Spreadsheet: rick_buy__32713__08_9_01 Daily Log
Sheet: Sheet1

LOG OF DAILY VALUATION ISSUES
CLASS
A   -   Deal Capture
B   -   Deal Valuation
C   -   [NAME] in transfer of data to RiskTrac (Officializing Process) - Human
D1   -   [NAME] in transfer of data to RiskTrac (Officializing Process) - IT (UK)
D2   -   [NAME] in transfer of data to RiskTrac (Officializing Process) - IT (US)
E   -   Curve Issues
F   -   No ones fault.  System needs to change.
G   -   Other
H   -   Not identified.
 |  |  |  | RESPONSIBLE |  |  |  | VAR | CREDIT | IMPACT CASH | STATUS
DATE | BOOK/AREA | Group | COMMODITY/OFFICE | PARTY | CLASS | PROBLEM | ACTION PLAN | RERUN? | AFFECTED? | FLOWS? | (DATE)
2001-08-09 00:00:00 | FRT-UCF-PRC | EGM | Freight | [NAME] |  | Newly created spreadsheet book, which required upload into system.  Due to BA lacking access to RisktRAC, data was being uploaded by GRO group in the AM. | Working with BA to obtain needed access and train in upload of file. | Y | Y | Y | Done
2001-08-09 00:00:00 | UK-CSS-PRC | EEL | UK Global Products | [NAME] | F | Book is officialized in London, however due to the timing of London COB process and Credit process, the book is not captured by CAS upload.   However, the book only contains internal trades and as such has no impact on Credit.  The book was properly captured for VaR purposes. | The timing of CAS process can not be changed due to requirements from UK office.  Given that the book had no 3rd party exposure no further work considered necessary. | N | Y | N | Done
2001-08-09 00:00:00 | Nordic Power | EEL | Nordic Power | [NAME] | D1 | Nordic power was loaded late due to slow feed during simultaneous load of UK Power and Eastern Spreadsheets into RisktRAC. | Due to the pending rollout of [NAME] and age of Nordic valuation engine, there are no plans to update the system.  [NAME] and IT working to identify issues surrounding rollout of Energydesk.com. | Y | Y | N | Done
2001-08-08 00:00:00 | OIL-SPEC4-BR-PRC; OIL-SPEC4-GOIP-PRC; OIL-SPEC4-HO-PRC; OIL-SPEC4-HU-PRC; OIL-SPEC4-NG-PRC; OIL-SPEC4-WTI-PRC | EGM | US Global Products | [NAME] | C | BOOKS WERE NOT OFFICIALIZED.  Book was officialized in the AM.  The book had no 3rd party exposures.  Reran VaR | Recommunicated Active/Inactive website | Y | N | Y | Done
2001-08-08 00:00:00 | Nordic Power | EEL | Nordic Power | [NAME] | D1 | Nordic Power was loaded late into RisktRAC due to the overnight MtM failure.  Subsequent rerun failed.  3rd attempt succeeded and transmitted to [NAME]. | Due to the pending rollout of [NAME] and age of Nordic valuation engine, there are no plans to update the system.  However IT is attempting to identify issue. | Y | Y | N | Done
2001-08-08 00:00:00 | UK-CSS-PRC | EEL | UK Global Products | [NAME] | C | Book was not officialized | Communicated need to officialize daily despite only have internal trades. | N | N | N | Done
2001-08-08 00:00:00 | POWER-SS-R3B-PRC | EA | US Power EAST / Financial | [NAME]Sheila Glover | C | Book was not officialized as data is calculated by GRM and provided to Power Desk for upload, however for COB 08/07/01 data was not provided.  Data was uploaded in the AM and VaR rerun. | RM has agreed that if GRM group does not provide COB data by 6pm Houston time then GRM group will upload data into RisktRAC. | Y | Y | Y | Done
2001-08-07 00:00:00 | UK Power | EEL | UK Power |  | G | Net open positions reported by RisktRAC for UK power missing approximately 7.7 terrawatts compared to data transmitted. | Data is trasnmitted to RisktRAC using 4 file format, which requires consistancy between tables in the file.  Certain deals were not contained within one of the tables which prevented their capture for Net open positions.  Deals have been identified and IT resolutions have been developed to prevent future occurance.   Update:  Upon further review issued identified as being missing curve.  Information will be updated in subsequent days. | N | N | N | Done
2001-08-07 00:00:00 | FT-UPSTRM-GDI; EAST-GULF2-GDI; EAST-GULF1-GDI; EAST-NEWYORK-GDI; FT-INTRA-CENTR-GDI; EAST-NORTHWEST-GDI | EA | US GAS | IT | H | Books were properly officialized for COB 08/07/01 and were captured for VaR and Credit purposes.   However, in the AM the PostIDs related to these books were retransmitted to RisktRAC.  BA indicated he had made no changes and IT indicated that there may be an issue on the ERMS side with the time stamp related to officialized books. | IT and GRMO will monitor PostIDs to identify future impact. | N | N | N | Done
2001-08-07 00:00:00 | Sap Euroope Credit File |  |  |  | G | Update pending |  | N | Y | N
2001-08-07 00:00:00 | CCO-ENPOWER-PRC | EGM | US Financial | [NAME] | D2 | The book is a new empower book.  Due to a standard naming convention that is used by RisktRAC to populate enPower books the data was not captured.  A new naming convention parameter was added to RisktRAC to ensure capture of book.  Due to the process followed by Credit data was properly captured. | Communicated enPower naming convention needs to Global Risk Controls to ensure any future enPower books are properly created and captured by RisktRAC. | Y | N | N | Done
2001-08-07 00:00:00 | Nordic Power | EEL | Nordic Power | [NAME] | D1 | Nordic loaded late due to MtM not properly calculating .  MtM was reinitiated and data transmitted to | Due to the pending rollout of [NAME] and age of Nordic valuation engine, there are no plans to update the system.  However IT is attempting to identify issue. | Y | Y | N | Done
2001-08-07 00:00:00 | POWER-SS-R3B-PRC | EA | US Power EAST / Financial | [NAME]Sheila Glover | C | Book was not officialized as data is calculated by GRM and provided to Power Desk for upload, however for COB 08/07/01 data was not provided.  Data was uploaded in the AM and VaR rerun. | RM has agreed that if GRM group does not provide COB data by 6pm Houston time then GRM group will upload data into RisktRAC. | Y | Y | N | Done
2001-08-07 00:00:00 | UK-CSS-PRC | EEL | UK Global Products | [NAME] | C | Book was not officialized.  However, it does not have 3rd party exposures, so no impact on [NAME]. | Communicated need to officialize daily despite only have internal trades. | N | N | N | Done
2001-08-07 00:00:00 | ENA-FT-WT-SOCAL-GDI | EA | US Gas West | [NAME] | C | Book was officialized, however the post id had incorrect dates.  RisktRAC  therefore did not recognize that PostID for 08/07/01.  The book had no deals and as such had no VaR or Credit exposure. | Communicated the use of Active/Inactive website.  Due to the lack of deals in the book it will be marked inactive. | N | N | N | Done
2001-08-06 00:00:00 | Unify Power | EGM | Unify  Power |  | G | File was not transmitted as scheduled run.  CAS IT had to pull data in manually.  File impacts the Margin position for ENRON | Update pending | N | Y | N | Pending
2001-08-06 00:00:00 | Nordic Weather Credit File | EEL | [NAME] | Didrik Thraner Nielsen | C | Due to Human error the file was not processed in time.  It was subsequently sent. | Recommunicated deadline | N | Y | N | Pending
2001-08-06 00:00:00 | UK Power | EEL | UK Power | [NAME] | D1 | Book loaded late into RisktRAC due to slow processing caused by simultaneous loading of Nordic Power and UK GAS |  | Y | Y | N | Done
2001-08-06 00:00:00 | FRT-DIESEL-PRC; FRT-FWD-TXFR-PRC; FRT-HO-PRC; FRT-LC-PRC; FRT-MIDWEST-BAS; [NAME]; FRT-MOUNTAIN-BAS; FRT-MOUNTAIN-PRC;  FRT-NORTHEAST-BAS; FRT-NORTHEAST-PRC; FRT-NORTHWEST-BAS; FRT-NORTHWEST-PRC; FRT-OHIO-BAS; FRT-OHIO-PRC; FRT-SOUTHCENT-BAS; FRT-SOUTHCENT-PRC; FRT-UCF-PRC; FRT-WEST-BAS;FRT-WEST-PRC; FRT-WTI-PRC | EGM | Freight | [NAME] | C | Books were not officialized, however the books do not contain positions and therefore did not impact VaR or Credit. | Communicated importance of officializing all active books and  use of Active/Inactive  website. | Y | N | N | Done
2001-08-03 00:00:00 | UK Power | EEL | UK Power | [NAME] | G | Data was received late due to reduced speeds caused by simultaneous load of data into  RisktRAC from Nordic and Continental Power. |  | Y | Y | N | Done
2001-08-03 00:00:00 | ENA-FT-WT-SOCAL-GDI; ENA-FT-WT-SJ-GDI;ENA-FT-WT-SJ-GDL | EA | US Gas West | [NAME] | C | Socal book was officialized twice, which caused RisktRAC to reject both PostIDS.  The book had no 3rd party exposures.  The SJ-GDI book was inadvertently officialized twice, while the SJ-GDL book was not officialized.  GDI book had minimal mtm value. | Communicated problems to BA. | N | Y | N | Done
2001-08-03 00:00:00 | GD-TEXAS-GDI | EA | US GAS TEXAS | [NAME] | D2 | Book was officialized, however due to a region code mismatch on the source system the data was not captured by RisktRAC.  Book has no impact on VaR | Recommunicated use of active/inactive website. | N | Y | N | Done
2001-08-02 00:00:00 | Nordic Power | EEL | Nordic Power | [NAME] | D1 | MTM values related to book not received during upload.  Reiniated MTM process and reloaded. | Due to planned rollout of energydesk no additional work performed to identify issue. | Y | Y | N | Done
2001-08-02 00:00:00 | UK Power | EEL | UK Power | [NAME] | H | Net Open positions reported by RisktRAC for UK power missing approximately 5 terrawatts compared to data transmitted. | RM researching issue. | N | Y | N | Pending
2001-08-02 00:00:00 | ENA-FT-WT-SOCAL-GDI | EA | US Gas West | [NAME] | C | Book was officialized, however due to an attribute mismatch the  data was not captured.  The book does not have VaR impact. | Attribure mismatch was identified and corrected. | N | Y | N | Done
2001-08-02 00:00:00 | FT-CENTRAL-OPT-GDI | EA | US Gas Central | [NAME] | C | Book was officialized, however due to a region code mismatch on the source system the data was not captured by RisktRAC.  Book has no impact on VaR | Region code mismatch was identified and corrected. | N | Y | N | Done
2001-08-02 00:00:00 | UK-FIN-ET-HSNF-PRC | EGM | UK Global Products | [NAME] | C | Book had previously been made inactive by RM.  [NAME] had to change attributes to note its reactivation.  Book had no VaR or Credit impact as is has no deals. | Recommunicated importance of communicating with downstream users any changes in upstrem procedures. | N | N | N | Done
2001-08-02 00:00:00 | GD-TEXAS-GDI | EA | US GAS TEXAS | [NAME] | D2 | Book was officialized, however due to a region code mismatch on the source system the data was not captured by RisktRAC.  Book has no impact on VaR | Recommunicated use of active/inactive website. | N | Y | N | Done
2001-08-02 00:00:00 | CCO-ENPOWER-PRC | EGM | US Financial | [NAME] | C | Book was not officialized. | Communicated need to officialize book daily. | N | Y | Y | Done
2001-08-02 00:00:00 | PWR-NG-TEXAS-GDI; PWR-NG-ST-HEDGE-GDI;PWR-MG-GAS-MTM-GDI; PWR-NE-GAS-MTM-GDI; PWR-MW-GAS-MTM-GDI; PWR-NG-ERCT0-AST-GDI | EA | US Power EAST | IT | H | Books were officialized, however the data was not captured by RisktRAC.  No problem noted during end of day procedures or with data attributes.  IT could not resolve the issue. | IT and RM will monitor GDI books to identify any future problems.  Subsequent review of Postids noted that positions were captured later in the day. | N | Y | N | Pending
