – Savings and Investing 16

2 November 23, 2013

DC Health Link City-wide Information Day and Enrollment Fair

Martin Luther King Memorial Library, 901 G Street, NW

Information Table – Department’s role in protecting consumer financial interest and avoiding health-care-exchange scams N/A

2 November 25, 2013


Penn. Avenue Baptist Church, 300 Pennsylvania Avenue, SE

Presentation - Financial fraud and prevention as it relates to seniors 73


6 November 25, 2013

2nd Annual DC to Africa Business Symposium

One Judiciary Square, 441 4th Street, NW

Presentation – D.C. Collateral Support Program 120

2 December 7, 2013

Moneywise Financial Empowerment Tour

6 December 19, 2013

2013 Mayor's Annual Senior Holiday Celebration

D.C. Armory located 2001 East Capitol St, SE

Information Booth - Financial Fraud and Prevention as it relates to seniors.

N/A

1 December 11, 2013

AFSCME District Council 20 Retirees Chapter 1724 Kalorama Road, NW

Presentation - Understanding Insurance, especially health insurance when retiring 8

6 December 12, 2013

Get More BANG for your Buck; How to Prepare for Holiday Spending on a Limited Budget

Community Family Life Services, 305 E Street, NW

Presentation – Saving and Budgeting 9

6 January 23, 2014

Tyler House Tenant Association Presentation

Tyler House Apartments, 1200 North Capital Street, NW (across Housing Authority)

Presentation - Renter’s Insurance 19

DISB/Bank on DC FY13

WARD Location EVENT DATE EVENT TITLE NUMBER OFATTENDEES

October Classes7 3744 1/2 Hayes Street, NE

Washington, DC 20019Tuesday, October 2, 2012 Empowerment Series (Bank on DC/ Community

Preservation Development Corporation- CPDC)11

8 3744 1/2 Hayes Street, NEWashington, DC 20019

Tuesday, October 9, 2012 Empowerment Series (Bank on DC/ CPDC) 13

5 601 Edgewood Street, NEWashington, DC 20017

Tuesday, October 16, 2012 Empowerment Series (Bank on DC/ CPDC) 8

3 50 Irving St. NW.Washington, DC 20422

Tuesday, October 16, 2012 VALOR - National Veteran Center -NVC (Mayors Office ofVeteran Affairs- OVA/ Bank on DC)

6

5 1500 Franklin St NE,Washington, DC 20018

Thursday, October 18, 2012 VALOR - Community Resource & Referral Center- CRRC(Bank on DC/ Mayors Office of Veteran Affairs- OVA)

10

5 601 Edgewood Street, NEWashington, DC 20017

Friday, October 19, 2012 Money Management Basics w/United Bank 13

7 4058 Minnesota Avenue, NE,Washington, DC 20019

October classes Project Empowerment - Department of EmploymentServices (DOES)

70

October 2012- Subtotal 131

November Classes5 Gallaudet University 800 Florida

Ave NE, Washington, DC 20002Monday, November 4, 2012 Path 2 Work - (Veteran/VALOR) - part 1 8

5 Gallaudet University 800 FloridaAve NE, Washington, DC 20002

Monday, November 4, 2012 Path 2 Work - (Veteran/VALOR) - part 2 13


Tuesday, November 6, 2012 Empowerment Series (Bank on DC/ CPDC) 7


Tuesday, November 13, 2012 Empowerment Series (Bank on DC/ CPDC) 11


November classes Project Empowerment (DOES) 28

November 2012-Subtotal

67

December Classes5 50 Irving St. NW.

Washington, DC 20422Thursday, December 6, 2012 Community Resource & Referral Center- CRRC (VALOR

Program - Mayors Office of Veteran Affairs/ Bank on DC)4


Thursday, December 13, 2012 Washington VA Hospital (VALOR Program - MayorsOffice of Veteran Affairs/Bank on DC)

10


December Classes Project Empowerment (DOES) 64

Page 1 of 7


December 2012-Subtotal

78

January Classes5 50 Irving St. NW.

Washington, DC 20422Thursday, January 17, 2013 Community Resource & Referral Center - CRRC (VALOR

Program - Mayors Office of Veteran Affairs/Bank on DC)2


Thursday, January 3, 2013 Washington VA Hospital (VALOR Program - MayorsOffice of Veteran Affairs/Bank on DC)

6

6 100 Peabody St NW,Washington, DC 20011

Tuesday, January 29, 2013 Capital City Charter School (Everfi online) 29


January Classes Project Empowerment (DOES) 18

January 2013- Subtotal 55

February Classes7 4058 Minnesota Avenue, NE,

Washington, DC 20019February Classes Project Empowerment (DOES) 15

February 2013-Subtotal

15

March Classes5 50 Irving St. NW.

