Spreadsheet: rick_buy__32943__Log as of FEB 12_01
Sheet: Daily log - date

COB Date | Reported by: | Book | Commodity/office | Desk/BA | Office/ Trader | Responsibility for to do | Class | Problem | Long description/To do's | [NAME]? | Credit affected? | Impact cash flows? | # of open to do's
Total Errors for the week of  Feb 7 to Feb 13
2001-02-12 00:00:00 | Risk Controls | ReRun Agg- GAS, Agg-GASIII and Agg-GasIV VaR | GAS |  |  | RM | 1 | Exotic Option Upload spreadsheet was corrected in the AM and reuploaded.  Canadian Gas Curve was mapped to the wrong primary curve, which was corrected in the AM. | Develop process to validate secondary curve mappings.  Develop process to test upload spreadsheets. | Y | N | N | 2
2001-02-12 00:00:00 | Risk Controls | PWR-COAL-MGMT-PRC | Coal |  |  | RM | 3 | Feed was late and processed slow.  Affected systems were notified. | Develop process to insure loads are made in a timely basis. | N | N | N | 1
2001-02-09 00:00:00 | Risk Controls | EES-CAL-PRC | EES |  |  | RM | 1 | Deals were transferred to another PWR-WEST.  Book to be marked dormant. | Develop process to identify dormant books. | n | n | n | 1
2001-02-09 00:00:00 | Risk Controls | FT-CAND_EGSC-OPT-PRC | GAS |  |  | RM | 1 | Book was calc'd in CAD$. Book was recalc'd and and VaR rerun | Develop process to insure all active books are officialized on a daily basis using appropriate currency | Y | Y | n | 1
2001-02-09 00:00:00 | Risk Controls | FT-ENOVPB-BAS | GAS |  |  | RM | 3 | This book has no positions.  [NAME] was down on 02/09, therefore BA only calc'd books with positions using portcalc. |  | n | n | n
2001-02-09 00:00:00 | Risk Controls | IM-EMWNSS2-BAS, IDX, PRC | GAS |  |  | RM | 3 | This book has no positions.  [NAME] was down on 02/09, therefore BA only calc'd books with positions using portcalc. |  | n | n | n
2001-02-09 00:00:00 | Risk Controls | INTRA-DENVER BAS, IDX PRC | GAS |  |  | RM | 1 | BA did not officialize books.  The only book with positions was PRC, which was officialized and VaR rerun. | Develop process to insure all active books are officialized on a daily basis. | Y | Y | n | 1
2001-02-09 00:00:00 | Risk Controls | 6 Power books (PWR-EAST  PWTC PWQJ, PWNT, PWCN and PWR-EA-PWCN-OPT and PWR-EA PWNT OPT | Power |  |  | RM | 3 | Book was officialized, however due to Metacalc problems postids were not captured by RisktRAC | Develop process to insure all officialized postids are properly captured by RisktRac when primary systems are down. | Y | y | y | 1
2001-02-09 00:00:00 | Risk Controls | ST-SPINDLETOP- [NAME], IDX, PRC | GAS |  |  | RM | 1 | BA did not officialize books.  All deals are only with internal CP, therefore no impact on VaR or Credit. | Develop process to insure all active books are officialized on a daily basis. | n | n | n | 1
2001-02-08 00:00:00 | Risk Controls | FT-CAND-EGSC-OPT-BAS | GAS |  |  | RM | 1 | Due to a service flag booked on the deals, the incorrect counterparty was picked up for credit. | Identify why service flag is reporting incorrect counterparty and correct problem. | n | y | y | 1
2001-02-08 00:00:00 | Risk Controls | Broadband VaR rerun | BB |  |  | RM | 1 | Due to problems with spreadsheet upload, positions were not properly captured.  Current process requires that each line have a unique deal number, which must be sorted.   Positions were reloaded using correct process and VaR rerun. | Properly train personnel to capture positions. | Y | n | n | 1
2001-02-08 00:00:00 | Risk Controls | Power Curve RA1 | Power |  |  | RM | 1 | Due to incorrect data contained in curve volatility, which was entered as zero, the Power VaR was incorrectly stated as zero | Develop a process to notify user when invalid data is entered into curves. | Y | n | n | 1
2001-02-07 00:00:00 | Risk Controls | Broadband VaR rerun | BB |  |  | RM | 1 | Due to problems with spreadsheet upload, positions were not properly captured.  Positions were reloaded using correct process. | Properly train personnel to capture positions. | Y | N | N | 1
2001-02-07 00:00:00 | Risk Controls | Adertising VaR rerun | Adv |  |  | Rm | 1 | Due to a process with the nightly curve upload caused by PC problems, the VaR calculation was erroneous.  Curves were reloaded and VaR rerun. | Correct PC problems and develop process to test that curves are captured. | Y | N | N | 1
2001-02-07 00:00:00 | Risk Controls | STEEL-SCRC-PRC | Steel |  |  | RM | 1 | Due to new books created with identical attributes the ERMS Post ID was not captured by  RisktRAC | Develoop process to insure that no books with identical attributes are created. | N | Y | Y | 1
2001-02-07 00:00:00 | Risk Controls | POWER-SS-R3C-PRC | Power |  |  | RM | 1 | Due to unexpeted change in personnel responsibility was not transferred to backup.  [NAME] was uploaded. | Develop process to transition responsibilites during staff change. | N | Y | Y | 1
2001-02-07 00:00:00 | Risk Controls | Canada IM Credit Risk [NAME] books | Gas |  |  | RM | 1 | Books were not manually pulled in during nightly process.  Done in the AM.  As books only have Credit Risk, no impact on VaR.  Credit was advised and needed data pulled in prior to report run. | Develop process to replace need for manual pull in of Data. | N | N |  | 1
2001-02-07 00:00:00 | Risk Controls | FT-CAND-EGSC-A PRC , [NAME] | GAS |  |  | RM | 1 | Books not officialized.  Data pulled in during AM.  Due to minimal position VaR not Rerun | Develop process to insure all active books are officialized on a daily basis. | N | Y | Y | 1
2001-02-07 00:00:00 | Risk Controls | EES-BOOKS-ENPOWER | Power |  |  | RM | 1 | Due to System problems books were not officialized.  Officialized once systems restrored and VaR rerun. | Develop alternate procedures when primary systems are down. | Y | Y | Y | 1
Total Errors for the week of  Jan 31 to Feb 6
2001-02-06 00:00:00 | Risk Controls | ReRun Bandwidth VaR | EBS |  |  | RM | 1 | Positions for 01/31 were incorrect. Reloaded positions and reran VaR | Develop process to validate uploaded positions. | yes | yes | yes | 1
2001-02-06 00:00:00 | Risk Controls | FT-INT-CNT-TRAN-PRC and EPMI-NE-TRAN-PRC | Gas |  |  | RM | 1 | Books contain no deals and need to me marked as dormant. | Develop procedures to identify dormant books and properly mark. | no | no | no | 1