2001-08-01 00:00:00 | South America Power | EA | SA Power | [NAME] | E | RM did not upload current day curve data.   Data was uploaded and VaR rerun. | When curve data is missing the VaR engine reverts to prior day.  However, emphasized need to load curve data on a daily basis. | Y | N | N | Done
2001-08-01 00:00:00 | FT-PRM-WEST-PRC | EA | US GAS WEST | [NAME] |  | Update pending
2001-08-01 00:00:00 | US GAS West Books | EA | US GAS WEST | [NAME] | G | Due to extensive rearranging of book structure in West, books were not officialized until after 3 am.  This prevented IR/FX group from capturing data as there process begins at 3 am and credit from capturing.  Process was restarted in the AM. | Develop improved communications between groups to insure that any upstream changes or delays in procedures will not impact downstream systems. | N | Y | Y | Done
2001-08-01 00:00:00 | PWR-NG-WEST-GD-GDL | EA | US POWER WEST | [NAME] | C | Book was not officialized | Communicated need to officialize book daily. Additionally, emphasized use of Active/Inactive website. | Y | Y | Y | Done
2001-08-01 00:00:00 | FT-CENTRAL-OPT-GDI | EA | US Gas Central | [NAME] | C | Book was officialized, however due to a region code mismatch on the source system the data was not captured by RisktRAC.  Book has no impact on VaR | Region code mismatch was identified and corrected. | N | Y | N | Done
2001-08-01 00:00:00 | CCO-ENPOWER-PRC | EGM | US Financial | [NAME] | C | Book was not officialized. | Communicated need to officialize book daily. | N | Y | Y | Done
2001-08-01 00:00:00 | UK Power | EEL | UK Power | [NAME] | D1 | Book was transmitted late to RisktRAC due to prolonged review by RM.  Review required due to query posed by trader.  Issue was resolved and data transmitted. | Issue was resolved and data transmitted. | Y | Y | N | Done
2001-07-31 00:00:00 | PWR-MW-GAS-MTM-GDI | EAM | US Power EAST | [NAME] | C | Book was officialized, however due to a region code mismatch on the source system the data was not captured by RisktRAC.  Book has no impact on VaR | Region code mismatch was identified and corrected. | N | Y | N | Done
2001-07-31 00:00:00 | ST-BAMMEL-FNCL-GDL | EAM | US GAS TEXAS | [NAME] | C | Book was officialized, however due to its placement in the hierarchy, the positions were reported on book ST-BAMMEL-HPL-GDL.  A requested change in hierarchy was processed. | N/A.  The book data was captured, however reported in another book.  Therefore there was no impact on overall VaR or Credit. | N | N | N | Done
2001-07-31 00:00:00 | OIL-NG-HDG-CAB-GDI |  | US Gas Financial | [NAME] | C | Book was officialized, however due to a region code mismatch on the source system the data was not captured by RisktRAC.  Book has no impact on VaR | Region code mismatch was identified and corrected. | N | Y | N | Done
2001-07-31 00:00:00 | INTRA-CEN-MID2-PHY; FT-CENTRAL-OPTI-GDI | EAM | US Gas Central | [NAME] | C | The physical book was officialized twice, which prevented the capture of any postid by RisktRAC.  The GDI book had a book code mismatch, which prevented the capture of data. The GDI book has no impact on VaR calculation. | Communicated the need to contact RisktRAC IT when book is officialized twice and corrected code mismatch. | Y | Y | N | Done
2001-07-31 00:00:00 | UK-FIN-ET-HSNF-PRC
2001-07-31 00:00:00 | EAF-AUS-PRC | EEL | Australia Power | [NAME] | H | Due to iT issues with EnPower and end of the month procedures, the book was not officialized as part of COB.  Officialized subsequently. | Issue has been resolved.  Subsequent days were officialized without issue. | N | Y | Y | Done
2001-07-31 00:00:00 | CREDIT Trading file |  |  |  |  | File was not transmitted as scheduled run.  CAS IT had to pull data in manually.  The system was reading off the wrong effective date which caused the error. | IT identified the issue and modified the program to capture business day rather than calendar date. | N | Y | N | Done
2001-07-31 00:00:00 | EURO-PREPAY-PRC | EGM | Global Products | [NAME] | C | Book was officialized late the following day.
2001-07-30 00:00:00 | Risk Type "Y" books | EA |  |  | D2 | Due to new risk type in ERMS a significant number of new books were created to address these books.  The attributes on some of these new books had mismatches that prevented their capture in RisktRAC.  As these new books donot have an impact on VaR it was not rerun. | Identifed books with attribute mismatch were corrected.  Discussed importance of maintaining correct attributes with RM. | N | Y | Y | Done
2001-07-30 00:00:00 | Unify Gas | EGM | Unify Gas & Power |  | G | File was not transmitted as scheduled run.  CAS IT had to pull data in manually.  File impacts the Margin position for ENRON | Update pending | N | Y | Y | Done
2001-07-30 00:00:00 | Nordic Power | EEL | Nordic Power | [NAME] | D1 | File was loaded late into RisktRAC due to an overnight failure fo the MTM.  The MTM failed to include data for futures and options. | Due to the upcoming roll out of Energydesk.com, which will replace current MtM engine, no further efforts are considered cost effect.  Go live on Energydesk.com is Aug 6. | Y | Y | Y | Done
2001-07-30 00:00:00 | Power VaR | EA | Power East | [NAME] | E | Volatilty for R1B curve was marked incorrectly by trader, which materially overstated VaR for positions against the curve.  Curve data was corrected, reloaded and VaR rerun. | Update Pending | Y | N | N | Pending
2001-07-27 00:00:00 | FIN-AGRI-GRAINS-PRC; UK-COFFEE-PRC;FIN-AGRI-SOFT-PRC;UK-COCOA-PROP-PRC;UK-SUGAR-NYBO-P-PRC | EGM | US Financial | [NAME] | H | Books had liquidated, but were still reporting deal legs with zero volumes and mtm value.  Book has been officialized to zero, however due to deal leg table it appears as though it has Credit and VaR exposure, when non appears to exist. | BA and ERMS IT working to identify issue and correct to insure proper data capture by RisktRAC and CAS. | N | Y | N | Pending
2001-07-27 00:00:00 | Eastern 1 & 2 spreadsheets | EEL | Eastern Spreadsheets | [NAME] | D1 | Positions in spreadsheets were rolled from COB Jul 26.  The data was rolled due to an error in the overnight MtM run of the Excel based models.  Data being rerun and will be feed to RisktRAC later. | Update pending. | Y | Y | Y | Pending
2001-07-27 00:00:00 | EBS-BWT-PRC | EEL | UK EBS | Niel Tarling | D1 | File is used to report credit positions. Information was issued late, due to moving of office personnel.  However no impact on VaR. | Recommunicated need to issue files in a timely manner. | N | Y | N | Done
2001-07-27 00:00:00 | FRT-DIESEL-PRC; FRT-HO-PRC; FRT-LC-PRC; FRT-MIDWEST-BAS; [NAME]; FRT-MOUNTAIN-BAS; FRT-MOUNTAIN-PRC;  FRT-NORTHEAST-BAS; FRT-NORTHEAST-PRC; FRT-NORTHWEST-BAS; FRT-NORTHWEST-PRC; FRT-OHIO-BAS; FRT-OHIO-PRC; FRT-SOUTHCENT-BAS; FRT-SOUTHCENT-PRC; FRT-SOUTHEAST-BAS; FRT-SOUTHEAST-PRC; FRT-UCF-PRC; FRT-WEST-BAS; FRT-WEST-PRC; FRT-WTI-PRC; FRT-FWS-TXFR-PRC | EGM | US Freight | [NAME] | F | Book was officialized, however it was done over the weekend.  The books were not captured by the CAS upload as the process started prior to these books being official.  Credit uploaded positions in the morning. | Discussed timing of weekend upload with CAS IT to ensure that any books officialized over the weekend are captured.   Additionally coordinated with RisktRAC IT to adjusting timing of reporting on Active/Inactive Website to ensure books officialized over the weekend are also captured. | N | Y | N | Done
2001-07-26 00:00:00 | Canadian Cash Flow Issue | EA | Canadian Gas | [NAME] | C | IR/FX group reported issue with [NAME] related to Canada Alberta Book.  Book was not officialized during COB 26 procedures.  Officialized in the AM. | As the book as demoninated in CAD$ there was no impact on VaR or Credit as they use the US$ denominated book, which was officialized.  Communicated importance of officializing all books. | N | N | Y | Done
2001-07-26 00:00:00 | EBS-BWT-PRC | EEL | UK EBS | Niel Tarling | D1 | File is used to report credit positions. Information was issued late, due to IT server issues.  However no impact on VaR. | Recommunicated need to issue files in a timely manner. | N | Y | N | Done
2001-07-25 00:00:00 | PAPER-EUROPE-PRC; PE-DMPA4-PRC; PE-EPBHKP-PRC; PE-LWC60-PRC; PE-MXDWSTE-PRC; PE-NBSKINV-PRC; PE-NEW45-PAP48-PRC; PE-NEWS45-PRC | EGM | European Paper | [NAME] | F | Books were not officialized until after the Credit Process, therefore they had to be manually reloaded into CAS system | Due to reporting requirements of certain foreign offices the timing of the Credit load can not be changed.  Will need to handle late officializations on a one off basis. | N | Y | N | Done
2001-07-25 00:00:00 | FIN-AGRI-GRAINS-PRC; UK-COFFEE-PRC;FIN-AGRI-SOFT-PRC;UK-COCOA-PROP-PRC;UK-SUGAR-NYBO-P-PRC | EGM | US Financial | [NAME] | H | Books had liquidated, but were still reporting positions.  BA attempted to officialize to zero, however positions still appeared. Credit was advised and had to manually delete incorrect data. | ERMS IT identified the issue as potentially being an incorrect liquidation date, which created the problem.  BA to correct liquidation date and officialize to zero. | N | Y | Y | Done
2001-07-25 00:00:00 | UK Coal Books | EGM | UK Global Products | [NAME] | D1 | UK Coal positions were incorrect due to attribute mismatch.  Database ID was changed to ERMS-OLD at request of users, which prevented position capture by RisktRAC. [NAME] was corrected and positions were reloaded.  VaR was rerun. | Communicated importance of maintaining data integrity as it relates to book attributes. | Y | Y | N | Done
2001-07-25 00:00:00 | CLEAN-ERMS-XL-PRC | EGM | US Global Products | [NAME] | C | Book was not officialized.  Uploaded to RisktRAC in the A.M. | Recommunicated the use of Active/Inactive website. | Y | Y | N | Done
2001-07-24 00:00:00 | UNIFY Power and Gas Files | EGM | Unify Gas & Power |  | G | File was not transmitted as scheduled run.  CAS IT had to pull data in manually.  File impacts the Margin position for ENRON | Update pending | N | Y | Y | Done
2001-07-24 00:00:00 | FT-CAND-AB-GDL-GDI; FT-CAND-OP-GD-GDI | EA | Canadian Gas | [NAME] | F | Books are the new Y type risk code.  They were not officialized as the new "y" risk type is not properly valuing options.  Positions were moved to another book and are being calc'd using old methodolgy.   Y Books will be calc'd to zero to prevent incorrect data capture by credit and marked inactive until a resolution can be developed. | RM is working with IT to develop alternative procedures.  Until resolution is developed books will be marked inactive and not officialized. Positions will be moved to another book and calc'd using old methodology. | N | Y | Y | Done