Washington, DC 20422Thursday, March 7, 2013 Community Resource & Referral Center (VALOR Program

- Mayors Office of Veteran Affairs/Bank on DC)3


Thursday, March 21, 2013 Washington VA Hospital (VALOR Program - MayorsOffice of Veteran Affairs/Bank on DC)

15

7 5002 Sheriff Rd NE,Washington, DC 20019

Tuesday, March 19, 2013 Veterans on the Rise (VALOR Program - Mayors Office ofVeteran Affairs/Bank on DC)

3


March classes Project Empowerment (DOES) 58

March 2013- Subtotal 79

April Classes6 Union Center Plaza, 810 First

Street NESuite 701Washington, DC 20002

Wednesday, April 10, 2013 Lunch and Learn: How much do you know about interestrates, credit cards, and loans?

16

6 Union Center Plaza, 810 First Wednesday, April 17, 2013 Lunch and Learn: Making your Money Grow 116 Union Center Plaza, 810 First Wednesday, April 24, 2013 Lunch and Learn: Are you under-insured? 17

Page 2 of 7


1 Frank D. Reeves MunicipalCenter2000 14th Street NW

Friday, April 26, 2013 Oportunidades Tour 2013- Aprenda a Manajar susFinanzas y Su Credito (Bank on DC/Office on LatinoAffairs- OLA)

16

4 1222 Rhode Island Ave NEWashington, DC

Saturday, April 27, 2013 Oportunidades Tour 2013- Aprenda a Manajar susFinanzas y Su Credito (Bank on DC/Office on LatinoAffairs- OLA)

25


Thursday, April 4, 2013 VALOR - Community Resource & Referral Center (Bankon DC/ Mayors Office on Veteran Affairs- OVA)

5


Thursday, April 18, 2013 VALOR - Washington VA Hospital(Bank on DC/MayorsOffice on Veteran Affairs- OVA)

12

7 5002 Sheriff Rd NE,Washington, DC 20019

Tuesday, April 16, 2013 VALOR - Veterans on the Rise (Bank on DC/MayorsOffice on Veteran Affairs- OVA)

6

1 200 I Street, SE, Washington,DC 20003

Wednesday, April 17, 2013 Establishing Savings. Creating Revenue. ObtainingWealth - E.S.C.R.O.W. Program @ Foundations (Bank onDC/ Child and Family Services Agency - CFSA)

78


Wednesday, April 17, 2013 Establishing Savings. Creating Revenue. ObtainingWealth - E.S.C.R.O.W. Program @ Family Matters (Bankon DC/ Child and Family Services Agency - CFSA)

19


Wednesday, April 17, 2013 Establishing Savings. Creating Revenue. ObtainingWealth. - E.S.C.R.O.W. Program @ Office of YouthEmpowerment (Bank on DC/ Child and Family ServiceAgency - CFSA)

25


Wednesday, April 17, 2013 Establishing Savings. Creating Revenue. ObtainingWealth. - E.S.C.R.O.W. Program @ CFSA (Bank onDC/Child and Family Services Agency - CFSA)

18


April classes Project Empowerment (DOES) 37

April 2013 - Subtotal 285

May Classes5 United Planning Organization

Petey Greene Ctr. 907Martin Luther King Jr Ave SE,Washington, DC 20032

Monday, May 13, 2013 Department of Human Services (DHS) - SWEAT EQUITYPROGRAM II - Basics of Banking & How to Choose aFinancial Institution

18

5 1100 Michigan Ave NE,Washington, DC 20017

Saturday, May 18, 2013 Office of the Chief Technology Officer (OCTO)Connect.DC Summit -"For The Love of Money" -Technology and Money

1 800 Euclid St NW, Washington,DC 20001

Thursday May 30, 2013 Jobs and Service Fair 50


May Classes Project Empowerment (DOES) 44

May 2013 - Subtotal 112

Page 3 of 7


June Classes2 801 Mt Vernon Pl NW,

Washington, DC 20001Saturday June 1st, 2013 Department of Housing and Community Development

(DHCD) 5th Annual Expo- "Workshop Panel"75

2 801 Mt Vernon Pl NW,Washington, DC 20001

Saturday June 1st, 2013 DHCD 5th Annual Expo- Financial Virtual Arcade Fair 32

1 Frank D. Reeves MunicipalCenter2000 14th Street NW

Thursday June 20th, 2013 District Government Employees Federal Credit Union(DGEFCU) Annual Meeting

42

2 800 17th Street, NW – 12th floor Tuesday June 25th, 2013 PNC Forum-Reaching the Underbanked Community 301 Iglesias La Luz Del Mundo 1222

Rhode Island Ave NEWashington, DC

Saturday June 29th, 2013 Oportunidades Tour 2013- Jornada Del Credito (Bank onDC/Office on Latino Affairs- OLA)

62


June Classes Project Empowerment (DOES) 38

June 2013 - Subtotal 279

July ClassesMayor Vincent C. Gray Summer Youth EmploymentProgram 2013- Young Money Managers Initiative (YMM)