2001-02-06 00:00:00 | Risk Controls | Power Curve B31 and RA1 | Power |  |  | RM | 1 | Power curve B31  was not loaded, which caused a d elay in initializing VaR run for all commodities.  Power desk had requested that the curve be deleted, however unable to delete curves from [NAME].  IT loaded a prior days curve for B31 to resolve the error and continue  VaR calculations.  Curve RA1 was loaded with volatility of zero, which caused incorrect POWER and AGG-ECTVaR.  Corrected and reloaded. | Develop process to insure that all needed curves are included on transmission | yes | no | no | 1
2001-02-05 00:00:00 | Risk Controls | VaR published late |  |  |  | IT | 3 | Due to an invalid query VaR speed was greatly reduced.  The query was terminated and VaR rerun. | Develop process to test queries prior to running. | no | no | no | 1
2001-02-05 00:00:00 | Risk Controls | Due to IT issues the Eastern spreadsheet and Gas books were officialized late. | Power/ Gas |  |  | RM | 3 | Due to IT issues altenate queries were performed, which caused late officialization.  Late books were loaded into system as they arrived. | Develop process to insure all active books are officialized on a daily basis. | no | no | no | 1
2001-02-05 00:00:00 | Risk Controls | Rerun Advertising and Broadband VaR | EBS |  |  | RM | 3 | Spreadsheets were uploaded into RisktRAC, however positions not accurately captured.  Spreadsheets were reloaded and VaR rerun. | Develop process to validate uploaded positions. | yes | yes | yes | 1
2001-02-05 00:00:00 | Risk Controls | ENA-CAL | Power |  |  | RM | 1 | Book was not officialized.  Due to positions book was officialized in the AM, [NAME] and  VaR rerun. | Develop process to insure all active books are officialized on a daily basis. | yes | yes | yes | 1
2001-02-05 00:00:00 | Risk Controls | CY-EXPLOR-BAS | Equity |  |  | RM | 3 | Due to systems issue the [NAME] had to be calc'd by IT.  BA assumed that IT would also officialize, but not done.  Book was officialized in the AM | Develop process to insure all active books are officialized on a daily basis. | no | no | no | 1
2001-02-05 00:00:00 | Risk Controls | EPMI-NE-PHYS-PRC | Power |  |  | RM | 3 | Book was officialized, however its positions were flat.  RisktRac therefore did not capture PostIDS.  As the book was flat it had no impact on VaR | Develop a process for RisktRAC to capture PostIDs even for books without positions. | no | no | no | 1
2001-02-05 00:00:00 | Risk Controls | FX-MXN | Financial |  |  | RM | 1 | Book was officialized, however it does not contain positions and was therefore not picked up by RisktRAC | Spreadsheet was inadvertantly uploaded to dormant book.  However as dormant book mirrors this book, no impact | no | no | no | 1
2001-02-02 00:00:00 | Risk Controls | FX-MXN and FX-NOK |  |  |  | IT | 3 | Books were officialized as part of a batch process, however postids were not captured by [NAME].  As information is not included as part of VaR, no impact. |  | no | no | no | 1
2001-02-02 00:00:00 | Risk Controls | Network connectivity issues |  |  |  | IT | 2 | Due to systems connectivity issues various groups were unable to access systems and therefore reports may not have been issued on time. | Develop process to insure connectivity for critical sytems and user groups. | no | no | no | 1
2001-02-02 00:00:00 | Risk Controls | FT-TP-HPL-FUEL  [NAME], IDX, PRC | Gas |  |  | RM | 1 | Books were not officialized.  However positions were flat, so there was no impact on VaR.  These books are accrual  books and therefore do not impact credit. | Develop process to insure all active books are officialized on a daily basis. | no | no | yes | 1
2001-02-02 00:00:00 | Risk Controls | FT-TP-HPL BAS, IDX, PRC | Gas |  |  | RM | 1 | Books were not officialized.  However positions were flat, so there was no impact on VaR. | Develop process to insure all active books are officialized on a daily basis. | no | yes | yes | 1
2001-02-02 00:00:00 | Risk Controls | Southern Cone Spreadsheets |  |  |  | RM | 1 | Spreadsheets were inadvertantly  omitted from the  upload.    Information was uploaded and VaR rerun. | Develop process to insure all active books are officialized on a daily basis. | yes | yes | yes | 1
2001-02-01 00:00:00 | Risk Controls | Eastern Books |  |  |  | RM | 1 | Due to incorrect vol curves, books not transmitted. | Develop process to insure that all needed curves are included on transmission | no | yes | yes | 1
2001-02-01 00:00:00 | Risk Controls | 3 Canada IM credit risk [NAME] books | Gas |  |  | RM | 1 | Due to the nature of recording deals in Canada it is necessary to manually override Basis positions using PRC PostIDs.  The current process in place was not followed.  Positions were overrriden in the AM and Credit notified.  As no market risk exists on these books no impact on VaR. | Develop process that would eliminate the need for manual processing to capture basis positions | no | yes | yes | 1
2001-01-31 00:00:00 | Risk Controls | Rerun AGG-Gas III and IV | Gas |  |  | RM | 1 | Identified certain books that were improperly excluded from  Agg-Gas III and IV.  Corrected Problem and reRan VaR.  No impact on credit as positions properly included in credit portfolio | Develop process to insure books are included within all relevant portfolios. | yes | no | no | 1
2001-01-31 00:00:00 | Risk Controls | Positions for Advertising, Bandwidth and [NAME] | EBS |  |  | RM | 1 | Positions for 01/31 were not complete as of 6 am.  Positions were uploaded during the day and VaR rerun. | Develop process to insure positions are completed and uploaded into system by 6am. | yes | yes | yes | 1
2001-01-31 00:00:00 | Risk Controls | FT-ONT-CENTRAL-PRC | Gas |  |  | RM | 1 | Book was not officialized, however positions were flat so VaR was not impacted.  Book was officialized late. | Develop process to insure all active books are officialized on a daily basis. | no | yes | yes | 1