2001-07-24 00:00:00 | FT-ENOV-GDL | EA | US Ennovate | [NAME] | C | Book was officialized, however due to an attribute mismatch the book was not captured by RisktRAC.  [NAME] was identified and corrected. | Communicated importance of maintaining data integrity as it relates to book attributes. | N | Y | Y | Done
2001-07-24 00:00:00 | UK Power | EEL | Uk Power | [NAME] | C | UK Power was loaded late due to a failure by the launcher to recognize UK Power as officialized. | IT has identified the issue and implemented a fix. | Y | Y | Y | Done
2001-07-23 00:00:00 | FT-IM-ENOV-GDL | EA | US Ennovate | [NAME] | C | Book was officialized, however due to an attribute mismatch the book was not captured by RisktRAC. | Issue was identified on 07/25.   Proper procedures for changing attributes communicated to BA. | N | Y | N | Pending
2001-07-23 00:00:00 | FIN-AGRI-GRAINS-PRC; UK-COFFEE-PRC | EGM | US Financial | [NAME] | C | Books were made in active, however they needed to be officialized to zero to insure proper capture by credit Dept. | Communicated the need to officialize books to zero to properly capture data for Credit purposes. | N | Y | Y | Done
2001-07-23 00:00:00 | Nordic Power | EEL | Nordic Power | [NAME] | D1 | File was loaded late into RisktRAC due to an overnight failure fo the MTM.  The MTM failed to include data for futures and options. | Due to the upcoming roll out of Energydesk.com, which will replace current MtM engine, no further efforts are considered cost effect. | Y | Y | Y | Done
2001-07-23 00:00:00 | UK-RESID3%-HSNF-PRC; UK-RES-STORAGE-PRC | EGM | UK Global Products | [NAME] | C | Book is normally officialized in US.   It was not officialized as part of end of day process. | Recommunicated the need to officialize all books and use of Active/Inactive website. | N | Y | Y | Done
2001-07-23 00:00:00 | FT-INT-CEN-MKT-BAS | EA | US Gas Central | [NAME] | C | Book was not officialized as part of end of day process.  Book was officialized in the AM. | VaR was rerun. Recommunicated use of active/inactive website. | Y | Y | Y | Done
2001-07-20 00:00:00 | FT-IM-ENOV-GDL | EA | US Ennovate | [NAME] | C | Book was officialized, however due to an attribute mismatch the book was not captured by RisktRAC. | BA is working with ERMS IT to determine issue and resolution. | N | Y | Y | Pending
2001-07-20 00:00:00 | EES-MTM Power at Coutnerparty level | EES | EES Power | [NAME] | C | EES Power MTM at counterparty level feed for Credit not received for COB 07/19.  Per [NAME] this is due to IT issues. | Update pending | N | Y | Y | Pending
2001-07-20 00:00:00 | FT-KATY-GDI | EA | US GAS TEXAS | [NAME] | C | Book was officialized, however due to an attribute mismatch the book was not captured by RisktRAC. | [NAME] was resolved.  [NAME] importance of maintaining book attributes. | N | Y | Y | Done
2001-07-20 00:00:00 | UK Power | EEL | UK Power | [NAME] | D1 | MTM automatic kick off failed to run on Dove Calc. IT manually started process, however settings were incorrectly mapped.  Reran Process and loaded late into RisktRAC. | Updated manually process to correctly map data. | Y | Y | Y | Done
2001-07-20 00:00:00 | Eastern Spreadsheets 1&2 | EEL | Eastern Spreadsheets | [NAME] | D1 | MTM data was rolled from July 19 as process requires data from UK Power to calculate MTM for spreadsheets.  COB 07/23/01will have 4 calendar days data for DPR purposes. | See action plan below. | N | Y | Y | Done
2001-07-20 00:00:00 | PWR-NG-HEDGE-PRC | EA | US Power | [NAME] | C | Book was not officialized as the book was flat, however it did have 3rd party exposures. | Recommunicated the need to officialize all books with deals regardless of whether it is flat, as it may have credit impact. | N | Y | Y | Done
2001-07-19 00:00:00 | FT-IM-ENOV-GDL; INTRA-ENOV-GDL | EA | US Ennovate | [NAME] | C | Books were not officialized | Recommunicated importance of Book attributes and not changing once book created until communicated to downstream users. | Y | Y | Y | Done
2001-07-19 00:00:00 | UK Power | EEL | UK Power | [NAME] | D1 | Overnight MTM failed due to server problems and attempts to rerun in the morning failed due to a conflict with GCP refresh occurring at the time.  MTM process was reinitiated and data loaded into RisktRAC. |  | Y | Y | Y | Done
2001-07-19 00:00:00 | Discounting UK Portfolio |  | Global Products |  | G | Due to certain relationships that existed within RisktRAC hierarchy certain new global market books created were in both [NAME] and Credit AGG.  This created duplicate data within Credit that was manually corrected prior to upload into CAS systems. | Global Risk Controls personnel corrected duplicate books with guidance from UK Global Products RM.  Credit is working with UK RM to determine best way to eliminate need for Discounting UK portfolio. | N | Y | N | Done
2001-07-19 00:00:00 | Risk Type "Y" books |  |  |  | C | Due to new risk type in ERMS a significant number of new books were created to address these books.  The attributes on some of these new books had mismatches that prevented their capture in RisktRAC.  As these new books donot have an impact on VaR it was not rerun. | Identifed books with attribute mismatch were corrected.  Discussed importance of maintaining correct attributes with RM. | N | N | N | Done
2001-07-18 00:00:00 | Nordic Power | EEL | Nordic Power | [NAME] | D1 | Nordic Power was loaded late into RisktRAC  due required rerun of MTM due to omission of Nordic futures and options. | Update Pending | Y | Y | Y | Pending
2001-07-18 00:00:00 | NG-LTX-GDL; OIL-NG-HDG-CAB-GDL | EA | US Gas Financial | [NAME] | C | Due to attribute mismatch the book data was not captured by RisktRAC.   [NAME] was rerun once book attributes corrected and book reofficialized. | Recommunicated importance of Book attributes and not changing once book created until communicated to downstream users. | Y | Y | N | Done
2001-07-17 00:00:00 | EES Credit File | EES | US EES GAS | [NAME] | H | Credit file with detailed counterparty detail has not been sent in accordance with set schedule. | Update pending from [NAME].  Update:  Per [NAME] the file was properly uploaded by BA, however data not captured by RisktRAC.  Have developed procedures to confirm that loaded information was captured by RisktRAC. | N | Y | N | Done
2001-07-17 00:00:00 | PAPER-EUROPE-PRC; PE-DMPA4-PRC; PE-EPBHKP-PRC; PE-LWC60-PRC; PE-MXDWSTE-PRC; PE-NBSKINV-PRC; PE-NEW45-PAP48-PRC; PE-NEWS45-PRC | EGM | European Paper | [NAME] | C | Books were not officialized until after the Credit Process, therefore they had to be manually reloaded into CAS system | Due to reporting requirements of certain foreign offices the timing of the Credit load can not be changed.  Will need to handle late officializations on a one off basis. | N | Y | N | Done
2001-07-16 00:00:00 | NG-PRICE-CRUDE-PRC | EA | US GAS | [NAME] | C | Book was not officialized | Book was officialized, however as there were no positions there was no impact on VaR or Credit. | N | N | N | Done
2001-07-16 00:00:00 | Nordic Power | EEL | Nordic Power | [NAME] | D1 | Book was officialized late due to server performance.  Due to volume of details and lack of server space server is performing slow. | Implementation of energydesk.com will improve data processing.  ETA on go live is late July 01. | Y | Y | Y | Done
2001-07-13 00:00:00 | Continental Power | EEL | European | [NAME] | D1 | Continental power was not able to officialize due to a Portcalc failure.  Issue had not been identified and Houston IT was working on resolving the issue. | It identified the issue to be an increase in the regions within th correlation table that were added Jul 12th.  This increase caused the buffer to exceed size limitations.  Resolution was to increase buffer to accommodate change. | N | Y | Y | Done
2001-07-13 00:00:00 | Paper VaR | EGM | Paper | [NAME] | E | Paper VaR changed approx $1 mil between Jul12 and 13, which was not expected by Desk. | Reason for change has not been identified.  RM and GRO working to identify issue and propose action plan. UPDATE:  Issue has been identified to be incorrect data in the months.  Data was corrected for subsequent days.  [NAME] are in place to identify incorrect data load for a curve. | Y | N | N | Done
2001-07-13 00:00:00 | UK Power Spreadsheets | EEL | UK Power | [NAME] | D1 | Spreadsheets were officialized late due to IT issues encountered on Computer.  Reiniated process on different computer and loaded into RisktRAC. | RM has decided to only use computer with successful load for officialization until issue can be identified. | Y | Y | Y | Done
2001-07-13 00:00:00 | Nordic Power | EEL | Nordic Power | [NAME] | D1 | Book was officialized late due to server performance.  Due to volume of details and lack of server space server is performing slow. | Implementation of energydesk.com will improve data processing.  ETA on go live is late July 01. | Y | Y | Y | Done
2001-07-12 00:00:00 | UK-COAL-FRT-TC-PRC | EGM | UK Coal | [NAME] | D2 | Book contains deals that are not being valued properly.  Certain PV notional positions for specific deals and time periods are not being valued & reported by ERMS.  [NAME] is working to identify issue. | Update pending from IT department.  Problem has been corrected.  See information noted at 07/25/01 | N | Y | Y | Done
2001-07-12 00:00:00 | Infinity File | EGM | Interest/ FX Group | [NAME] | D2 | Infinity file note received by Credit as of 8:30 am.  Lack of file causes inability to properly margin positions. | Due to the manuel process of allocating Rho/Drift for quarter end availabe server space was exceeded.  This caused a rollback space issue on the infinity system.   DBA has allocated additional space to prevent reoccurrance of problem. | N | Y | Y | Done
2001-07-12 00:00:00 | Nordic Power | EEL | Nordic Power | [NAME] | D1 | Book was officialized late due to server performance.  Due to volume of details and lack of server space server is performing slow. | Implementation of energydesk.com will improve data processing.  ETA on go live is late July 01. | Y | Y | Y | Done
2001-07-12 00:00:00 | Softs VaR | EGM | [NAME] | [NAME] | C | Book was officialized with incorrect effective date.  Data was corrected and VaR rerun. | Recommunicated importance of proper data capture. | Y | Y | Y | Done
2001-07-12 00:00:00 | PAPER-EUROPE-PRC, PE-DMPA4-PRC, PE-EPBHKP-PRC, PE-LWC60-PRC, PE-MXDWSTE-PRC, PE-NBSKINV-PRC, PE-NEW45-PAP48-PRC, PE-NEWS45-PRC | EIM | US Paper | [NAME] | C | Books were officialized and captured by RisktRAC for VaR purposes, however due to the timing of officialization the data was not captured by Credit processing.  Updated to credit system in the AM | Due to the need for live credit information in foreign offices, timing of Credit run can not be pushed to a later time.   Will just need to keep credit informed if any books are officialized bast 1:30 am. | N | Y | N | Done