6 651 Pennsylvania Avenuesoutheast

Monday, July 1st, 2013 SYEP-YMM Initiative @ Metro TeenAIDS 25

6 Mt. Carmel Baptist Church 9013rd St NW

Tuesday, July 2nd, 2013 SYEP-YMM Initiative @ High Tea Society 15

8 2041 MLK Ave SE Suite M2 Tuesday, July 2nd, 2013 SYEP-YMM Initiative @ Urban Education Plus inc. 638 3999 8th St SE Fairview Hope Wednesday, July 3rd, 2013 SYEP-YMM Initiative @Field of Dreams 176 1700 East Capitol St NE Friday, July 5th, 2013 SYEP-YMM Initiative @ Capitol City Area Health 406 1700 East Capitol St NE Friday, July 5th, 2013 SYEP-YMM Initiative @ Capitol City Area Health 157 2500 Benning Road NE Friday, July 5th, 2013 SYEP-YMM Initiative @ Teens Count 257 2500 Benning Road NE Friday, July 5th, 2013 SYEP-YMM Initiative @ Teens Count 207 2500 Benning Road NE Friday, July 5th, 2013 SYEP-YMM Initiative @ Teens Count 207 2500 Benning Road NE Friday, July 5th, 2013 SYEP-YMM Initiative @ Teens Count 258 3401 4th St SE, Washington,

DC 20032Monday, July 8th, 2013 SYEP-YMM Initiative @ Ballou Senior High 30

7 540 55th St NE, Washington,DC 20019

Monday, July 8th, 2013 SYEP-YMM Initiative @HD Woodson 25

1 300 Bryant St. NW Monday, July 8th, 2013 SYEP-YMM Initiative @ Washington Metropolitan 251 1470 Irving St NW Tuesday, July 9, 2013 SYEP-YMM Initiative @ Barbara Chamber 125 601 Edgewood St NE

Washington DCTuesday, July 9, 2013 SYEP-YMM Initiative @ Beacon House 14


Tuesday, July 9, 2013 SYEP-YMM Initiative @ Kelly Miller Middle School 20

Page 4 of 7


7 4800 Meade St NE,Washington, DC 20019

Tuesday, July 9, 2013 SYEP-YMM Initiative @ Ron Brown Middle School 20


Wednesday, July 10th, 2013 SYEP-YMM Initiative @ Jamal Harris Foundation 25


Wednesday, July 10th, 2013 SYEP-YMM Initiative @ Kelly Miller Middle School 20

6 1022 Maryland Ave NE,Washington, DC 20002

Thursday July 11th, 2013 SYEP-YMM Initiative @ Sasha Bruce 11

8 1601 16th St SE, Washington,DC 20020

Thursday July 11th, 2013 SYEP-YMM Initiative @ Anacostia High School 20

8 3401 4th St SE, Washington,DC 20032

Thursday July 11th, 2013 SYEP-YMM Initiative @Ballou Senior High School 20


Thursday July 11th, 2013 SYEP-YMM Initiative @ Ron Brown Middle School 20

7 5500 Eads St., NE Friday July 12th, 2013 SYEP-YMM Initiative @ HD Woodson 251 300 Bryant St. NW Friday, July 12th, 2013 SYEP-YMM Initiative @ Washington Metropolitan 257 5001 Central Ave., SE Tuesday July 16th, 2013 SYEP-YMM Initiative @ Advisory Neighborhood 706 207 4328 Gorman Terrace SE,

Washington DC 20019Wednesday July 17th, 2013 SYEP-YMM Initiative @ Children's Focus Foundation 13

1 1420 Columbia Rd NW,Washington, DC 20009

Thursday July 18th, 2013 SYEP-YMM Initiative @ CentroNia (DGEFCU) 25

5 62 T St NE Friday July 19th, 2013 SYEP-YMM Initiative @ Powell House Project 406 640 10th Street NE

Sherwood Recreation CenterFriday, July 19th, 2013 SYEP-YMM Initiative @ Washington DC Fashion

Foundation22

7 2500 Benning Rd NE Friday, July 19th, 2013 SYEP-YMM Initiative @ Spingarn Senior High 371 2901 14th Street, NW

Washington, DC, 20009Monday July15 -Friday July 19th 2013 Greater Washington Urban, HEWFCU and Bank on DC

Youth Financial Boot camp25

1 2616 Georgia Ave NW Monday July 22nd, 2013 SYEP-YMM Initiative @ MOMIES TLC 88 AME Allen Church: 2498

Alabama Ave SETuesday July 23rd, 2013 SYEP-YMM Initiative @ Calvin Woodland Sr. Foundation 30

8 AME Allen Church: 2498Alabama Ave SE

Tuesday July 23rd, 2013 SYEP-YMM Initiative @ Calvin Woodland Sr. Foundation 30

8 1800 Martin Luther King Jr. AveSE

Tuesday July 23rd, 2013 SYEP-YMM Initiative @ DCHD 30

8 200 I Street, SE Wednesday July 24th, 2013 SYEP-YMM Initiative @ OCTO 151 1420 Columbia Rd NW,