2001-01-31 00:00:00 | Risk Controls | SE-PREPAY-WTI-PRC | Liquids |  |  | RM | 1 | Book was not officialized, however positions were flat so VaR was not impacted.  Book was officialized late. | Develop process to insure all active books are officialized on a daily basis. | no | yes | yes | 1
c
2001-01-30 00:00:00 | Risk Controls | West Power Book error | Power |  |  | RM | 1 | Due to deal capture error on West Desk, Margin Risk was under valued by $50 million | Develop process to insure that deals are properly captured | no | yes | yes | 1
2001-01-30 00:00:00 | Risk Controls | EES VaR was rerun | Power |  |  | RM | 1 | Newly created book had attributes identical to a previous book.  This caused the system to duplicate information.  Attributes were changed and VaR rerun. | Develop a process to notify user when duplicate attributes are being set for Books. | yes | yes | yes | 1
2001-01-30 00:00:00 | Risk Controls | Liquids VaR was rerun | Liquids |  |  | RM | 1 | Due to certain changes in heirarchy structure, certain books were not captured by VaR. due to a missing flag.  Books were corrected and VaR rerun. | Develop process to insure that books affecting markter risk are properly captured by VaR | yes | yes | yes | 1
2001-01-30 00:00:00 | Risk Controls | FT-CAND-EGSC-G-BAS, INTRA-CAND-WEST-BAS | Gas |  |  | RM | 1 | Books were officialized, however the manual process required to pull in the PostID was not completed.  Howere the Books only maintain Credit Risk, therefore VaR was not affected.  Credit had to manually delete the prior day information and rerun Margin reports. | Develop process that would eliminate the need for manual processing to capture basis positions | no | yes | yes | 1
2001-01-30 00:00:00 | Risk Controls | FT-CAND-BC-GD-PHY | Gas |  |  | RM | 3 | Book was officialized, but due to attribute mismatch RisktRAC did not capture the postID and related positions.  Attribute mismatch was corrected and manually pulled in.  The book only contain Credit Risk information, however credit was advised and information pulled in prior to running reports. | Insure that attributes are correct at initial book set up and that no changes are made subsequently. | no | no | yes | 1
2001-01-29 00:00:00 | Risk Controls | Interest rate and FX curves |  |  |  | RM | 1 | Due to change in process uploading these curves incorrect data was uploaded at 5pm.  This caused the need for several commodoties to recalc and officialize books for 01/29/01.  As the recalc's were performed prior to running VaR and other morning reports no impact was observed for reported purposes. | Properly test new procedures prior to implementing into production. | no | no | nio | 1
2001-01-29 00:00:00 | Risk Controls | Eastern Spreadsheets | power |  |  | RM | 1 | Spreadoption spreadsheet offcialized late. | Develop process to insure all active books are officialized on a daily basis. | no | no | yes | 1
2001-01-29 00:00:00 | Risk Controls | EU-PWR-POOLS | power |  |  | RM | 1 | Portcalc process failed due to non existant curve.  Book was recalc'd and officialized late.   Credit updated subsequent to officialization | Develop process to identify missing curves during Portcalc. | no | no | yes | 1
2001-01-29 00:00:00 | Risk Controls | EU-PWR-BILATERAL | power |  |  | RM | 1 | Calc process failed due to increase database space requirements.  Process was reperformed and book was officialized late.   Credit updated subsequent to officialization | Develop process to monitor space allocation for Databases and advise when approaching limits | no | no | nio | 1
2001-01-26 00:00:00 | Credit | FT-CAND-EGSC-BAS | Gas |  |  | RM | 1 | Book was officialized, however due to the deal capture methodology used by Canada the BAS positions are overwritten using the PRC postid.  The postid used was the one related to the Canadian$ PRC calc rather than the US$ PRC calc.  This caused Credit data to be overstated by $178 mil | Develop an automoted process to capture the data and thereby eliminate any potential human processing errors.  Preferrably process should separate deal capture for [NAME] and PRC books allowing information to flow directly from ERMS and not require manipulation | no | yes | yes | 1
2001-01-26 00:00:00 | Risk Controls | UK Discounted positions | Liquids |  |  | RM | 1 | UK positions were doubled due to a change in the hierarchy , which transferred certain books from UK discount portfolio to Credit AGG.  To correct problem IT repopulated from previous date and thereby duplicating positions. | Insure that changes in hierarchy are properly communicated to all affected parties. | no | yes | yes | 1
2001-01-26 00:00:00 | Risk Controls | PAPER-GS-PRC | Paper |  |  | RM | 1 | Book was officialized, however it was done for the wrong date.  Positions were flat, however there was an impact on credit position. | Need to develop a process insure that books officialized for the correct date. | no | yes | yes | 1
2001-01-26 00:00:00 | Risk Controls | EAF-AUS-PRC | power |  |  | RM | 1 | Book was not officialized due to holiday in Australian.  Procedures in place state that positions should be roled in as of non US holiday | Properly communicate procedures for foreign offices when non us holiday occurs | no | yes | yes | 1
2001-01-25 00:00:00 | Risk Controls | UK E2XX1 SPREADSHEET | power |  |  | RM | 1 | spreadoption spreadsheet not offcialized | Develop process to insure all active books are officialized on a daily basis. | no | yes | yes | 1
2001-01-25 00:00:00 | Risk Controls | EAF-AUS-PRC | power |  |  | RM | 1 | Book was not officialized due to holiday in Australian.  Procedures in place state that positions should be roled in as of non US holiday | Properly communicate procedures for foreign offices when non us holiday occurs | no | yes | yes | 1
2001-01-24 00:00:00 | Risk Controls | Rerun AGG-Gas III and IV | Gas |  |  | RM | 1 | Due the restructuring of hierarchy for the changes made to the Canada IM books some books were inadvertantly left in the AGG GAS III and IV.  They were identified and removed from the portfolios. | Develop procedures to insure that books are properly included in the appropriate hierarchies. | yes | no | nio | 1