2001-07-12 00:00:00 | FT-IM-ENOV-GDL; INTRA-ENOV-GDL | EA | US Ennovate | [NAME] | C | Books were not officialized, however the book does not contain positions and therefore did not impact VaR. | Recommunicate need to officialize daily and use of Active/Inactive Website | N | N | N | Done
2001-07-12 00:00:00 | NG-INDEX-CAND-IDX | EA | Canadian Gas | [NAME] | C | Book was not officialized
2001-07-11 00:00:00 | Continental Power | EEL | European | [NAME] | A | Deal was booked against the incorrect currency.  This caused the curve data not to load, which in turn caused MTM process to fail.  Process was restarted and data transmitted late. | RM is working with IT to attempt to strip incorrect currency options from deal entry drop down menu. | Y | Y | Y | Done
2001-07-11 00:00:00 | C3-TMB-PRC; | EGM | UK Global Liquids | [NAME] | C | Book was officialized, however due to an attribute mismatch the book was not captured by RisktRAC. | Attribute mismatch was idenitified and corrected. | Y | Y | Y | Done
2001-07-11 00:00:00 | MEOH-TMB-PRC | EGM | UK Global Liquids | [NAME] | E | Book was officialized, however as the related curve was not requested by the user the related VaR was not calculated. | Issue has been identified and an appropriate curve request was executed to include the needed curve in RisktRAC | Y | N | N | Done
2001-07-10 00:00:00 | Nordic Power | EEL | Nordic Power | [NAME] | D1 | Due to limited hardward space issues the MTM process times out and requires restart.  Space restriction also slows feed process | New Energydesk.com will address the need for diskspace.  Should go into production late July. | Y | Y | Y | Done
2001-07-10 00:00:00 | FT-IM-ENOV-GDL; INTRA-ENOV-GDL | EA | US Ennovate | [NAME] | C | Books were not officialized, however the book does not contain positions and therefore did not impact VaR. | Recommunicate need to officialize daily and use of Active/Inactive Website | N | N | N | Done
2001-07-10 00:00:00 | FRT-DIESEL-PRC; FRT-HO-PRC; FRT-LC-PRC; FRT-MIDWEST-BAS; [NAME]; FRT-MOUNTAIN-BAS; FRT-MOUNTAIN-PRC;  FRT-NORTHEAST-BAS; FRT-NORTHEAST-PRC; FRT-NORTHWEST-BAS; FRT-NORTHWEST-PRC; FRT-OHIO-BAS; FRT-OHIO-PRC; FRT-SOUTHCENT-BAS; FRT-SOUTHCENT-PRC; FRT-SOUTHEAST-BAS; FRT-SOUTHEAST-PRC; FRT-UCF-PRC; FRT-WEST-BAS; FRT-WEST-PRC; FRT-WTI-PRC | EGM | US Freight | [NAME] | C | Books were not officialized. | Book was officialized and [NAME] use of Active/Inactive Website to RM | Y | Y | Y | Done
2001-07-10 00:00:00 | NG-PRICE-CRUDE | EA | US GAS | [NAME] | C | Book was not officialized | Book was officialized and [NAME] use of Active/Inactive Website to RM | Y | Y | Y | Done
2001-07-09 00:00:00 | Eastern Spreadsheets 1&2 | EEL | European | [NAME] | E | Trader failed to load needed curve data, which prevented calcing of book during overnight run.   Therefore, data was rolled from 07/06/01.  Curve data has was updated in the AM, however due to the time required to run the Eastern sheets the positions and values were not updated. | Implementation of Energydesk.com will allow for an table to track curves that are saved. | N | Y | Y | Pending
2001-07-09 00:00:00 | INTRA-EMWNSS2-GDL | EA | US GAS | [NAME] | C | Book was officialized, but due to an attribute mismatch the data was not captured by RisktRac.    [NAME] was resolved and data pulled in and VaR rerun. | Working to identify issue and resolve. | N | Y | Y | Pending
2001-07-09 00:00:00 | FT-WE-EOL-BAS | EA | US GAS | [NAME] | C | Book only contains credit expossure and the book was not officialized as book was marked inactive and deals moved to another book.  However, EOL continued to load credit risk into these books subsequent to transfer of deals. | Rm has idenditified issue and resolved to officialize book | N | Y | Y | Done
2001-07-09 00:00:00 | FT-CAND-EGSC-A BAS;PRC | EA | Canada Gas | [NAME] | C | Book was officialized and captured by RisktRAC, but due to the timing of officialization (after 1:30 am) it was not captured by Credit procedures. | Will discuss potential to change timing of credit process with [NAME] and [NAME]. Due to credit needs of the foreign office, timing can not be changed. | N | Y | Y | Done
2001-07-09 00:00:00 | ECTGR-CO-PRC | EGM | Global Products | [NAME] | C | Book was officialized, but due to an attribute mismatch the data was not captured by RisktRac.    [NAME] was resolved and data pulled in and VaR rerun. | [NAME] was resolved.  [NAME] importance of maintaining book attributes. | Y | Y | Y | Done
2001-07-06 00:00:00 | FT-CAND-DIRECT BAS;IDX | EA | Canada Gas | [NAME] | C | Book had incorrect attributes which caused a mismatch.  [NAME] corrected and book reofficialized. | Worked with RM to correctly identify commodity codes in source systems.  [NAME] importance of notifying downstream users of changes in codes. | Y | Y | Y | Done
2001-07-06 00:00:00 | PAPER-EUROPE-PRC | EIM | Paper-Europe | [NAME] | C | The book was officialized, however due to an attribute mismatch the data was not captured by RisktRAC.  RM sent request to change commodity code and change was made, however commodity code on ERMS system was changed to a different code. | Worked with RM to correctly identify commodity codes in source systems.  [NAME] importance of notifying downstream users of changes in codes. | Y | Y | Y | Done
2001-07-05 00:00:00 | NG-ERMS-XL-PRC, NG-PR-OPT-PRC, NG-EXOTIC-PRC | EGM | US Gas Financial | [NAME] | C | Worked late therefore did not officialize in time for Credit run at 1:30 AM. | Books need to be re-loaded for credit.  Discuss timing of Credit procedures with [NAME] to allow for books officialized prior to 6 am.  Due to foreign office needs timing of load can not be pushed back.  Will work with credit to identify books that are officialized past 1:30 am. | N | Y | N | Done
2001-07-02 00:00:00 | NBP Curve | EEL | UK Gas | [NAME] | E | Curve data after Sept 2003 is zeroed out on the [NAME] side, while data is valid on UK side.  Zero values can cause VaR to crash as it is a primary curve. | RM and IT researching to determine what is causing error and provide update. | N | N | N | Pending
2001-07-02 00:00:00 | EAF-AUS-PRC | Australia | Australia Power | [NAME] | H | Update pending |  |  |  |  | Pending
2001-07-02 00:00:00 | STEEL VaR | EIM | Steel | [NAME] | C | Positions were uploaded again to insure data was accurate.  VaR was rerun.  Due to incorrect volatility curves loaded by trader the VaR was overstated and a violation memo was issued. | Vol Curve data was corrected.  RM will implement procedures to test valuation models by running Adhoc VaR and agreeing to RisktRAC. | Y | Y | Y | Done
2001-07-02 00:00:00 | NG-PRICE-CRUDE | EA | US GAS | [NAME] | C | Book was not officialized as part of end of day process.  Book was officialized in the AM. | RM recommunicated need to complete end of day process and use of Active/Inactive website. | Y | Y | Y | Done
2001-07-02 00:00:00 | Nordic Power | EEL | Nordic Power | [NAME] | D1 | Nordic Power was loaded late into RisktRAC  due to a script failure that normally initializes the process. | RM has developed action plan to require a manual start to process.  Additionally require MTM to be initiated at COB rather than next morning. | Y | Y | Y | Done
2001-06-29 00:00:00 | UK EBS | EEL | UK EBS | [NAME] | G | EBS credit file not transmitted for 06/29/01. | Will discuss importance of completing end of day process with RM | N | Y | N | Pending
2001-06-29 00:00:00 | UK DPR | EEL | UK | [NAME] | G | Daily DPR information not provided for preliminary reporting. | Communicated need to submitted all operation data in a timely manner to London RM.   Further communicated need to report any breakdown and reporting procedures to Global Risk Management. | N | N | N | Done
2001-06-29 00:00:00 | FT-CENTRAL- IDX;PRC;BAS | EA | US-GAS | [NAME] | C | Books were not officialized.  Oversight occurred due to booking of last minute deal. The books only contained deals with Sithe and therefore was no change in positions or VaR.  However there was an impact on Credit Risk and Cash Flows.  Books were officialized and data uploaded to downstream systems. | Director recommunicated importance of completing daily officialization procedures. | N | Y | Y | Done
2001-06-28 00:00:00 | RisktRAC VAR |  |  |  | E | VaR data was available for some portfolios, but not at the Corp level.  Due to testing performed on EnPower systems data related to R5 volatlilty curve was lost, which halted the VaR process.  Additionally, data related to NBP volatlilty curve was incorrect which also halted VaR process.  R5 and NBP data was corrected and reloaded.  Once information was corrected, VaR was scheduled to rerun over the weekend. | EnPower IT has identified issue with R5 vol curve and implemented changes to prevent reoccurance | Y | N | N | Done
2001-06-28 00:00:00 | UK-EBS | EEL | UK-EBS | [NAME] | G | The Credit file was not processed on time due to limited resources.  Data was saved later during the day. | Recommunicated need to process credit file in a timely manner. | N | Y | N | Done
2001-06-28 00:00:00 | Nordic Power | EEL | Nordic Power | [NAME] | D1 | Due to slow server performance and large volume of data, MTM process took longer to complete.  Extract was completed late. | Due to the timing of expected go live for Energydesk.com RM made decision not to purchase new server.  Until go live of Energydesk.com feed may be delayed due to server performance. | Y | Y | Y | Done
2001-06-27 00:00:00 | [NAME] |  |  |  |  | The Solarc Europe file was not trasmitted to Credit, which understates credit exposure for physical nominations that have not been billed. | Application recently went to a new server which may have caused change.  Working to identify issues and correct. Fix expect 06/28 | N | Y | N | Pending
2001-06-27 00:00:00 | UK-EBS | EEL | UK-EBS | [NAME] | G | The credit file was not processed since there were no new deals or curve shift.  RM felt that processing was not necessary since there was no change in prior day data and given that the Credit system reverts to prior day data if current day is not available. | Discuss process given circumstance with [NAME] and UK RM | N | Y | N | Pending
2001-06-27 00:00:00 | FT-CAND-EGSC-BC-PRC;FT-CAND-EGSC-PRC; FT-CAND-EGSC-OPT IDX & PRC | EA | Canada Gas | [NAME] | G | Books were officialized late, but before VaR deadline.  However, the data was not captured for  credit reporting purposes since credit report runs at 1:30am. | Will discuss potential to change timing of credit process with [NAME] and [NAME]. | N | Y | N | Pending
2001-06-27 00:00:00 | EES-CANADA-PRC | EES | EES-GAS | [NAME] | E | Trader failed to load needed curve data, which prevented calcing of book.   Curve data was loaded and books were officialized | RM needs to develop procedures to identify when needed data is not loaded | Y | Y | Y | Pending
2001-06-27 00:00:00 | UK-GAS | EEL | UK-GAS | [NAME] | D1 | Books were officialized on time, however due to the volume of data transmitted related to new volatility curves, the extract process did not complete prior to VaR run at 6 am. | IT has created a new Hierarchy to compensate for increase in volume. | Y | Y | N | Done