Washington, DC 20009Wednesday July 24th, 2013 SYEP-YMM Initiative @ CentroNia (DGEFCU) 25

1 2400 Sixth St NW, Washington,DC 20059-Howard Ballroom:Blackburn Center

Thursday July 25th, 2013 SYEP-YMM Initiative @ MYLI Alpha Level 20





Page 5 of 7


6 1333 H St, NE, Washington, DC20002

Friday July 26th, 2013 SYEP-YMM Initiative @ Joy of Motion Dance Center 25

6 1333 H St, NE, Washington, DC20002

Friday July 26th, 2013 SYEP-YMM Initiative @ Joy of Motion Dance Center 25

1 2901 14th Street, NWWashington, DC, 20009

Monday July 22nd -Friday July 26th 2013 Greater Washington Urban, HEWFCU and Bank on DCYouth Financial Bootcamp

25

5 Catholic University: HannahHall 620 Michigan Ave NE,Washington, DC 20064

Monday July 29th, 2013 SYEP-YMM Initiative @ MYLI Omega Level 19






Monday July 29th, 2013 SYEP-YMM Initiative @ Dance Place 25


Wednesday July 31st, 2013 SYEP-YMM Initiative @ CentroNia (DGEFCU) 20

7 2901 14th Street, NWWashington, DC, 20009

July classes (empowerment series) Greater Washington Urban League 35

Subtotal July 2013- 1181

August Classes

5 78 U St NW, Washington, DC20001

Thursday, August 1st, 2013 SYEP-YMM Initiative @ Young Ladies of Tomorrow 20

2 441 4th Street, NW, Suite 330South, Washington, DC 20001

Thursday, August 1st, 2013 SYEP-YMM Initiative @ District of Columbia HumanResource (DCHR)

12

2 1850 K St NW, Washington, DC20006

Saturday August 3rd, 2013 E*TRADE Community Financial EXPO 15


Monday August 5th, 2013 SYEP-YMM Initiative @ Dance Place 9


Tuesday August 6th, 2013 Department of Insurance, Securities & Banking(DISB)/Consumer Financial Protection Bureau(CFPB)/Bank on DC Financial Education ListeningSession for Youth

27


Wednesday August 7th, 2013 SYEP-YMM Initiative @ CentroNia (DGEFCU) 20


August classes Project Empowerment (DOES) 26

all wards 3700 O St NW, Washington, DC Summer classes Georgetown University Financial Education Classes 25Subtotal July 2013- 154

Page 6 of 7


September Classes5 1222 Rhode Island Ave NE

Washington, DCMonday September 9th, 2013 Clearpoint-Oportunidades Tour Panel 63

5 64 New York Avenue, NE, 6thFloor, Washington, DC 20002

Thursday, September 26, 2013 Department of Human Services(DHS) Case ManagersTraining "Your Money, Your Goals" (Consumer FinancialProtection Bureau(CFPB)/ Bank on DC/ Department ofInsurance, Securities & Banking- DISB)

26


September classes Project Empowerment (DOES) 37

Subtotal September2013-

126

FY 2013 TOTAL 2562

Page 7 of 7

DISB-Bank on DC FY14


October Classes6 450 H Street, NW,

Washington, DC 20001Monday, October 1st, 2013 Department of Youth Rehabilitation Services -District

Government Employees Federal Credit Union(DGEFCU)3 Day Workshop Orientation

20

6 450 H Street, NW,Washington, DC 20001

Tuesday, October 2nd, 2013 DYRS-DGEFCU 3 Day Workshop Orientation 18


Wednesday October 3rd, 2013 DYRS-DGEFCU 3 Day Workshop Orientation 18


Wednesday October 23rd, 2013 DYRS-DGEFCU 3 Day Workshop Orientation 5


Thursday October 24th, 2013 DYRS-DGEFCU 3 Day Workshop Orientation 3

7 1300 44th Street NE,Washington D.C. 20019

Tuesday October 22nd, 2013 DC Promise Neighborhood Initiative - DCPNI ParentAcademy Classes

4


Thursday October 24, 2013 DCPNI Parent Academy Classes 5


Tuesday October 29, 2013 DCPNI Parent Academy Classes cancelled


Thursday October 31st, 2013 DCPNI Parent Academy Classes cancelled

7 3939 Benning Road NEWashington DC

Community Reinvestment Act Listening Session (DISB/Bank on DC/ Federal Deposit Insurance Corporation-FDIC)