2001-01-24 00:00:00 | Risk Controls | PWR-EAST-PW  CN-PRC; NT-PRC; QJ-PRC; TC-PRC | power |  |  | RM | 1 | Books not officialized during evening procedures.  They were officialized in the AM.  Power VaR was rerun. | Develop process to insure all active books are officialized on a daily basis. | yes | yes | yes | 1
2001-01-24 00:00:00 | Risk Controls | PWR-NG-LTCA-PRC | power |  |  | RM | 1 |  |  |  |  |  | 1
2001-01-24 00:00:00 | Risk Controls | PWR-NG-LTSW  PRC, [NAME] | power |  |  | RM | 1 |  |  |  |  |  | 1
2001-01-24 00:00:00 | Risk Controls | PWR-NG-ST-WEST  PRC, [NAME] | power |  |  | RM | 1 |  |  |  |  |  | 1
2001-01-24 00:00:00 | Risk Controls | PWR-NG-STNW  PRC, [NAME] | power |  |  | RM | 1 |  |  |  |  |  | 1
2001-01-24 00:00:00 | Risk Controls | PWR-NG-WEST PRC, [NAME] | power |  |  | RM | 1 |  |  |  |  |  | 1
2001-01-24 00:00:00 | Risk Controls | PWR-NG-WST PRC, [NAME] | power |  |  | RM | 1 |  |  |  |  |  | 1
2001-01-24 00:00:00 | Risk Controls | PWR-PRICE-PRC-PWRC, PWR-PRICE-PRC-PWRP | power |  |  | RM | 1 |  |  |  |  |  | 1
Total Errors for the week of  Jan 17 to 23
2001-01-23 00:00:00 | Risk Controls | 4 Canada IM PHY and GDL books | gas |  |  | RM | 1 | Books were officialied, however due to region code and attribute mismatches, the ERMS books did not resolve in books within RisktRAC.   Books were pulled in manually during morning.  These books only contain Credit RISK and do not affect VaR | Attribute mismatches corrected to match [NAME] database. | no | yes | yes | 1
2001-01-23 00:00:00 | Risk Controls | Various Canada IM Basis books | gas |  |  | RM | 1 | Process had been established whereby [NAME] would provide PostIDS to RM to manually pull in [NAME] books.  However, process not completely understood and postids were not forwarded to RM.  [NAME] books were pulled in during AM. | Develop process to insure all active books are officialized on a daily basis. | no | yes | yes | 1
2001-01-23 00:00:00 | Risk Controls | FT-NORTHWEST-IDX | gas |  |  | RM | 1 | Officialized for the following day.  However book contained no deals, as such no impact to VAR or credit. | Develop process to insure all active books are officialized on a daily basis. |  | yes | yes | 1
2001-01-23 00:00:00 | Risk Controls | INTRA-SITHE-PHY | gas |  |  | RM | 1 | Book  not officialized.  Done in the morning. Gas [NAME] | Develop process to insure all active books are officialized on a daily basis. | yes | yes | yes | 1
2001-01-22 00:00:00 | Risk Controls | 9 UK liquids books | Liquids |  |  | RM | 1 | Books were not officialized, however only 4 books contained positions. | Develop process to insure all active books are officialized on a daily basis. | no | yes | yes | 1
2001-01-22 00:00:00 | Risk Controls | POWER-SS-R3C-PRC | Power |  |  | RM | 1 | Book was not officialized.    Book was officialized in the morning and Var rerum | Develop process to insure all active books are officialized on a daily basis. | yes | yes | yes | 1
2001-01-22 00:00:00 | Risk Controls | LUMBER-US-PRC | LUMBER |  |  | RM | 1 | Book was not properly officialized.  A needed flag is not properly set, therefore the information was not captured by RisktRAC.  Book was officialized in the morning and Var rerum | Develop process to insure all active books are officialized on a daily basis. | yes | yes | yes | 1
2001-01-22 00:00:00 | Risk Controls | FT-CAND-OP-GD- [NAME], PRC | gas |  |  | RM | 1 | Books do not have any deals.  Per [NAME] the books should be marked dormant. | Establish a process to identify dormant books and properly reflect in RisktRAC | no | yes | yes | 1
2001-01-22 00:00:00 | Risk Controls | FT-CAND-BC-GD- [NAME], PRC | gas |  |  | RM | 1 | Books do not have any deals.  Per [NAME] the books should be marked dormant. | Establish a process to identify dormant books and properly reflect in RisktRAC | no | yes | yes | 1
2001-01-19 00:00:00 | Risk Controls | INTRA-CAND-WEST BAS, PHY | gas |  |  | RM | 3.1 | Books were officialized, however only contain Credit Risk as market risk is loaded through other bookids.  Certain of the PostIDs did not get picked up by RisktRac due to certain criteria reviewed by database.  As this was a new process for processing credit risk, RisktRAC would need to be updated to insure capture of all books.  The [NAME] bookIDS need to be pulled in manually, however appropriate personnel were not properly identified and duties communicated. | Effectively communicate responsibilities to manually pull in data for basis books to appropriate personnel.  Develop update to RiktRAC to insure proper capture of date for books with Book flags and  duplicate post ids | no | yes | yes | 2
2001-01-19 00:00:00 | Risk Controls | INTRA-CAND-WE-GD-GDL | gas |  |  | RM | 3.1 |  |  | no | yes | yes | 2
2001-01-19 00:00:00 | Risk Controls | INTRA-CAND-BC-GD-GDL | gas |  |  | RM | 3.1 |  |  | no | yes | yes | 2
2001-01-19 00:00:00 | Risk Controls | INTRA-CAND-BC PHY,  [NAME] | gas |  |  | RM | 3.1 |  |  | no | yes | yes | 2
2001-01-19 00:00:00 | Risk Controls | FT-CAND-OP-GD- [NAME], GDL, PRC | gas |  |  | RM | 3.1 |  |  | no | yes | yes | 2
2001-01-19 00:00:00 | Risk Controls | FT-CAND-BC-GD BAS, GDL, PHY, PRC | gas |  |  | RM | 3.1 |  |  | no | yes | yes | 2
2001-01-19 00:00:00 | Risk Controls | INTRA-DENVER-GDL | gas |  |  | RM | 1 | Deals in book were transferred to other books.  Book was calc'd and officialized one last time to insure zero out of positions for credit purposes. Book marked as dormant | Establish a process to identify dormant books and properly reflect in RisktRAC | no | no | no | 1
2001-01-18 00:00:00 | Risk Controls | Continental GAS loaded late due to problems with overnight run | gas |  |  | RM | 3 |  |  | no | yes | yes | 1
2001-01-18 00:00:00 | Risk Controls | INTRA-CAN-BC-GD | gas |  |  | RM | 1 | Book was inadvertently deleted from the hierarchy during a hierarchy clean up. | Develop process to identify books deleted an confirm decision to delete. | no | yes | yes | 1
2001-01-18 00:00:00 | Risk Controls | NG-PRC-BAS | gas |  |  | RM | 1 | Book not officialized.  Officialized and [NAME] | Develop process to insure all active books are officialized on a daily basis. | yes | yes | yes | 1