2001-06-27 00:00:00 | Nordic Power | EEL | Nordic Power | [NAME] | B | MTM process failed due to limited disk space on server, which caused process to slowdown and time out.  Database administrators are working to free adequate memory to run MTM process. | Since [NAME].Com is in the testing phase with Estimated go live of July 21 new server was not purchased.  DBA is working to free up enough space to run process until Energydesk.com go live. | Y | Y | N | Done
2001-06-27 00:00:00 | LNG-PRICE [NAME]; IDX;PRC | EGM | LNG | [NAME] | C | New staff is being trained for position.  Books were not officialized. | Communicate use of active/inactive website to new staff.  Book was officialized, VaR and Credit rerun. | Y | Y | Y | Done
2001-06-26 00:00:00 | VaR failure |  |  |  | E | B33 & B11 primary power curves have not been marked for the past 15 days, which caused the VaR run to fail.  The curves have not been marked because their use has been discontinued.   RisktRAC requires that all primary curves be marked or VaR will fail to run completely. | Power RM notified users and RAC that the curves would be not be marked going forward and that they should be deleted during factor loading to prevent VaR failure.  Latest factor loading has not been approved, which prevented the deletion of the discontinued curves.  Need to approve latest factor loading or develop alternate process to add and delete curves. | Y | N | N | Pending
2001-06-26 00:00:00 | Advertising VaR | EBS | Advertising | [NAME] | C | During the officialization process the data must be specifically formatted with unique deal legs.  This was not accomplished therefore correct positions were not captured in RisktRAC.  Correctly formatted the data and reofficialized book.  Reran VaR | Recommunicated file format requirements to insure proper capture of data. | Y | Y | Y | Done
2001-06-26 00:00:00 | Nordic Power | EEL | Nordic Power | [NAME] | B | MTM process failed due to lack of disk space on server.  Database administrators are working to free adequate memory to run MTM process. | Since [NAME].Com is in the testing phase with Estimated go live of July 21 new server was not purchased.  DBA is working to free up enough space to run process until go live.  Issue was not resolve before start of 06/27 process, therefore no 06/26 data provided. | Y | Y | Y | Done
2001-06-26 00:00:00 | SOLARC NORTH AMERICA |  |  |  | C | The Solarc NA file was not trasmitted to Credit, which understates credit exposure for physical nominations that have not been billed. | Application recently went to a new server which may have caused change.  Working to identify issues and correct. Fix expect 06/28 | N | Y | N | Done
2001-06-26 00:00:00 | FRT-MOUNTAIN-PRC | EGM | US Freight | [NAME] | C | Due to book attribute mismatch the data was not captured by RisktRAC. However as the book had no positions there was no impact on VaR or credit. | BA working to identify mismatch and correct.  [NAME] use of active/inactive website. | N | N | N | Done
2001-06-25 00:00:00 | [NAME] |  |  |  |  | The Solarc Europe file was not trasmitted to Credit, which understates credit exposure for physical nominations that have not been billed. | Application recently went to a new server which may have caused change.  Working to identify issues and correct. Fix expect 06/28 | N | Y | N | Done
2001-06-25 00:00:00 | CR-AG-EES-RG-XL-PRC | EES | EES Gas | [NAME] | C | File contains Gas MTM detail at the counterparty level.  Due to user error the file was not transmitted to Credit since 06/21. | [NAME] recommunicated transmission process to BA. | N | Y | N | Done
2001-06-25 00:00:00 | PWR-NG-ST-MAPP-PRC | EA | US Power EAST | [NAME] | C | Due to an attribute mismatch on the ERMS side the book data was not captured by RisktRAC.  This prevented positions from being captured for VaR purposes. | Worked with BA to identify mismatch and corrected. Communicated need to advise downstream users of changes in attributes to prevent data capture issues. | Y | Y | Y | Done
2001-06-25 00:00:00 | FT-CAND-EGSC-BC-PRC | EA | Canada GAS | [NAME] | C | Due to multiple books with the same attributes the system has not been automatically capturing data for officialized book.  Canada office is responsible for officializing the book, however a Houston office BA had been performing manual process to capture data when problem with deal capture noted, however problem not identified during end of day process.  Book data was captured later in the day and VaR rerun. | Working with BA to identify duplicate attributes and create a unique combination for book to allow automatic capture of data. | Y | Y | Y | Done
2001-06-25 00:00:00 | EES-CANADA-PRC | EES | EES Canada | [NAME] | E | Book could not be calced and officialized due to an R4A curve problem.  The curve was not marked as it use was suppose to be discontinued.  Selected a new curve, R20, to calc book and officialized. | Communicate any changes in curve data to all downstream users to minimize any impact on end of day process. | Y | Y | Y | Done
2001-06-25 00:00:00 | DBL-XL-TRIGGER-PRC | GRM | GRM | [NAME] | C | BA encountered problems access the Webbased ADHOC VaR, which is used to calculate positions.  Positions were loaded in the AM and VaR rerun. | IT could not identify issue, however BA was able to successfully run process in the AM.  [NAME] continue to monitor in an attempt to identify issue. | Y | Y | Y | Done
2001-06-25 00:00:00 | Continental Power | EEL | Continental Power | [NAME] | E | Due to bad data contained within the Holland curve, the MTM process failed.  Therefore the file was loaded into RisktRAC after 6:30 am.  VaR was rerun. | Error corrected by IT and process restarted. File was loaded into system. | Y | Y | Y | Done
2001-06-25 00:00:00 | UK Power | EEL | UK Power | [NAME] | D1 | Feed loaded late due to a software issue which caused the June 22 data to load rather than June 25 data. | Software issue has been identified and corrected.  MTM process was completed and data loaded. | Y | Y | Y | Done
2001-06-22 00:00:00 | Eastern Spreadsheets 1&2 | EEL | European | [NAME] | D1 | Original file feed size noted to be extremely small.  London RM reviewed and transmitted larger file. | Waiting on update related to issue and action plan. | Y | Y | Y | Pending
2001-06-22 00:00:00 | Nordic Power | EEL | Nordic Power | [NAME] | D1 | Book was officialized late because the server that holds relevant price curve data was down, which prevented completion of MTM process.  [NAME] was rebooted in the AM and MTM completed. | RM is currently developing a replacement systems called Energydesk.com, which is currently in TEST.  This system will replace the current MTM system.  ETA for go live is during 3q 2001 | Y | Y | N | Pending
2001-06-22 00:00:00 | DUB-ERMS-XL-PRC; DUB-ERMS-XL-BAS; DUB-INT-PHY | EES | EES-GAS | [NAME] | H | Book [NAME] states that normal procedures were followed and file was uploaded into RisktRAC with no error messages noted, however positions were not noted in RisktRAC.  As file was reloaded in the AM IT could not determine the problem.  VaR was rerun. | Follow up to try and ID issue. | Y | Y | Y | Pending
2001-06-22 00:00:00 | PWR-NG-ST-MAPP-PRC | EA | US-POWER EAST | [NAME] | C | Book was officialized, however there was a change in the region code attribute which prevented the captured by RisktRAC.  Region code change was not communicated to Global Risk Controls so that the appropriate change could be made on RisktRAC. | Communicated need to inform all downstream systems when change in attributes are made to prevent data capture issues.  Attributes were updated and book was reofficialized. | Y | Y | Y | Done
2001-06-22 00:00:00 | FT-INTRA-ONT-IDX | EA | US-GAS | [NAME] | C | Book not officialized.  Was officialized in the AM. | Recommunicated the use of Active/Inactive website. | Y | Y | Y | Done
2001-06-21 00:00:00 | SAP FILE |  |  |  | G | Due to a change in the feed process, which was not communicated to downstream users, the data was not properly captured by Credit.  This change in feed caused an overstatement of Credit Risk by $500 million | Communicate the importance of discussing any changes in current procedures, feeds or formats with all impacted downstream users to minimize potential impact to systems and users. | N | Y | N | Pending
2001-06-21 00:00:00 | EES Credit File | EES |  | [NAME] | G | Due to problems with source system upgrade, the EES MTM credit file has not been received in a timely manner. | Risk Management working to identify problem and resolving issue. | N | Y | Y | Pending
2001-06-21 00:00:00 | Nordic Power | EEL | Nordic Power | [NAME] | E | Spreadsheets officialized late due to Overnight MTM failure caused by missing curve data.  The needed gas price curve was not saved. | Risk Management is working to develop a process to monitor the price curve saving process.  Expect to have process in production in about 2 weeks. | Y | Y | Y | Pending
2001-06-21 00:00:00 | Eastern 1&2 Spreadsheets | EEL | European | [NAME] | G | Spreadsheets officialized late to due file format incompatability with gas hedge files.  Due to a systems upgrade the file format was altered. | Currently there is no TEST server available to test system upgrades prior to placing into production.  RM working with IT to secure a test server to prevent future occurance. | Y | Y | Y | Pending
2001-06-20 00:00:00 | Eastern 1&2 Spreadsheets | EEL | European | [NAME] | D1 | Eastern spreadsheets were officialized late, around 6:38 am, due to technical problems with the workstation which runs the Eastern Model.  The PC shut down during the night which prevented completion of MTM process. | Risk Management with IT are prioritizing the purchase of a new server for the Eastern Spreadsheets which will give the model 24 hr support and also give the model a more stable environment. | Y | Y | Y | Pending
2001-06-20 00:00:00 | FT-BRDGE-SUBA-BAS | Bridgeline |  | [NAME] | C | Book was not officialized, however the book is for Bridgeline and therefore does not impact VaR.   Data does impact Credit. | Recommunicated use of active/inactive website. | N | Y | Y | Done
2001-06-20 00:00:00 | UK-EBS | EEL | UK-EBS | [NAME] | C | Credit File was saved with the incorrect date.  Therefore prior day data used for credit data. | Recommunicated file saving protocal with RM | N | Y | N | Done
2001-06-19 00:00:00 | Nordic Power | EEL | Nordic Power | [NAME] | G | Overnight MTM failed due to lack of disk space.  DBA is working to allocate additional space to process. | Working to allocate additional disk space to insure process does not fail. | Y | Y | Y | Pending
2001-06-19 00:00:00 | Gas Settlements | EA | US GAS | [NAME] | F | Gas Settlements are still having issues. Basis still missing only picking up some data.