26

7 4058 Minnesota Avenue,NE, Washington, DC20019

October classes Project Empowerment (DOES) 44

Subtotal October2013-

143

November Classes7 1300 44th Street NE,

Washington D.C. 20019November 7th, 2013 DCPNI Parent Academy Classes 1


November 12th, 2013 DCPNI Parent Academy Classes


November 14th, 2013 DCPNI Parent Academy Classes 1


November 19th, 2013 DCPNI Parent Academy Classes cancelled

Page 1 of 3



November 21st, 2013 DCPNI Parent Academy Classes cancelled


November 5th, 2013 DYRS-DGEFCU 3 Day Workshop Orientation 5










November 21st, 2013 DYRS-DGEFCU 3 Day Workshop Orientation 22


November Class (11th) Project Empowerment (DOES) 43

1 3101 16th Street, NWWashington DC 20010

Metro Washington Financial Planning Day 200

6 DC Armory 2001 EastCapital Street

DC National Guard Challenge Academy 51

Subtotal November2013-

369

December Classes7 1300 44th Street NE,

Washington D.C. 20019Tuesday, December 3rd, 2013 DCPNI Parent Academy Classes 0


Thursday, December 5th, 2013 DCPNI Parent Academy Classes 0

Virtual Wednesday, December 18th, 2013 PNC Webinar 53 50 Irving St. NW.

Washington, DC 20422Wednesday, December 18th 2013 VALOR - National Veterans Center 9


Monday, December 16th, 2013 DYRS Family Support Group 14


December Class (23rd) Project Empowerment (DOES) 57


December Class (2nd) Project Empowerment (DOES) 42

Page 2 of 3


Subtotal December2013 -

127

January Classes4 3700 10th Street, NW,

Washington, DC, 20010January 8th ESCROW - Quarterly class 10

Virtual January 7th ESCROW Monthly webinar 96 305 E Street NW,

Washington, DC 20001January 11th Family 2 Family Mentoring Program 9

Subtotal January2014 -

28

FY 2014 TOTAL 667

Page 3 of 3

Name Address City Zip WardAmalgamated Bank 1825 K Street, NW Washington 20006 2

American Bank 5600 Connecticut Avenue, NW Washington 20015 3

American Bank 1301 K St, NW Washington 20005 2

Bank of America, National Association 3100 14th Street, NW Washington 20010 1

Bank of America, National Association 600 14 Th St, NW Washington 20005 2

Bank of America, National Association 915 Rhode Island Avenue, NE Washington 20018 5

Bank of America, National Association 1501 Pennsylvania Avenue, NW Washington 20006 2

Bank of America, National Association 901 K Street, NW Ste 101 Washington 20001 2

Bank of America, National Association 1339 Wisconsin Avenue, NW Washington 20007 3


Bank of America, National Association 5911 Blair Road, NW Washington 20011 4

Bank of America, National Association 3821 Minnesota Avenue, NE Washington 20019 7

Bank of America, National Association 3401 Connecticut Avenue, NW Washington 20008 3

Bank of America, National Association 3500 Georgia Avenue, NW Washington 20010 1


Bank of America, National Association 201 Pennsylvania Avenue, SE Washington 20003 6

Bank of America, National Association 722 H Street, NE Washington 20002 6

Bank of America, National Association 55 M Street Southeast, Suite 101 Washington 20003 6

Bank of America, National Association 5201 Wisconsin Avenue, NW Washington 20015 3



Bank of America, National Association 2201 C Street, NW Washington 20520 2


Bank of America, National Association 3 Dupont Circle, NW Washington 20036 2


Bank of America, National Association 1835 Columbia Road, NW Washington 20009 1

Bank of America, National Association 4675 South Capitol Street, SW Washington 20032 8

Bank of America, National Association 1801 K Street, NW Washington 20006 2

Bank of America, National Association The Pentagon Washington 20301

Bank of America, National Association 1090 Vermont Avenue, NW Washington 20005 2


Bank of America, National Association 2100 Martin Luther King Jr. Avenue, SE Washington 20020 8

Bank of America, National Association 3131 Mt. Pleasant Street, NW Washington 20010 1

Bank of Georgetown 1001 Wisconsin Avenue, NW Washington 20007 3

Bank of Georgetown 1101 Connecticut Avenue, NW Washington 20036 2

Bank of Georgetown 1350 I Street, NW Washington 20005 2

Bank of Georgetown 444 8th Street, NW Washington 20004 2

Bank of Georgetown 1301 U Street, NW Washington 20009 1

Branch Banking and Trust Company 1099 New York Ave, NW Ste 100 Washington 20001 2