2001-01-18 00:00:00 | Risk Controls | INTRA-DENVER-GDL | gas |  |  | RM | 1 | Book was not officialized, however all deals were moved to new books.  The book will be officialized one last time to zero out positions and book will be marked as dormant. | Establish a process to identify dormant books and properly reflect in RisktRAC | no | yes | yes | 1
2001-01-17 00:00:00 | IT | Continental Power Bilateral and Nordic Power loaded late due to hardware issues in Houston and Europe | Power |  |  | IT | 2 | Due to certain computer issues on the Houston side Continental powe was upload around 8:20am.  Additionally, due to network issues in UK Nordic power transmitted late. | Develop alternate procedures to insure proper capture of data when primary systems are not functioning | yes | yes | yes | 1
2001-01-17 00:00:00 | IT | Network problems prevented CAS from running at its normal time |  |  |  | IT | 2 | Due to certain network issues scheduled programs were not run. | Develop alternate procedures to  report credit when IT issues prevent run of CAS programs. | no | yes | yes | 1
2001-01-17 00:00:00 | Risk Controls | INTRA-CAND-WEST BAS, PHY, PRC | gas |  |  | RM | 1 | Books were not officialized, however only contain Credit Risk as market risk is loaded through other bookids | Develop process to insure all active books are officialized on a daily basis. | no | yes | yes | 1
2001-01-17 00:00:00 | Risk Controls | INTRA-CAND-WE-GD-GDL | gas |  |  | RM | 1 |  |  | no | yes | yes | 1
2001-01-17 00:00:00 | Risk Controls | INTRA-CAND-BC PHY, PRC, [NAME] | gas |  |  | RM | 1 |  |  | no | yes | yes | 1
2001-01-17 00:00:00 | Risk Controls | FT-CAND-OP-GD- [NAME], GDL, PRC | gas |  |  | RM | 1 |  |  | no | yes | yes | 1
2001-01-17 00:00:00 | Risk Controls | FT-CAND-BC-GD BAS, GDL, PHY, PRC | gas |  |  | RM | 1 |  |  | no | yes | yes | 1
Total Errors for the week of  Jan 10 to 16
2001-01-16 00:00:00 | Risk Controls | Rerun AGG-LIQUIDS VaR | Liquids |  |  | RM | 1 | Had to rerun VaR as positions were incorrect for UK-BENZ UK-MTBE and UK-TOLU.  This was due to incorrect processing during officialization | Develop process to insure all active books are appropriately officialized and reviewed prior to transmission. | yes | yes | yes | 1
2001-01-16 00:00:00 | Risk Controls | INTRA-CAND-WEST BAS, PHY, PRC | Gas |  |  | RM | 1 | These books are part of the process to modify how Canada IM positions are reported.  They are used to report the Credit Risk side of the portfolios.  The Market risk is being reported through new books.   We are currently working to refine the process and insure that all books are properly captured within risktrac for credit reporting purposes. | [NAME] the reporting process to insure that all appropriate credit risk information is capture for the Canadian intramonth books | no | yes | yes | 1
2001-01-16 00:00:00 | Risk Controls | INTRA-CAND-WE-GD-GDL | Gas |  |  | RM | 1 |  |  | no | yes | yes | 1
2001-01-16 00:00:00 | Risk Controls | INTRA-CAND-BC PHY, PRC, [NAME] | Gas |  |  | RM | 1 |  |  | no | yes | yes | 1
2001-01-16 00:00:00 | Risk Controls | FT-CAND-OP-GD- [NAME], GDL, PRC | Gas |  |  | RM | 1 |  |  | no | yes | yes | 1
2001-01-16 00:00:00 | Risk Controls | FT-CAND-BC-GD BAS, GDL, PHY, PRC | Gas |  |  | RM | 1 |  |  | no | yes | yes | 1
2001-01-16 00:00:00 | Risk Controls | FINANCIAL AFF-PRC; EM-PRC; PROP-PRC; TN10-PRC; TN5-PRC |  |  |  | RM | 1 | Book was not officialized.  However the books not have a VAR or Credit impact as they are only used for settlement purposes. | Develop process to insure all active books are officialized on a daily basis. | no | no | no | 1
2001-01-16 00:00:00 | Risk Controls | FIN-AGRI-MEATS-PRC | SOFTS |  |  | RM | 1 | Book was not officialized.  However the book did not have positions or credit exposures | Develop process to insure all active books are officialized on a daily basis. | no | no | no | 1
2001-01-12 00:00:00 | Risk Controls | Preliminary DPR not issued on time |  |  |  | RM | 1 | Due to a change in the server used to report position for various commodities positions were not reported in time for preliminary DPR issuance. | Insure that any changes in IT hardware are properly communicated to all parties to minimize impact of changes. | no | no | no | 1
2001-01-12 00:00:00 | Risk Controls | UK Power run failed | Power |  |  | RM | 3 | UK power [NAME] failed.  Books not reported in time for VaR  run. | Develop alternate IT procedures to be used when software applications fail | no | yes | yes | 1
2001-01-12 00:00:00 | Risk Controls | EPMI-LT-CA-PRC | Power |  |  | RM | 3 | Book was officialized, but risktrac did not capture the post ID.  Positions were pulled in and Power VaR  rerun | Develoop a process to identify the number of books populated from a batch posting.  This would insure that the correct number or books are created each time a set of books are calc'd and officialized. | yes | yes | yes | 1
2001-01-12 00:00:00 | Risk Controls | FT-SITHE-HEDGE [NAME], IDX, PRC | Gas |  |  | RM | 1 | BA forgot to officialize, however since the books have held no deals since December there is no impact on VaR, Credit or Cash flows | Develop process to insure all active books are officialized on a daily basis. | no | no | no | 1
2001-01-12 00:00:00 | Risk Controls | [NAME]. GDL, PHY, PRC | Gas |  |  | RM | 1 | Books were created to assist in the reporting of Canada IM rolloff positions.  However due to problems experienced reporting the other positions reverted to old method of reporting positions. Currently working to resolve issues by today. | Develop process to insure that Canada IM roll off positions are properly captured in  for Market Risk and Credit Risk. | no | yes | no | 1
2001-01-11 00:00:00 | Risk Controls | FT-CAND-BC-GD BAS, GDL, PHY, PRC | Gas |  |  | RM | 1 | Due to an attribute mismatch, the PostID information was not loaded into risktrac.  Due to a change in the procedures and books used to report IM roll off positions had certain attribute mismatches that were not previously identified.  Due to the mismatch certain information was not entered into RisktRAC. | Develoop process to insure that any changes in ERMS are properly reported to RisktRAC. | no | yes | yes | 1