2001-06-18 00:00:00 | Eastern1&2 Spreadsheets | EEL | European | [NAME] | D1 | Spreadsheets were officialized late due to the failure of the overnight MTM process. | Risk Management working on 24 hr support to monitor overnight process.  Additionally, the implementation of the Socrates valuation engine will remove the inherent instability in using Excel. | Y | Y | Y | Pending
2001-06-18 00:00:00 | [NAME] Derivatives | EEL | Weather | [NAME] | C | File was loaded into the wrong directory, which prevented Houston IT from loading the file.  File is used strictly for credit purposes. | Procedures for saving file recommunicated to staff. | N | Y | N | Done
2001-06-18 00:00:00 | MG-AGRI-COCOA-PRC | EEL | MG-Metals | [NAME] | C | Book was not officialized, therefore positions not captured for VaR.  Reran VaR for Mg-Cocoa. | Recommunicated the use of Active/Inactive website. | Y | Y | Y | Done
2001-06-15 00:00:00 | Heat Rate Swaps | EA-POwER | US-POWER |  | D2 | Positions related to Heat Rate Swaps are being captured for [NAME] purposes, however data is not automatically captured for RisktRAC VaR calculation due to the problems associated with index issues noted below | EnPower needs to be updated to recognize basis legs and [NAME] needs to be updated to recognize change in source system.  Changed in systems is estimated to complete by 06/30/01 | Y | Y | Y | Pending
2001-06-15 00:00:00 | UK Power | EEL | UK-Power | [NAME] | D1 | Due to maintenance error over the weekend, the Unix server did not receive needed data, which resulted in MTM failure.  MTM reperformed in AM and data submitted. | IT  working to implement procedures at close of business that would allow time to identify errors prior to Houston deadline. | Y | Y | Y | Pending
2001-06-15 00:00:00 | Eastern 1 & 2 spreadsheets | EEL | UK-Power | [NAME] | D1 | Due to Maintenance error the 06/15 MTM failed.  Rolled positions for 06/14 | IT  working to implement procedures at close of business that would allow time to identify errors prior to Houston deadline. | Y | Y | Y | Pending
2001-06-15 00:00:00 | DBL-XL-TRIGGER-PRC |  | US-GRM | [NAME] | C | Assigned staff believed they had loaded sheet successfully, however data not captured. | [NAME] use of Active/Inactive Website to RM to ensure any data transfer issues are properly identified. | Y | Y | Y | Pending
2001-06-15 00:00:00 | RMS Database |  |  | IT | F | During performance of weekly archive process, the INDEX process failed to run  appropriately.  Therefore the Index process was not completed by 6am.  The non completion of the Index process preveted the receipt of late UK feeds.  As US books are officialized end of business day, no impact on recording 06/15/01 positions. | DBA's working with help desks to identify problem and correct.  Upgrade to [NAME] 8 may resolve issue.  [NAME] has been resolved as of 3pm.  Full VaR should be available around 6:15 pm.  Based on impact on ERMS/enPOWER positions alternative for incorporating London positions will be explored. | Y | Y | Y | Done
2001-06-15 00:00:00 | FT-INTRA-GULF2-PRC | EA | US-GAS | [NAME] | C | BOOK was not officialized, however the book contained no transactions and there had no impact on VaR or Benchmarks. | Recommunicate active/inactive website usage to RM. | N | N | N | Done
2001-06-14 00:00:00 | UK POWER Options | EEL | UK Power | [NAME] | A | 1.4 Terrawatt position is not being reported and therefore is not being captured for VaR purposes. | Risk management is working to identify why the positions are not being captured.  An amendment to [NAME] will take place in 2-3 weeks in an attempt to captured positions.  In the mean time [NAME] should run and AD-HOC VaR and transmit data for DPR purposes. | N | Y | Y | Pending
2001-06-14 00:00:00 | Heat Rate Swaps | EA-POwER | US-POWER |  | D2 | Positions related to Heat Rate Swaps are being captured for [NAME] purposes, however data is not automatically captured for RisktRAC VaR calculation | In order to calculate VaR on the positions IT performed a manual process.  However, RM is  working to determine if new VaR number is accurate. IT will perform manual process until source system can be updated. | Y | Y | Y | Done
2001-06-13 00:00:00 | EASTERN 1& 2 SPREADSHEETS | EEL | European | [NAME] | D1 | VPS spreadsheets were rolled for close of business June 13 because the enPower data extraction problems.  Problem has been resolved and books officialized. | Update on issue pending | Y | Y | Y | Done
2001-06-13 00:00:00 | UK-COAL-SR1-PRC, UK-COAL-SA-PRC, UK-COAL-MTM-F-PRC, UK-COAL-GER-ECS-PRC, UK-COAL-FRT-TC-PRC, UK-COAL-FRT-PRC, UK-COAL-FRT-FIN-PRC, UK-COAL-FRT-EXT-PRC, UK-COAL-FRT-EOL-PRC, UK-COAL-EUROII-PRC, UK-COAL-EURO-PRC, UK-COAL-EOL-PRC, UK-COAL-ECTL-PRC, UK-COAL-ECAP-PRC, UK-COAL-BUNK-PRC | EGM | COAL | [NAME] | C | BA did not officialize.  Officialized in the AM. | Recommunicate the use of the Active/Inactive book list to ensure identification of non officialized books | Y | Y | Y | Done
2001-06-12 00:00:00 | EAF-AUS-PRC | EEL | Australian Power | [NAME] | C | Book was not officialized in time.  Officialized in the AM. | Recommunicate the use of the Active/Inactive book list to ensure identification of non officialized books | N | Y | Y | Done
2001-06-12 00:00:00 | Nordic Power | EEL | Nordic Power | [NAME] | D2 | Books wer officialized on time, however due to volume ofsimultaneous data captured within deal leg table the [NAME] extract process failed. | [NAME] will develop coding to onvert  load of data into deal leg table into sequential to prevent continued failure.  Once deal leg table is populated extract will revert back to parallel process. | Y | Y | Y | Done
2001-06-12 00:00:00 | UK Power | EEL | UK Power | [NAME] | D2 | Books wer officialized on time, however due to volume ofsimultaneous data captured within deal leg table the [NAME] extract process failed. | [NAME] will develop coding to onvert  load of data into deal leg table into sequential to prevent continued failure.  Once deal leg table is populated extract will revert back to parallel process. | Y | Y | Y | Done
2001-06-11 00:00:00 | Heat Rate Swaps | EA-Power | US Power EAST | [NAME] | C, D2 | Heat rate swaps were not captured in RisktRAC, due to the lack of an appropriate book within [NAME] and that the appropriate commodity NG was not set up in EnPower.  These two factors prevented the capture of the Heat Swap positions. | The Needed book was created within [NAME] and the commodities were updated within EnPower.  The books were reofficialized and the VaR was rerun for Commodity VaR, AGG_ECT and AGG Power IV. W orking to develop procedures to insure reconcile positions between source and reporting systems. | Y | Y | Y | Pending
2001-06-11 00:00:00 | EAF-AUS-PRC | EEL | Australian Power | [NAME] | C | Book was not officialized due to legal holiday in Australia.  However, need to follow holiday schedule for reporting positions to Houston. | Recommunicate holiday procedures with appropriate Business Risk Managers to insure that data is appropriatesly reported. | N | Y | Y | Done
2001-06-11 00:00:00 | PHYOIL-BRENT-PRC | EGM | US Global Products | [NAME] | C | The ERMS book contained two different types of commodities and in an effort to distinguish them the Portfolio Book code was changed on the RisktRAC PhyOil Brent Book.  However, in order to effect the change IT was required to create a new book on the ERMS side and transfer the deals to the new book.   This change prevented the capture of the positions on the PHYOIL BRENT Book | The needed book was created on the ERMS side and the deals transferred.  The new and old book were reofficialized and all needed positions captured.  VaR was rerun. | Y | Y | Y | Done
2001-06-08 00:00:00 | EAF-AUS-PRC | EEL | Australian Power | [NAME] | C | Due to Australian Holiday book was not officialized.  However, the holiday procedures were not followed. | Need to recommunicate holiday officialization procedures to Risk Management team. | Y | Y | Y | Pending
2001-06-08 00:00:00 | UK Power | EEL | UK Power | [NAME] | D1 | UK Power Book was officialized on time, however the feed did not complete until 6:13 am due to length of time needed for extract process. | Resolution has been developed and is currently being tested.  Test feed should be in place by 06/11/01.  Test file for new extraction appears to be working.  Will transmit one more test prior to placing into production. New process placed into production 06/21/01 | N | Y | Y | Done
2001-06-08 00:00:00 | PHYOIL-BRENT-PRC | EGM | US Global Products |  | C | Book was not officialized | See item above. Done | Y | Y | Y | Done
2001-06-08 00:00:00 | INTRA-SITHE-GDL | EA-GAS | US Gas Central | [NAME] | C | Book was not officialized. | Risk Management has recommunicated appropriate officialization process to Business Administrator.   Use of Active/Inactive list will help identify any future failures in Metacalc process. | Y | Y | Y | Done
2001-06-07 00:00:00 | Eastern Spreadsheets 1&2 | EEL | UK Power | [NAME] | E | Since a Power Curve for Jun 7th was not saved, the spreadsheets were unable to run a valuation and report MTM & Risk exposures for [NAME].  Therefore data reported is as of Jun 6. | Risk Management is working to develop process to insure that all needed curve data is saved for each day.  Additionally, need to establish procedures for reporting MTM and P&L when process fails. | N | Y | Y | Pending
2001-06-07 00:00:00 | UK Power | EEL | UK Power | [NAME] | E | Traders failed to save Power Curves for June 7th.   Therefore, no P&L Curve shift available.  All positions were properly loaded into RisktRAC | Risk Management is working to develop process to insure that all needed curve data is saved for each day. | N | N | N | Pending
2001-06-07 00:00:00 | UK Power | EEL | UK Power | [NAME] | D1 | UK Power Book was officialized on time, however the feed did not complete until 6:50 am due to length of time needed for extract process. | Resolution has been developed and is currently being tested.  Test feed should be in place by 06/11/01 | N | Y | Y | Done
2001-06-06 00:00:00 | PWR-NG-WEST-GD-GDL | EA-Power | West Power | [NAME] | C | Book was not officialized.  Book has no positions and therefore had no impact on VaR or Credit.   However, going forward failure to officialize all active books could result in potential errors. | Risk Management, [NAME] and [NAME], have been instructed in the use of the Active/Inactive book website to ensure that end of the day procedures identify active books that have not been officialized. | N | N | N | Done
2001-06-06 00:00:00 | UK Gas | EEL | UK-GAS | [NAME] | D1 | There was a problem in producing the file for FTP to Houston and therefore the data could not be loaded into RisktRAC.  The problem was due to a change in the index changed on the underlying table causing the extraction to slow down.  [NAME] was identified and corrected. | IT has changed the feeds indexing strategy | Y | Y | Y | Done
2001-06-05 00:00:00 | Coal Positions | EGM | COAL | [NAME] | E | Positions related to a specific curve, F-CAPE-TC, was not captured in the system which impacts the VaR calculation.  Deals were being moved to different books and using different curves to value. | Performing daily reconciliation to insure capture of all positions. | N | N | N | Done
2001-06-05 00:00:00 | Australian Weather (GG) Credit File | EEL | Australian Weather (GG) | [NAME] | H | Based on information from Australia, their daily process were completed, however the file was not captured by Houston process.  Houston IT is researching the issue to further identify | Houston IT has reviewed needed file saving process with Australian Risk Management.  IT has also provided additional information, regarding data saving, that may prevent future problems. | N | Y | N | Done
2001-06-05 00:00:00 | Nordic Weather Credit File | EEL | [NAME] | Didrik Thraner Nielsen | D1 | Credit file was submitted late.  Working with BA to identify issue. | [NAME] was caused by continued IT issues encountered by [NAME] due to testing of new system.  Risk management has instructed BA to use alternate computer to prevent continued occurance of problem. | N | Y | N | Done
2001-06-04 00:00:00 | Factor Loading/Primary Curves |  |  | RAC | G | Due to current processes and procedures in place, factor loadings have not been approved since April 17, 2001.  This lack of factor loading prevents the addition of new primary curves in RisktRAC.  Therefore certain secondary curves are not mapped to the appropriate primary curves.  The addition of the new primary curves  could impact VaR. | Coordinate with various groups to identify improved process for approving factor loadings and primary curves into system. | N | N | N | Pending
