Ny B47 Materials From Gao Review- Book 1 Fdr- On Top- Request For Gao Work Papers

9/11 Commission Request for GAO Workpapers for Review of Impact of 9/11 Attacks on Financial Markets (GAO materials provided noted in bold below) The following are the information sought by Emily Walker in her 8/21/03 email to Davi D'Agostino. 1. Your criteria for assessing the BCPs and any back-up on the reviews of organizations in terms of how they were affected by the attacks and responding since then. I do NOT need names of companies and do not want to challenge the confidentiality which you entered into, but would be interested in the detail substance with no names. Also would be interested in the practices against which you compared them (FSCAM, Business Continuity institute etc), and the survey by NASD. • •

Criteria used by GAO provided. Schedule showing extent of compliance with names identity withheld.

2. Your detailed analysis of the ARPs completed between Jan 2001 and July 2002. • GAO of ARP examinations performed. • Specific examination information considered nonpublic information by SEC and should be sought directly from that agency. 3. Interviews with SEC, OCC, Fed, FFIEC, NYSE, NASD, Treasury, FBEC, Bond Market and SIA on "How financial regulators were addressing physical security, electronic security and BCP against the organizations they are supervising". (Pg28) • Interviews with government agencies are provided. 4. Page 35, any back-up on restrictions to physical access to facilities • Information from NYC government provided. 5. All back-up on the "damage from attacks to telecommunications and power" section including that from the "damage to financial institutions facilities and telecom.." from Chapter 2. • Information from public sources provided. 6. Harvey Pitt interview notes on from pages 47-48 discussion. • Interview and available notes provided.

9/11 Commission Request for GAO Workpapers for Review of Impact of 9/11 Attacks on Financial Markets (GAO materials provided noted in bold below) 7. Summary section pages 47-53 on market closure, we'd like all the back-up on this topic. We have the security clearances. If some of the back-up is located elsewhere (eg Treasury or the Fed) and we must go to the original sources, can you let me know that there is additional materials located elsewhere? •

Government agency and public sources provided.

8. Back-up for data $323 Billion from Fed.. $22 b of securities, Treasury unplanned bond issues, G-7 Currency swaps (Pages 52-53), and the Fedwire data and the CHIPs data and Fed issue related to checks (page 53-54). •

Information from Federal Reserve provided.

9. Back-up to "all financial market organizations were taking steps to reduce the risks of operations disruptions" (pages 62-63). •

Schedule showing extent of compliance with names identity withheld (See tab Q.I).

10. Supporting documents for NYSE interviews indicated in subtopic "Some financial organizations had preparedness limitations that increased their risk of disruption". •

Schedule showing extent of compliance with names identity withheld (See tab Q.I).

11. Any information on bank regulator staff drafting the separate guidance handbook addressing business continuity issues (page 83). • Issued guidance provided.

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