2001-01-11 00:00:00 | Risk Controls | INTRA-ME-PROMPT-PHY | Gas |  |  | RM | 1 | Book is dormant | Establish a process to identify dormant books and properly reflect on RisktRAC | no | no | no | 1
2001-01-11 00:00:00 | Risk Controls | POWER-SS-R3C-PRC | Power |  |  | RM | 1 | Spreadsheet was not loaded into RisktRac.  Was loaded in the morning and Power VaR rerun | Develop process to insure all active books are officialized on a daily basis. | yes | yes | yes | 1
2001-01-10 00:00:00 | IT | UK Gas Curves | Gas |  |  | RM | 1 | All curves had no reference dates | Develop procedures to insure data validation prior to transmission | no | no | no | 1
Total Errors for the week of  Jan 3 to 9
2001-01-09 00:00:00 | Risk Controls | UK Power Book | Power |  |  | RM | 1 | 2 deals were not included in the book prior to officialization, as deals were not approved in time for feed | Establish procedures to insure that all deals are properly booked prior to officialization. | no | yes | yes
2001-01-09 00:00:00 | Risk Controls | hfo_exop_pos; ng_opt; r;;_exop_pos |  |  |  | RM | 1 | [NAME] and Invalid  Call_Put_Cd | Establish procedures to insure that all spreadsheets contain only valid codes for the various code types | no | yes | no
2001-01-09 00:00:00 | Risk Controls | coal_exop_pos;  coal_opti_pos;  DRAM_position;  ebs_exop_pos; erac_exop_pos |  |  |  | RM | 1 | Invalid UOM_CD | Establish procedures to insure that all spreadsheets contain only valid codes for the various code types | no | no | no
2001-01-09 00:00:00 | Risk Controls | Adv_exop_pos; Cand_OP; ft_northwest |  |  |  |  | 1 | Invalid Option_Class_CD | Establish procedures to insure that all spreadsheets contain only valid codes for the various code types | no | yes | yes
2001-01-09 00:00:00 | Risk Controls | CanadaIM; Cand_BC; Cand_West |  |  |  | RM | 1 | Invalid Risktype_CD | Establish procedures to insure that all spreadsheets contain only valid codes for the various code types | no | no | no
2001-01-09 00:00:00 | Risk Controls | ARG_BRZL_POS; DUB_; Equity_pos ; MG_Metals_soft ; Pipe_opt_D ; pipe_opt-P_ ; PP_SSR3C_pos ; [NAME]; |  |  |  | RM | 1 | Invalid Counterparty ID's, | Establish procedures to insure that all spreadsheets contain only valid codes for the various code types | no | yes | no
2001-01-08 00:00:00 | Risk Controls | INTRA-CAND-WEST BAS, PHY, PRC | GAS |  |  | RM | 1 | Spreadsheets were not officialized due to a miscommunication within group.  Books were officialized 01/09/01.  Due to the nature of the books the need to rerun VaR was not considered necessary.  Impact for credit and Cash flow not considered material. | Develop process to insure all active books are officialized on a daily basis. | no | yes | yes
2001-01-08 00:00:00 | Risk Controls | INTRA-CAND-WE-GD-GDL | GAS |  |  | RM | 1 | Spreadsheets were not officialized due to a miscommunication within group.  Books were officialized 01/09/01.  Due to the nature of the books the need to rerun VaR was not considered necessary.  Impact for credit and Cash flow not considered material. | Develop process to insure all active books are officialized on a daily basis. | no | yes | yes
2001-01-08 00:00:00 | Risk Controls | INTRA-CAND-BC BAS, PHY, PRC | GAS |  |  | RM | 1 | Spreadsheets were not officialized due to a miscommunication within group.  Books were officialized 01/09/01.  Due to the nature of the books the need to rerun VaR was not considered necessary.  Impact for credit and Cash flow not considered material. | Develop process to insure all active books are officialized on a daily basis. | no | yes | yes
2001-01-08 00:00:00 | Risk Controls | FT-CAND-PWR-PRC | Power |  |  | RM | 1 | Book was marked as dormant.  It no longer has deals booked to it. | Establish a process to identify dormant books and properly reflect on RisktRAC | no | yes | yes
2001-01-08 00:00:00 | Risk Controls | FT-VNG-GDL | GAS |  |  | RM | 1 | Book was officialized, however due to an attribute mismatch RisktRAC did not recognize the Post ID.  Attribute problem has been corrected.  As book only contained intra affiliate deals and positions, there was no impact to Credit, VaR and Cash Flows | Develoop process to insure that any changes in ERMS are properly reported to RisktRAC. | no | no | no
2001-01-08 00:00:00 | Risk Controls | FT-CAND-OP-GD BAS, GDL, PRC | GAS |  |  | RM | 1 | Spreadsheets were not officialized due to a miscommunication within group.  Books were officialized 01/09/01.  Due to the nature of the books the need to rerun VaR was not considered necessary.  Impact for credit and Cash flow not considered material. | Develop process to insure all active books are officialized on a daily basis. | no | yes | yes
2001-01-08 00:00:00 | Risk Controls | FT-CAND-BC-GD BAS, GDL, PHY, PRC | GAS |  |  | RM | 1 | Spreadsheets were not officialized due to a miscommunication within group.  Books were officialized 01/09/01.  Due to the nature of the books the need to rerun VaR was not considered necessary.  Impact for credit and Cash flow not considered material. | Develop process to insure all active books are officialized on a daily basis. | no | yes | yes | 1
2001-01-05 00:00:00 | Risk Controls | FT-VNG-GDL | GAS |  |  | RM | 1 | Book was officialized, however due to an attribute mismatch RisktRAC did not recognize the Post ID.  Attribute problem has been corrected.  As book only contained intra affiliate deals and positions, there was no impact to Credit, VaR and Cash Flows | Develoop process to insure that any changes in ERMS are properly reported to RisktRAC. | no | no | no | 1
2001-01-05 00:00:00 | Risk Controls | INTRA-DENVER-GDL | GAS |  |  | RM | 1 | BA did not officialize, however book contains no deals or positions.  There was no exposure for VaR, Credit or Cash Flows. | Develop process to insure all active books are officialized on a daily basis. | no | no | no | 1
2001-01-05 00:00:00 | Risk Controls | UK-Coal-Sr-PRC | coal |  |  | RM | 1 | Deals in book were transferred to a new book.  This ID will be marked as dormant | Establish a process to identify dormant books and properly reflect on RisktRAC | no | no | no | 1