2001-06-04 00:00:00 | UK Power | EEL | UK Power | [NAME] | D1 | UK Power Book was officialized on time, however the feed did not complete until 6:50 am due to database issues.  The database problem was caused by  "Rollback Segment"  error , which is caused by the size of data conflicting with other users. | DBA have improved rollback segment, but IT to research solution to prevent further occurance. | N | Y | Y | Done
2001-06-04 00:00:00 | Unify Power File | EGM | US-Power | [NAME] | D2 | Uniy Power File not transmitted, which impacts the Margin position for Enron. | [NAME] was recently converted to SQL and continues to be refined.  Refining process may be interfering with batch processing of file.  IT has rescheduled batch process and assigned personnel to monitor file process to avoid future problems.  [NAME] will be finalized this weeken, so future problems should be avoided. | N | Y | Y | Done
2001-06-04 00:00:00 | Nordic Weather Credit File | EEL | Weather | Didrik Thraner Nielfen | C | Book not officialized due IT problems encountered by backup personnel.  [NAME] was out of the office and backup experienced IT problems on her computer.  In the A.M. backup BA used another computer to officialize book. | Risk Management has communicated procedures for using alternate computer resources when primary fails. | Y | Y | Y | Done
2001-06-01 00:00:00 | [NAME] | EBS | Bandwidth | [NAME] | E | Volatilty Curve Data not Captured in RisktRAC. | Following up with IT to determine issue and resolution | Y | N | N | Pending
2001-06-01 00:00:00 | EBS-BWT | EEL | EBS-BWT | [NAME] | C | Risk Management advised that file is late because of month-end issues and a larger than normal number of deals to be input. |  | Y | Y | Y | Pending
2001-06-01 00:00:00 | Nordic Power | EEL | Nordic Power | [NAME] | C | Business holiday for 06/04/01, however appropriate holiday schedule not followed.  Communicated procedures required that 06/01/01 data be officialized prior to holiday. | Recommunicate holiday procedures with appropriate Business Risk Managers to insure that data is appropriatesly reported. | N | Y | Y | Pending
2001-06-01 00:00:00 | UK Power | EEL | UK Power | [NAME] | D1 | Book was loaded into RisktRac 14 mins late at 6:14 AM Houston time. | Resolution has been developed and is currently being tested.  Should be moved to production around 06/08/01 | N | N | N | Done
2001-06-01 00:00:00 | UK Gas | EEL | UK Gas | [NAME] | C | Trader officialized book twice, which caused a delay in loading valid numbers. | IT deleted incorrect data. | Y | Y | Y | Done
2001-06-01 00:00:00 | EPMI-PJM-FTR-PRC | EA-POWER | US Power | [NAME] | F | Book was officialized as part of a portcalc process, however it contained no open forward positions.  Enpower does not transmit PostIds to RisktRac for books without Open forward positions.  Therefore, no impact on VaR or other systems. | Since there was no failure in procedures or impact on systems, no further action considered necessary. | N | N | N | Done
2001-06-01 00:00:00 | Continental Power | EEL | Continental Power | [NAME] | D1 | Due to a number format problem due to sensitivity analysis on the vol curve at month end the MTM process failed over the Weekend.  [NAME] was corrected and process reiniated in the AM. | Going forward, Risk management to ensure that at the beginning of each month the volitility curve is saved down in correct format. |  |  |  | Done
2001-05-31 00:00:00 | UK Power | EEL | UK Power | [NAME] | D1 | Book was loaded into RisktRac 14 mins late at 6:14 AM Houston time. | Steps are being taken by IT to try to reduce the feed time of moving the UK Power file to RisktRac. | Y | Y | N | Done
2001-05-31 00:00:00 | Continental Power | EEL | Continental Power | [NAME] | C | Experienced an overnight failure in Portcalc due to a trade being booked by a trader in a new currency (USD) and no USD curves loaded being to value USD denominated trades. | Risk Management has required traders to notify when they will book any trades in new currencies and [NAME] will now skip a deal if it can not value due to missing curves instead of stopping the MTM process. | Y | Y | N | Done
2001-05-31 00:00:00 | South America Power | EA-POWER | SA Power | [NAME] | B | Due to work being performed on the model used to value deals there was a change in the spreadsheet structure that added a column.   The addition of the column created an incorrect data link for positions.  Process to verify positions loaded into RisktRAC overlooked. | [NAME] on spreadsheet was corrected and data reloaded.  Process to verify positions loaded was recommunicated to appropriate personnel. | y | y | y | Done
2001-05-31 00:00:00 | FT-HPLC-IDX, FT-LONESTAR-IDX | EA-GAS | US Gas Texas | [NAME] | F | Due to IT issues, books were not showing as being officialized. | When Book Administrators re-officialized books, positions came through. | N | N | N | Done
2001-05-31 00:00:00 | FRT-HO-PRC and FRT-WTI-PRC | EGM | Freight | [NAME] | C | Appropriate fields not selected during Metacalc process, which prevented capture of data. | Risk Management has recommunicated appropriate officialization process to Business Administrator.   Use of Active/Inactive list will help identify any future failures in Metacalc process. | N | y | y | Done
2001-05-30 00:00:00 | INTRA-TEXAS-PHY | EA-GAS | US Gas Texas | [NAME] | F | Book was replaced by ENA-IM-CARTHAGE, therefore, there were no position in this book. | Need to notify Risk Controls whenever a book is made inactive. | N | N | N | Done
2001-05-29 00:00:00 | Nordic Power | EEL | Nordic Power | [NAME] | D1 | Experienced problems sending their feed to RisktRac due to a failure in the overnight Nordic MTM system run. | IT is working on this issue. | N | N | N | Pending
2001-05-29 00:00:00 | EBS-ADV-PRC | EBS | US EBS | Belinda Woo | C | Book administrator forgot to officialize. | Manager needs to review website to ensure all post [NAME] are officialized. | Y | Y | N | Done
2001-05-29 00:00:00 | FT-ONT-CENTRAL-PRC | EA-GAS | US Gas Central | [NAME] | C | Book administrator forgot to officialize. | Manager needs to review website to ensure all post [NAME] are officialized. | Y | Y | N | Done
2001-05-29 00:00:00 | INTRA-DENVER-PRC | EA-GAS | US Gas West | [NAME] | C | Book administrator forgot to officialize. | Manager needs to review website to ensure all post [NAME] are officialized. | N | N | N | Done
2001-05-25 00:00:00 | Eastern Books | EEL | UK Eastern | [NAME] | G | Due to power outage, officialized the 24th instead of the 28th. | N/A | N | N | N | Done
2001-05-24 00:00:00 | Eastern Books | EEL | UK Eastern | [NAME] | D1 | Problems loading current day spreadsheet as a result, 70 Bcf of hedges did not make it to RisktRac. | IT is working on this issue. | N | Y | Y | Pending
2001-05-24 00:00:00 | UK Power | EEL | UK Power | [NAME] | D1 | Database is not functioning properly. (IT issues) | Houston IT working on fixing this problem. |  |  |  | Pending
2001-05-24 00:00:00 | MG-AGRI-COCOA-PRC | EGM | Interest/ FX Group | [NAME] | C | Book administrator forgot to load spreadsheet. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process. | Y | Y | N | Done
2001-05-24 00:00:00 | EPMI-LT-SERC-PRC, EPMI-LT-SPP-PRC, EPMI-SE-ANALYST-PRC, EPMI-ST-SOUTHEAST-PRC, EPMI-ST-SERC-PRC, EPMI-ST-SPP-PRC | EA-POWER | US Power East | [NAME] | C | Book administrator forgot to officialize. | Book Administrator did not utilize the active/ inactive website. | Y | Y | Y | Done
2001-05-23 00:00:00 | UK Power | EEL | UK Power | [NAME] | D1 | Curve database was full resulting in UK Power curves not fully loaded into system for MTM calculation. | IT 24 hour support group has been notified to ensure that enough space is available before curve loading is initiated. | Y | Y | Y | Done
2001-05-22 00:00:00 | UK Gas | EEL | UK Gas | [NAME] | E | PPP power curve was loaded into the curve file thus causing incorrect valuation and problems with the position files. | Waiting for an Action Plan from UK. | Y | N | N | Pending
2001-05-22 00:00:00 | Nordic Power | EEL | Nordic Power | [NAME] | D1 | File had to be re-send because of a deal that was doubled up.  File was re-sent before the first file sent completed reconciling deal and position table. | Houston IT suggested when having to re-send file, develop a test to check if first file was completed and wait 10 mins before sending the second one. | N | N | N | Pending
2001-05-21 00:00:00 | Unified Power | EA-POWER | Power | [NAME] | D1 | Unified power system failed and had to be re-run. | Unified system personnel are monitoring the system to determine cause of the problem. | N | Y | N | Pending
2001-05-21 00:00:00 | Nordic Power | EEL | Nordic Power | [NAME] | D1 | Multiple UK files came in at the same time, therefore, the Nordic file was not able to get through. | Increase the DBA size today -05/22/01-to allow files to be sent simultaneously. | Y | Y | N | Done
2001-05-18 00:00:00 | Nordic Power | EEL | Nordic Power | [NAME] | D1 | Multiple UK files came in at the same time, therefore, the Nordic file was not able to get through. | Have the DBA increase the size to allow files to be sent simultaneously. | Y | Y | N | Done
2001-05-17 00:00:00 | JL-SAPWR-XL-PRC | EEL | SA Power | [NAME] | C | Liquidated swaps; therefore, spreadsheet should have been officialized one more time with a zero. | Book will be officialized one last time with a zero for May 17th. | N | Y | N | Done
2001-05-16 00:00:00 | UK Power | EEL | UK Power | [NAME] | D1 | UK Power book was late as there were technical problems experienced on the PC which runs the spreadsheet officialization excel macro. | IT will try to run macro from another PC. | N | N | N | Done
2001-05-14 00:00:00 | LUMBER-US-PRC | EIM | US Lumber | [NAME] | C | Book was not officialized, Book Administrator forgot. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process. | Y | Y | N | Done
2001-05-14 00:00:00 | UK Power, UK Gas, Nordic Power | EEL | UK Power, UK Gas, Nordic Power | [NAME] | D1 | VAR from RisktRac does not reconcile to the VAR from the spreadsheet file sent for DPR reporting. | Risk Control continues to report the VAR from the spreadsheet file sent from the London office. | N | N | N | Done
2001-05-14 00:00:00 | Australian Weather (GG) | EEL | Australian Weather (GG) | [NAME] | C | Book Administrator sent file with the wrong extension for 05/14. | Book Administrator will delete the old .bkp version and load jn the fresh .xls version. | N | N | N | Done
2001-05-11 00:00:00 | UK Power | EEL | UK Power | [NAME] | D1 | UK Power was officialized late due to an error in running the Dove Calc application. | Procedure to be put in place so that the dates for running of the mtm are clearly stated and defined for the benefit of IT.  This will ensure that any confusion is removed as to the dates for the mtm run. | N | N | N | Done
2001-05-11 00:00:00 | Nordic Power | EEL | Nordic Power | [NAME] | D1 | The feed from London was late primarily due to an error in the running of the Nordic mtm data. | Identified and understand reason for delay/problem. If system locks again, now able to resolve it very quickly. | N | N | N | Done
2001-05-11 00:00:00 | FT-NORTHWEST-IDX | EA-GAS | US Gas | [NAME] | C | Book was not officialized.  Book has no positions. | Book will be made inactive after tonight. (05/14/01) | N | N | N | Done
2001-05-11 00:00:00 | [NAME] | EA-POWER | US Power East | [NAME] | C | Book was not officialized.  Book has no positions. | Book will be made inactive after tonight. (05/14/01) | N | N | N | Done
2001-05-10 00:00:00 | MG-AGRI-COCOA-PRC | EGM | US Financial | [NAME] | C | Book was not officialized. Forgot to load spreadsheet. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process.  Training of staff on Monday, May 14th. | Y | N | N | Done
2001-05-10 00:00:00 | FT-CAND-EGSC-C-BAS | EA-CAN | Canada Gas | [NAME] | C | Forgot to manually overwrite the Basis book with the post ID from the Price book. | Utilization of new Active/Inactive book website should help identify any unofficialized books during end of day process. | Y | N | N | Done
2001-05-10 00:00:00 | UK Power | EEL | UK Power | [NAME] | D1 | UK Power file loaded into Risktrac late due to a change in password on the server used to send data to Risktrac. | All files updated for new password. | N | N | N | Done
2001-05-09 00:00:00 | FT-CAND-PWR-PRC, CAND-PWR-GD-GDL, CAND-PWR-PR-PRC | EA-CAN | Canada Gas | [NAME] | C | Canadian Power trader had gas positions that  were not being captured in the AGG-ECT portfolio.  Therefore, VAR and gas positions were not correctly reported. | Short-term solution is to add gas positions to the gas bench and copy the Canadian Gas portfolio to the AGG-ECT portfolio and start officializing in US dollars.  Long-term solution is to identify and ensure that all books with positions are being captured on the respective benchmark reports and books are included in AGG-ECT. | N | N | N | Done