Branch Banking and Trust Company 3101 14th Street, NW Washington 20010 1

Branch Banking and Trust Company 1801 Adams Mill Road, NW Washington 20009 1

Branch Banking and Trust Company 614 H Street, NW Washington 20001 2

Branch Banking and Trust Company 317 Pennsylvania Avenue SE Washington 20003 6

Branch Banking and Trust Company 360 H Street, NE Washington 20002 6

Branch Banking and Trust Company 1909 K Street, NW Washington 20006 2

Branch Banking and Trust Company 5200 Wisconsin Avenue, NW Washington 20015 3

Branch Banking and Trust Company 815 Connecticut Avenue, NW Washington 20006 2

Appendix 19


Banks with Ward Location

Branch Banking and Trust Company 1730 Rhode Island Avenue, NW Washington 20036 2

Branch Banking and Trust Company 1365 Wisconsin Avenue, NW Washington 20007 3



Capital Bank, National Association 1776 I Street, NW Washington 20006 2

Capital One, National Association 1700 K Street, NW Washington 20006 2

Capital One, National Association 3800 Reservoir Road, NW Washington 20057 2

Capital One, National Association 901 New York Avenue Washington 20001 2

Capital One, National Association 701 Pennsylvania Avenue, NW Washington 20004 2

Capital One, National Association 1075 5th St, NW Washington 20001 2

Capital One, National Association 1100 New Jersey Avenue, SE Washington 20003 6

Capital One, National Association 1200 F Street, NW Washington 20004 2

Capital One, National Association 336 Pennsylvania Avenue, SE Washington 20003 6

Capital One, National Association 85 H Street, NW Washington 20001 6

Capital One, National Association 4860 Massachusetts Avenue, NW Washington 20016 3

Capital One, National Association 2831 Alabama Avenue, SE Washington 20020 7

Capital One, National Association 4000 Wisconsin Avenue, NW Washington 20016 3

Capital One, National Association 1800 M Street, NW Washington 20036 2

Capital One, National Association 1545 Wisconsin Avenue, NW Washington 20007 3

Capital One, National Association 5714 Connecticut Avenue, NW Washington 20015 3

Capital One, National Association 1850 K Street, NW Washington 20006 2

Capital One, National Association 925 15th Street, NW Washington 20005 2

Capital One, National Association 1717 Pennsylvania Avenue, NW Washington 20006 2

Capital One, National Association 1100 17th Street, NW Washington 20036 2

Capital One, National Association 3519 Connecticut Avenue Washington 20008 3

Capital One, National Association 4400 Massachusetts Avenue, NW Washington 20016 3

Cardinal Bank 1825 Wisconsin Avenue, NW Washington 20007 3

Cardinal Bank 1776 K Street, NW Washington 20006 2

Carolina Premier Bank 1299 Pennsylvania Avenue, NW Washington 20004 2

Citibank, National Association 1717 K Street, NW Washington 20036 2

Citibank, National Association 1101 Pennsylvania Avenue NW Washington 20004 2

Citibank, National Association 40 Massachusetts Avenue, NE, Suite 105 Washington 20002 6

Citibank, National Association 2221 I Street, NW Washington 20052 2

Citibank, National Association 3241 14th Street, NW Washington 20010 1

Citibank, National Association 750 9th St.NW Suite 101 Washington 20001 2

Citibank, National Association 1101 Pennsylvania Ave, NW, 9th Floor Washington 20004 2

Citibank, National Association 1901 Wisconsin Ave., NW Washington 20007 3

Citibank, National Association 1400 G Street, NW Washington 20005 2

Citibank, National Association 5700 Connecticut Avenue, NW Washington 20015 3


Citibank, National Association 5250 Macarthur Boulevard, NW Washington 20016 3

Citibank, National Association 5001 Wisconsin Avenue, NW Washington 20016 3

Citibank, National Association 1060 Brentwood Road, NE Washington 20018 5


Citibank, National Association 1000 Vermont Avenue, NW Washington 20005 2

Citibank, National Association 3917 Minnesota Avenue, NE Washington 20019 7

Citibank, National Association 600 Pennsylvania Avenue, SE Washington 20015 6

Citibank, National Association 1775 Pennsylvania Avenue, NW Washington 20006 2

City First Bank of D.C., National Association 1432 U Street, NW Washington 20009 1

Colombo Bank 1006 E Street, NW Washington 20004 2

Colombo Bank 1660 L Street, NW Washington 20036 2

Colombo Bank 1301 9th Street, NW Washington 20001 2

Congressional Bank 2101 K Street Northwest Washington 20037 2

E*TRADE Savings Bank 1850 K Street, NW, Suites A & B Washington 20006 2

EagleBank 1044 Wisconsin Avenue NW Washington 20007 3

EagleBank 2001 K Street, NW Washington 20006 2

EagleBank 1228 Connecticut Avenue, NW Washington 20036 2

EagleBank 1425 K Street, NW Washington 20005 2

EagleBank 700 7th Street, NW Washington 20004 2

First-Citizens Bank & Trust Company 1717 Pennsylvania Ave Washington 20006 2

HSBC Bank USA, National Association 1130 Connecticut Avenue N W Washington 20036 2

HSBC Bank USA, National Association 1715 Wisconsin Avenue, NW Washington 20007 3

Industrial Bank 1800 Martin Luther King Jr. Ave, SE Washington 20020 8

Industrial Bank 2000 11th Street, NW Washington 20001 1

Industrial Bank 125 45th Street, NE Washington 20019 7

Industrial Bank 2000 14th Street, NW Washington 20009 1

Industrial Bank 1317 F Street, NW Washington 20004 2

Industrial Bank 4812 Georgia Avenue, NW Washington 20011 4

Invesco National Trust Company 575 7th Street Suite 450 Washington 20004 2

John Marshall Bank 4315 50th Street, NW Washington 20016 3

JPMorgan Chase Bank, National Association 800 Connecticut Avenue Washington 20006 2