2001-01-04 00:00:00 | Risk Controls | ERMS PROBLEM | GAS |  |  | RM | 3 | Due to insufficient table space allocation, the [NAME] for postid 996171 failed in the middle of the process. The failure prevented ERMS from properly picking up the positions.   The lack of space was caused by a significant increase in terms not anticipated by the DBA's.  Since discovering the problem the DBA's have increased space allocation.  The book was reofficialized and [NAME] and IV VaR rerun for the 3rd. | (1) Establish process where table space allocation is sufficient to handle officialization.  (2) Insure procedures are in place to appropriately handle error messages received by BA's. | yes. | yes | yes | 2
2001-01-04 00:00:00 | Risk Controls | EPMI-SE-ANALYST-PRC | Power |  |  | RM | 3 | Book was officialized, however since the book did not contain any deals the upload does not import the Post ID. | Create a system patch so that RisktRAC picks up postids even for books w/o deals | no | no | no | 1
2001-01-04 00:00:00 | Risk Controls | INTRA-SITHE-GDL | GAS |  |  | RM | 1 | Ba did not officialize book.  The book contained no deals. | Develop process to insure all active books are officialized on a daily basis. | no | yes | no | 1
2001-01-04 00:00:00 | Risk Controls | PWR-NG-HEDGE-PRC | Power |  |  | RM | 1 | Book has no deals and needs to identified as Dormant | Establish a process to identify dormant books and properly reflect on RisktRAC | no | no | no | 1
2001-01-03 00:00:00 | Risk Controls | AGG-ECT  VaR rerun |  |  |  | RM | 1 | (1) Up to date data for EBS not available at time of original upload.  Updated information was provided during the day and loaded into system. (2) Due to a systems problem with ERMS the software failed to pull in certain gas daily swaps.  Books were reofficialized and AGG-ECT VaR rerun to correct both issues | Establish procedures to insure that accurate positions are properly reflected in the system | yes. | yes | yes | 1
2001-01-03 00:00:00 | Risk Controls | EnPower East Cashflows |  |  |  | RM | 1 | unexpected large cash flow movements identified. | Establish procedures to insure accurate estimates for cash flows are developed by BA's | no | no | yes | 1
2001-01-03 00:00:00 | Risk Controls | UK Crude | liquids |  |  |  | 3 | Problem pulling in UK crude positions.  Positions were reloaded and Liquids reRun | Establish to insure that all positions are properly reflected in the system | yes. | yes | yes | 1
2001-01-03 00:00:00 | Risk Controls | FT-NEW-TEXAS-BAS | GAS |  |  | CAS | 1 | Unofficialized book was detected by CAS due to open positions.   It was not picked by RisktRAC as it had been marked as dormant.  As the book contained flat positions it did not affect VaR, however due to 3rd party deals it created a credit exposure.  Book has been reactivated by RisktRAC. | Establish procedures to insure that all books containing deals are identified as active and appropriate officialization procedures followed. | no | yes | no | 1
2001-01-03 00:00:00 | Risk Controls | PAPER-AFF-PRC | PAPER |  |  | RM | 1 | Book holds no deals.  Needs to marked as dormant | Establish process to insure that dormant books are appropriately communicated. | no | no | no | 1
2001-01-03 00:00:00 | Risk Controls | IN-UPSTREAM-ST  BAS,IDX, PRC | GAS |  |  | RM | 1 | ba did not officialize book.  Book was officialized subsequently. | Establish procedures to insure all active books are officialized on a timely manner. | yes. | yes | yes | 1
2001-01-03 00:00:00 | Risk Controls | FT-VNG-GDL | GAS |  |  | RM/IT | 3 | Book was officialized, but due to an attribute mismatch, [NAME] did not accept the postid for the book..  Since the book doesnot contain any 3rd party trades there is no VaR, Credit or Cashflow exposure. | Establish process to insure that any changes in ERMS are communicated to RisktRAC | no | no | no | 1
2001-01-03 00:00:00 | Risk Controls | FT-CAND-PWR-PRC | Power |  |  | RM/IT | 1 | Deals on book were transferred to other books.  Book has been marked as dormant. | Establish process to insure that dormant books are appropriately communicated. | no | no | no | 1
2001-01-03 00:00:00 | Risk Controls | EPMI-SE-ANALYST-PRC | Power |  |  | RM/IT | 3 | Books were officialized, but due to the lack of deals the Post ID was not picked up by RisktRAC | Create a system patch so that RisktRAC picks up postids even books w/o deals | no | no | no | 1
2001-01-03 00:00:00 | Risk Controls | EPMI-ST-SPP-PRC | Power |  |  | RM/IT | 3 | Books were officialized, but due to the lack of deals the Post ID was not picked up by RisktRAC | Create a system patch so that RisktRAC picks up postids even books w/o deals | no | no | no | 1
2001-01-03 00:00:00 | Risk Controls | EAF-AUS-PRC | Power |  |  | RM/IT | 3 | Book not officialized due to problems with enPower due to failure with [NAME].  Problem has been identified and upgrade will be loaded as soon as possible. | Load enPower upgrade to eliminate PortCalc failure. | no | yes | yes | 1
Total Errors for the week of Dec 27- [NAME]
2001-01-02 00:00:00 | Risk Controls | UK VaR |  |  |  | IT | 1 | Gamma issue caused an errant VaR number. Due to current formulas used by models, need to set correlations to .999 to prevent large gamma numbers. | Change formulas used by models to correct the [NAME] issue.  Patch to correct [NAME] issue to be made a priority. | yes | no | no | 1
2001-01-02 00:00:00 | Risk Controls | FT-VNG-GDL | Gas |  |  | RM | 1 | Book was officialized, but due to change in attributes that were not communicated to RisktRAC, system did not pick post_id or post positions.  As book only contains intracompany transactions no VaR, Credit or Cash flow exposures occurred. | Establish procedrues to ensure that any modifications to either ERMS or RisktRAC are synchronized. | no | no | no | 1
2001-01-02 00:00:00 | Risk Controls | EPMI-ST-SPP-PRC | Power |  |  | RM | 3 | Portfolio was officialized, but since book contained no positions, RisktRAC does not pick up Post ID | Determine if book is dormant or termporarily inactive. | no | no | no | 1
2001-01-02 00:00:00 | Risk Controls | EPMI-SE-ANALYST-PRC | Power |  |  | RM | 3 | Portfolio was officialized, but since book contained no positions, RisktRAC does not pick up Post ID | Determine if book is dormant or termporarily inactive. | no | no | no | 1