2001-05-09 00:00:00 | Australian Weather (GG) | EEL | Australian Weather (GG) | [NAME] | C | Book Administrator sent file with the wrong extension resulted in information not properly being converted for processing. | Additional training is required to bring Book Administrator up to speed. | N | Y | N | Done
2001-05-08 00:00:00 | Continental Power | EEL | Continental Power | [NAME] | D1 | Monday was a bank holiday and IT switched [NAME] off as they did not want the systems to run overnight.  However, it was not turned on by IT for Tuesday 8 May close of business overnight run.  Consequently, [NAME] did not run and there was no data for 8 May to be officialized by risk management.  [NAME] had to be subsequently re-run by IT during the current day and was then officialized and loaded into [NAME] at 7:35 am Houston time. | Procedure to be put in place so that the dates for running of the mtm are clearly stated and defined for the benefit of IT.  This will ensure that any confusion is removed as to the dates for the mtm run. | Y | Y | Y | Pending
2001-05-08 00:00:00 | Nordic Power | EEL | Nordic Power | [NAME] | D1 | Nordic Power data for 8 May did not load into [NAME] until 6:13 am Houston time.  This was due to a random IT error in that some options failed to be calculated in the overnight mtm run.  Nordic risk management had to manually determine which of the book's option positions failed to be calculated and then had to manually recalculate these options before officialization could be initiated. | Waiting for an Action Plan from [NAME]. | N | N | N | Pending
2001-05-08 00:00:00 | FT-NW-XL-OPT-BAS | EA-GAS | US Gas | [NAME] | C | Book was officialized with wrong book name on the file. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process. | Y | N | N | Done
2001-05-08 00:00:00 | INTRA-DENVER-PRC | EA-GAS | US Gas | [NAME] | C | Book was officialized with the incorrect date. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process. | Y | N | N | Done
2001-05-08 00:00:00 | UK Power | EEL | UK Power | [NAME] | D1 | Previous day's data was officialized as current day data not available at time of officialization.  This did not load into [NAME] until 6:05 am Houston time.  The reason previous day's data had to be officialized was due to an IT error involving the overnight curve upload procedure.  The process is automatic, but if thre are system problems as there were last night, then the process is required to be re-run manually.  The manual re-run procedure was done correctly by the 24hr IT software support team and thus the Enpower mtm did not run. | The 24hr support team is now aware of procedures to re-start mtm if overnight system fails. | N | N | N | Done
2001-05-07 00:00:00 | MG-AGRI-COCOA-PRC | EGM | US Financial | [NAME] | G | London Holiday; positions were not rolled by Book Administrator. | Incorporating a holiday calendar in the RisktRAC system that will roll positions from prior day whenever there is a holiday. | Y | Y | Y | Done
2001-05-07 00:00:00 | INTRA-CAND-WEST-BAS | EA-CAN | CAD Gas | [NAME] | C | Book was not manually pulled in.  Canadian office officialized INTRA-CAND-WEST-PRC after the Houston office had already left for the night. | Canadian office will contact Houston office to notify them of late officialization in the future. | Y | Y | Y | Done
2001-05-07 00:00:00 | Eastern Books | EEL | UK Eastern | [NAME] | C | Officialized twice. | UK Risk Management group and UK IT group are trying to resolve the issue. | N | N | N | Done
2001-05-07 00:00:00 | UK Metals | EEL | UK Metals | [NAME] | D1 | No positions in these books due to problems with the file load.  [NAME] of data was too big for table to calculate. | DBA will need to increase system size to accommodate file size. | N | N | N | Done
2001-05-07 00:00:00 | Continental Gas | EEL | Continental Gas | [NAME] | C | Incorrect curve loaded. Position came in ok. | UK Risk Management group working to resolve the problem. | N | N | Y | Done
2001-05-07 00:00:00 | UK Power & UK Continental Power Books | EEL | UK Power, Continental Power | [NAME] | D1 | There was an EN-Power server issue.  Positions eventually came in. | UK Risk Management group and UK IT group are trying to resolve the issue. | N | N | N | Done
2001-05-04 00:00:00 | PAPER-EUROPE-PRC | EGM | Paper | [NAME] | C | Book was not officialized.  Relatively new person in position.  Book was reofficialized at 8 am. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process.  Training of staff. | Y | Y | Y | Done
2001-05-04 00:00:00 | PWR-EA-PWCN-OPT-PRC, PWR-EA-PWNT-OPT-PRC, PWR-EAST-PWCN-PRC, PWR-EAST-PWNT-PRC, PWR-EAST-PWQJ-PRC, PWR-EAST-PWTC-PRC | EA-POWER | US Power | [NAME] | F | Power books no longer being calc'ed and has no positions. | Need to make inactive in RisktRAC and CAS. | N | N | N | Done
2001-05-04 00:00:00 | FT-BRIDGE-SUBA-GDL | EA-GAS | US Gas |  | C | Book was not officialized.  Relatively new person in position. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process.  Training of staff. | N | N | N | Done
2001-05-04 00:00:00 | EPMI-HRLY-ERCOT-PRC, EPMI-ST-WHOURLY-PRC | EA-POWER | US Power | [NAME] | C | Book was not officialized as book is flat and contains no positions. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process. | N | N | N | Done
2001-05-04 00:00:00 | EPMI-ETOWN-SVC-PRC, EPMI-LTON-SVCE-PRC, PWR-GD-LT-OPTB-GDL, PWR-GD-LT-OPTB-PRC | EA-POWER | US Power | [NAME] | C | New books.  There are no positions in these books as yet.  Books should be marked and considered active in the future. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process. | N | N | N | Done
2001-05-03 00:00:00 | WEATHER-NG-PRC | EA-GAS | US Gas | [NAME] | C | Book not officialized. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process. Weather [NAME]. Group to be trained on using Active/Inactive book website. | Y | Y | N | Done
2001-05-03 00:00:00 | FT-CAND-ROLLOFF-BAS, FT-CAND-ROLLOFF-IDX | EA-GAS | US Gas | [NAME] | C | No positions in these books. | Books will be marked inactive in RiskTrac. | N | N | N | Done
2001-05-02 00:00:00 | GD-MARKET-BAS, GD-MARKET-GDL, GD-MARKET-PRC, INTRA-CES-ENTGY-IDX, INTRA-CES-ENTGY-PRC, INTRA-CES-ENTGY-BAS | EA-GAS | US Gas | [NAME] | F | Books marked as inactive need to be officialized at month-end to meet accounting liquidation requirement. | [NAME] will contact [NAME] to determine a solution to the problem. | N | N | N | Done
2001-05-02 00:00:00 | UK Gas | EEL | UKGAS | UK IT Gas | D1 | Experienced problems sending their feed.  Valuation system not working due to a change in the front end system on the gas desk. | UK IT group re-sent the file and it processed into Risktrac correctly. | N | Y | N | Done
2001-05-01 00:00:00 | PWR-MG-GS-MTM-GLD | EA-POWER | US Power | [NAME] | C | Book not officialized. | Website was utilized, but book was assigned to incorrect trading group. | Y | Y | Y | Done
2001-05-01 00:00:00 | ERAC-ERMS-XL-PRC, HGO-ERMS-XL-PRC, PROD-ERMS-XL-PRC, RLL-ERMS-XL-PRC | EGM | Global Products | [NAME] | C | Books not officialized. Book Administrator misunderstood the uploading process. | Training of staff. | Y | Y | Y | Done
2001-05-01 00:00:00 | LT-TRANS-CE-(BAS, GDL, IDX,PRC), LT-TRANS-WE-(BAS, GDL, IDX,PRC) | EA-GAS | US Gas | [NAME] | C | Books were new and should have been made inactive. | Positions in Central and West books need to be rolled to books LT-TRANS-EA-(BAS, GDL, IDX,PRC) | N | N | N | Done
2001-05-01 00:00:00 | INTRA-DENVER-BAS, INTRA-DENVER-IDX | EA-GAS | US Gas | [NAME] | C | Books not officialized. | Books will be marked inactive in RiskTrac | N | N | N | Done
2001-05-01 00:00:00 | FT-CENT-IDX | EA-GAS | US Gas | [NAME] | C | Book not officialized. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | N | Y | Y | Done
2001-05-01 00:00:00 | US-UK-ARB-02GO-PRC, US-UK-GO-ARB-PRC, US-UK-GR-ARB-GOI-PRC, US-UK-GR-HO-ARB-PRC, US-UK-GR-KE-ARB-PRC, US-UK-GR-KR-ARB-PRC, US-UK-HO-ARB-PRC, US-UK-KE-ARB-PRC, US-UK-KERO-ARB-PRC | EGM | Global Products | [NAME] | C | No more activity in these books. | Books need to be officialized with a zero position. | N | Y | N | Done
2001-04-30 00:00:00 | FT-CAND-AB-GDL-GDL, INTRA-CAND-BC-BAS, INTRA-CAND-BC-GD-GDL, INTRA-CAND-BE-PRC, INTRA-CAN-WE-DG-DGL, FT-CAND-OP-GD-GDL | EA-CAN | Canada | [NAME] | C | Books not officialized.  When running the exception reports, an incorrect effective date was used, resulting in the inaccurate capture of PostID's that were not officialized. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process. Canada Risk Mgmt. Group to be trained on using Active/Inactive book website. | Y | Y | Y | Done
2001-04-30 00:00:00 | GD-TEXAS-GDL & ST-BAMMEL-HPL-GDL | EA-GAS | US Gas | [NAME] | C | Books not officialized. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | N | Y | N | Done
2001-04-30 00:00:00 | UKGASGSA1 | EEL | UK Gas | [NAME] |  | To be determined |  |  |  |  | Done
2001-04-27 00:00:00 | EBS Books | EBS | EBS US |  | D2 | Takes 1+ hour to upload books into RiskTrac. | Risk + RAC to determine if there is an easier way. [NAME] and Ramesh will meet with [NAME] to discuss prioritizing file load. | N | N | N | Done
2001-04-27 00:00:00 | INTRA-CAND-WE-GD-GDL | EA-CAN | Canada | [NAME] | C | Book not officialized | Implement Active/Inactive website.Canada Risk Mgmt. Group to be trained on using Active/Inactive book website. |  |  |  | Done
2001-04-27 00:00:00 | INTRA-CAND-WEST-BAS | EA-CAN | Canada | [NAME] | C | Book not officialized | Implement Active/Inactive website.Canada Risk Mgmt. Group to be trained on using Active/Inactive book website. |  |  |  | Done
2001-04-27 00:00:00 | INTRA-CAND-WEST-PRC | EA-CAN | Canada | [NAME] | C | Book not officialized | Implement Active/Inactive website.Canada Risk Mgmt. Group to be trained on using Active/Inactive book website. |  |  |  | Done
2001-04-27 00:00:00 | UK Power | EEL | UK Power | Houston IT | D1 | UK Power feed came in late 6:20. | Server slow. | Y | Y | N | Done
2001-04-27 00:00:00 | Misc. Books | EGM | Agricultural Books | [NAME] | C | BA officialized books for the 12th, 17th, & 18th.  Credit picked up information again. | Training of staff. | N | Y | N | Done
2001-04-27 00:00:00 | E-TRANSIT-ACC-PRC | EBS | EBS | [NAME] | C | EBS Risk Management Group did not complete the final stage of the spreasheet validation process. | Run RiskTrac post ID report before leaving at night. | N | Y | N | Done
2001-04-27 00:00:00 | E-TRANSPORT-ACC-PR | EBS | EBS | [NAME] | C | EBS Risk Management Group did not complete the final stage of the spreadsheet validation process. | Run RiskTrac post ID report before leaving at night. | N | Y | N | Done
2001-04-27 00:00:00 | Gas Unify |  |  |  | D2 | Unify did not feed into credit (took all night instead of 5 min.). | IT to watch more closely. 5/1 Per Debbie - done. | N | Y | N | Done
2001-04-27 00:00:00 | Excel format error on spreadsheet | EEL | EBS UK | Neil Tarling | C / D1 | Added extra column on spreadsheet. Did not make it to credit and [NAME] Monday's report. | 5/1 [NAME] is corrected.  Links in spreadsheet broke. | N | Y | N | Done
2001-04-27 00:00:00 | FT-NW-XL-OPT-BAS,  FT-NWXL-OPT-PRC,  GD-NEW-XL-OPT-BAS, [NAME]-NEW-XL-OPT-PRC | EA | US Gas | [NAME] | C | New people in group uploaded 4/26 spreadsheets when they should not have.  Credit must delete.  Credit should not be responsible for deleting data. | Training of new staff.  Reupload with 0 MTM value the 2 books with position. 4/30 Spreadsheets reloaded | N | Y | Y | Done
2001-04-27 00:00:00 | INTRA-CAND-BC-BAS | EA-CAN | Canada | [NAME] | C | Manual overide was not done by Houston Risk Management Group. | Address which group should be responsible (Jeff & Debbie).  Done - to remain in Houston |  |  |  | Done
2001-04-26 00:00:00 | DPR Prelim vs Final | EES | EES Gas | [NAME] | A | Park Place deal was not booked at prelim. | Ensure deals are captured same day  (Review Global Standards) | N | Y | Y | Done
2001-04-26 00:00:00 | FT-WEST-IDX | EA-GAS | West Gas | Darron Giron | C | Books not officialized | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | N | Y | N | Done
2001-04-26 00:00:00 | GD-NEW-IDX | EA-GAS | West Gas | Darron Giron | C | Books not officialized | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | N | Y | N | Done
2001-04-26 00:00:00 | INTRA-CAND-BC-BAS & INTRA-CAND-BC-PRC | EA-CAN | Canada |  | D2 | They have the same credit position for two different days.  Credit must go in and delete one of them.  Credit should not be responsible for deleting data. | Canada book restructing project. | N | Y | N | Done
2001-04-25 00:00:00 | Power Unify |  |  |  | D2 | Unify did not feed into credit (took all night instead of 5 min.).  Start up of sequel server 2000 was the cause. | IT to watch more closely.  5/1 Per Debbie - done. | N | Y | N | Done