Manufacturers and Traders Trust Company 555 12th Street NW Washington 20004 2

Manufacturers and Traders Trust Company 2865 Alabama Avenue, SE Washington 20020 7

Manufacturers and Traders Trust Company 1899 L Street, NW Washington 20036 2

Manufacturers and Traders Trust Company 5630 Connecticut Avenue, NW Washington 20015 3

Manufacturers and Traders Trust Company 2620 Connecticut Avenue, NW Washington 20008 3

Manufacturers and Traders Trust Company 6434 Georgia Avenue, NW Washington 20012 4

Manufacturers and Traders Trust Company 1680 K Street, NW Washington 20006 2

Manufacturers and Traders Trust Company 1420 Wisconsin Avenue Washington 20007 3

PNC Bank, National Association 800 17th Street, NW Washington 20006 2

PNC Bank, National Association 1400 K Street, NW Washington 20005 2

PNC Bank, National Association 1100 H Street, NW Washington 20005 2

PNC Bank, National Association 1331 Pennsylvania Avenue, NW Washington 20004 2

PNC Bank, National Association 1405 P Street, NW Washington 20005 2

PNC Bank, National Association 601 Penn Avenue, NW Washington 20004 2

PNC Bank, National Association 3806 12th Street, NE Washington 20017 5

PNC Bank, National Association 800 H Street, NE Washington 20002 6

PNC Bank, National Association 7601 Georgia Avenue, NW Washington 20012 4

PNC Bank, National Association 2000 Martin Luther King, Jr. Avenue, SE Washington 20020 8

PNC Bank, National Association 4835 Massachusetts Avenue, NW Washington 20016 3

PNC Bank, National Association 4100 South Capitol Street, SE Washington 20032 8

PNC Bank, National Association 5530 Connecticut Avenue, NW Washington 20015 3

PNC Bank, National Association 1348 Fourth Street, NE Washington 20002 5

PNC Bank, National Association 1913 Massachusetts Avenue, NW Washington 20036 2

PNC Bank, National Association 1201 Wisconsin Ave, NW Washington 20007 3

PNC Bank, National Association 4249 Wisconsin Avenue, NW Washington 20016 3

PNC Bank, National Association 1779 Columbia Road, NW Washington 20009 1



PNC Bank, National Association 2600 Virginia Avenue, NW Washington 20037 2

PNC Bank, National Association 1920 L Street, NW Washington 20036 2

PNC Bank, National Association 5252 Wisconsin Avenue, NW Washington 20015 3

PNC Bank, National Association 1800 M Street, NW Washington 20036 2

PNC Bank, National Association 2501 Pennsylvania Avenue Washington 20037 2

PNC Bank, National Association 650 Pennsylvania Avenue, SE Washington 20003 6

PNC Bank, National Association 1919 Pennsylvania Avenue, NW Washington 20006 2

Premier Bank, Inc. 1130 Connecticut Avenue, NW, Suite 200 Washington 20036 2

Premier Bank, Inc. 50 Massachusetts Avenue, SE Washington 20002 6

Premier Bank, Inc. 1604 17th Street, NW Washington 20009 2

Premier Bank, Inc. 1501 K Street, NW Washington 20006 2

Presidential Bank, FSB 1660 K Street Washington 20006 2

State Bank of India (California) 2001 Pennsylvania Avenue, NW Washington 20006 2

SunTrust Bank 100 M Street, SE Washington 20003 6

SunTrust Bank 1855 Wisconsin Avenue, NW Washington 20007 3

SunTrust Bank 624 H Street, NW Washington 20001 2

SunTrust Bank 2250 M Street, NW Washington 20037 2

SunTrust Bank 900 17th St, NW Washington 20006 2

SunTrust Bank 1601 Maryland Avenue, Northeast Washington 20002 5

SunTrust Bank 2845 Alabama Avenue, SE Washington 20020 7

SunTrust Bank 1275 K Street, NW Washington 20005 2

SunTrust Bank 1250 U Street Ne Washington 20009 8

SunTrust Bank 1800 Columbia Road, NW Washington 20009 1

SunTrust Bank 1340 Good Hope Road, SE Washington 20020 8

SunTrust Bank 300 Pennsylvania Avenue, SE Washington 20003 6

SunTrust Bank 1150 Connecticut Avenue, NW Washington 20036 2


SunTrust Bank 965 L'Enfant Plaza North, SW Washington 20024 6



SunTrust Bank 1100 G Street, NW Washington 20005 2

SunTrust Bank Two Massachusetts Avenue, NW Washington 20001 6

SunTrust Bank 3236 Wisconsin Avenue, NW Washington 20016 3

SunTrust Bank 1020 19th Street, NW Washington 20006 2

SunTrust Bank 6422 Georgia Avenue, NW Washington 20012 4

SunTrust Bank 410 Rhode Island Avenue, NE Washington 20002 5

SunTrust Bank 3301 New Mexico Avenue, NW Washington 20016 3

SunTrust Bank 2929 M Street, NW Washington 20007 3

SunTrust Bank 1445 New York Avenue, NW Washington 20005 2

TD Bank, National Association 1753 Connecticut Ave, NW Washington 20009 2

TD Bank, National Association 1275-A First Street, Ne Washington 20002 6

TD Bank, National Association 905 Rhode Island Avenue. Ne Washington 20018 5

TD Bank, National Association 801 17th Street Washington 20006 2

TD Bank, National Association 1200 New Hampshire Avenue, NW Washington 20036 2

TD Bank, National Association 1611 Wisconsin Avenue, NW Washington 20007 3

TD Bank, National Association 1030 15th Street, NW Washington 20005 2

TD Bank, National Association 1489 P Street, NW Washington 20036 2

TD Bank, National Association 4849 Wisconsin Avenue, NW Washington 20016 3

TD Bank, National Association 901 7th Street Washington 20001 2

TD Bank, National Association 605 14th St Washington 20005 2

The National Capital Bank of Washington 316 Pennsylvania Avenue, SE Washington 20003 6

The National Capital Bank of Washington 5228 44th Street, NW Washington 20015 4

The Northern Trust Company 800 Connecticut Avenue, NW, Suite 200 Washington 20006 2

United Bank 3050 Military Road, NW Washington 20015 4

United Bank 4900 Massachusetts Avenue, NW Washington 20016 3

United Bank 1667 K Street, NW Washington 20006 2

United Bank 1275 Pennsylvania Avenue, NW Washington 20004 2

United Bank 1875 Eye Street, NW Washington 20006 2

United Bank 1001 G Street, NW Washington 20001 2

WashingtonFirst Bank 1146 - 19th Street, NW Washington 20036 2

WashingtonFirst Bank 1025 Connecticut Avenue, NW, 1st Floor Washington 20036 2

WashingtonFirst Bank 1500 K Street, NW Washington 20006 2

Wells Fargo Bank, National Association 20 M Street, SE Washington 20003 6

Wells Fargo Bank, National Association 125 Michigan Avenue Washington 20017 5

Wells Fargo Bank, National Association 1200 First Street, NE Washington 20002 5

Wells Fargo Bank, National Association 1545 Alabama Avenue, SE Washington 20032 8

Wells Fargo Bank, National Association 1804 Adams Mills Road, NW Washington 20009 1

Wells Fargo Bank, National Association 1447 P Street, NW Washington 20005 2

Wells Fargo Bank, National Association 3325 14th Street, NW Washington 20010 1

Wells Fargo Bank, National Association 1300 I Street, NW Washington 20005 2

Wells Fargo Bank, National Association 444 North Capitol Street, NW Washington 20001 6

Wells Fargo Bank, National Association 5701 Connecticut Ave, NW Washington 20015 3

Wells Fargo Bank, National Association 2000 L Street, NW Washington 20036 2

Wells Fargo Bank, National Association 4841 Massachusetts Avenue, NW Washington 20016 3

Wells Fargo Bank, National Association 740 15th Street, NW Washington 20005 2

Wells Fargo Bank, National Association 4302 Connecticut Ave, NW Washington 20008 3

Wells Fargo Bank, National Association 1301 Pennsylvania Avenue, NW Washington 20004 2

Wells Fargo Bank, National Association 1100 Connecticut Avenue, NW Washington 20036 2

Wells Fargo Bank, National Association 1800 K Street, NW Washington 20006 2

Wells Fargo Bank, National Association 1300 Connecticut Avenue, NW Washington 20036 2

Wells Fargo Bank, National Association 1510 K Street, NW Washington 20005 2

Wells Fargo Bank, National Association 215 Pennsylvania Avenue, SE Washington 20003 6

Wells Fargo Bank, National Association 1850 M Street, NW Washington 20036 2


Wells Fargo Bank, National Association 5100 Wisconsin Avenue Washington 20015 3

Wells Fargo Bank, National Association 1310 G Street, NW Washington 20005 2

Wells Fargo Bank, National Association 1901 7th St, NW Washington 20001 1

Wells Fargo Bank, National Association 3200 Pennsylvania Avenue, SE Washington 20020 7

Wells Fargo Bank, National Association 5201 Macarthur Boulevard, NW Washington 20016 3

Wells Fargo Bank, National Association 3700 Calvert Street, NW Washington 20007 3


Wells Fargo Bank, National Association 2901 M Street, NW Washington 20007 3

Wells Fargo Bank, National Association 2119 Bladensburg Road, NE Washington 20018 5

Wells Fargo Bank, National Association 600 Maryland Avenue, SW Washington 20024 6

Wilmington Trust, National Association 1350 I Street, NW Washington 20005 2

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