2001-01-02 00:00:00 | Risk Controls | EAF-AUS-PRC | Power |  |  | RM/IT | 3 | Book not officialized due to problems with enPower end of month procedures caused by a failure with [NAME].  Problem has been identified and upgrade will be loaded as soon as possible. | Setup procedures to insure that end of month process are followed to properly report enPower positions | no | yes | yes | 2
2000-12-29 00:00:00 | Risk Controls | EAF-AUS-PRC | Power |  |  | RM | 3 | Book not officialized due to problems with enPower.  [NAME] failed due to known bug.  Upgrade that addresses issue will be loaded. | Set up process to insure all active books are officialized on a timely basis. | no | no | no | 1
2000-12-29 00:00:00 | Risk Controls | UK-Power books | Power |  |  | Rm/IT | 3 | UK Power book is showing a higher position that input | Set up process to test software outputs to insure proper reporting | no | no | no | 1
2000-12-29 00:00:00 | Risk Controls | FT-VNG-GDL | Gas |  |  | RM | 3 | Book was officialized, but [NAME] did not capture ID.  Book was reofficialized.  However, as the book only contains intracompany transactions, no Credit or VaR exposure identified. | Set procedures to insure that all officialized books are captured by RisktRAC and ERMS | no | no | no | 1
2000-12-28 00:00:00 | UK/IT | UK Books | gas/power |  |  | RM/IT | 3 | Problem with FTP Applications.  [NAME] failed, tried to upload manually, but failed.  Technicials working to resolve hardware issues.  Unix technician indicated it was a network problem on UK side.  Issue identified to be a firewall issue. | Set up alternative procedures when feeds fail to insure that all needed information is properly captured. | yes | yes | yes | 1
2000-12-28 00:00:00 | Risk Controls | Coal Books | Coal |  |  | RM | 1 | Curve had to be added to tables.  Tables were refreshed and Coal Var Rerun | Set procedures to insure that all needed curves are established in RMS and ERMS in a timely manner | yes | yes | yes | 1
2000-12-28 00:00:00 | Risk Controls | FT-VNG-GDL | Gas |  |  | RM | 1 | Book was not officialized prior to 6 am.  Once officialized Gas VaR was rerun | Set up process to insure all active books are officialized on a timely basis. | yes | yes | yes | 1
2000-12-28 00:00:00 | Risk Controls | 2 DUB-ERMS XL Books | Gas |  |  | RM | 3 | Spreadsheets had an upload error that was not detected until after 6am.  Books were uploaded and VaR Rerun | Set up procedures to insure that when upload error occurs it is detected and corrected prior to deadline | yes | yes | yes | 1
2000-12-28 00:00:00 | Risk Controls | 1 set on NGL books containing 20 individual liquids books | Liquids |  |  | RM | 1 | Books were officialized, but due to a missing curve books were recalc'd and unofficialized, but failed to be reofficialized.  Books were officialized in the morning.  VaR was Rerun | Set up process to insure all active books are officialized on a timely basis. | yes | yes | yes | 1
2000-12-27 00:00:00 | Risk Controls | EES Positions | Power |  |  | RM | 1 | Transaction inversely recorded in books.  [NAME] corrected and EES VaR rerun | Set up procedures to insure proper capture of transactions | yes | yes | yes | 1
2000-12-27 00:00:00 | Risk Controls | Rerun [NAME]'s book | Gas |  |  | RM | 3 | Positions captured incorrectly, which caused the need to rerun [NAME] book.  Had to rerun VaR | Set up procedures to insure proper capture of positions. | yes | yes | yes | 1
2000-12-27 00:00:00 | Risk Controls | EU-PWR-Bilateral | Power |  |  | RM | 1 | Book was officialized 1 hr late, however captured in time for VaR calculation.  [NAME] was caused by problems with PortCalc | Set up process to insure all active books are officialized on a timely basis. | no | no | no | 1
Total Errors for the week of Dec 20-26
2000-12-22 00:00:00 | Risk Controls | Pulp and Paper books | EIM |  |  | RM | 1 | Had to ReRun VaR due to the capture of affiliate positions in VaR and DPR reporting. | Set up alternative Calcing procedures to insure capture of 3rd party positions, while excluding affiliate positions.  For VaR reporting problem has been resolved. | yes | yes | yes | 1
2000-12-22 00:00:00 | Risk Controls | 2 Continental power books | Power |  |  | RM/IT | 3 | [NAME].System was looking for curves for the 26th, even though books were being officialized for the 22nd.  This caused a delay in transmission. Books were officialized 1-1/2 hours late. | Set up procedures to insure that the system is capturing appropriate information. | no | no | no | 1
2000-12-22 00:00:00 | Risk Controls | 3 FT- Canada AB Gas Daily books | Gas |  |  | RM | 1 | Rolloff positions are not being captured due to differences between ERMS and spreadsheet.  As Books only contain transactions with internal ENRON entities to be marked as dormant.  Determined to have no counterparyt exposures based on evaluation by [NAME] | Set up process to insure that all dormant books are properly  classified in a timely manner. | no | no | no | 1
2000-12-22 00:00:00 | Risk Controls | FT-Cand-AB-EGSC-EA-BAS | Gas |  |  | RM | 1 | BA forgot to manually override.  Per Robyn Rodrigue, due to minimal number of positions not considered necessary to rerun VaR | setup process to insure that all required end of day procedrues are completed. | no | yes | yes | 1
2000-12-22 00:00:00 | Risk Controls | GAS-EXEC-PRC | GAS |  |  | RM | 1 | BA Calced the book, but did not officialize.  Due to flat positions, V@R not rerum | Set up process to insure all active books are properly officialized daily. | no | yes | yes | 1
2000-12-22 00:00:00 |  | Enron Metals not reporting Cash Flow information | NY Concentrates |  |  | RM | 1 | Cash Flows not reported due to lack of procedures.  Scheduled to report around Mid Jan 2001 | Develop procedures to report [NAME] based on available MerCur data | no | no | yes | 1
2000-12-21 00:00:00 | Risk Controls | 4 Power West books | Power |  |  | RM | 1 | BA forgot to officialize book and V@R re-run. | Set up process to insure all active books are properly officialized daily. | yes | yes | yes | 1
2000-12-21 00:00:00 | Risk Controls | FT-CAND-AB-GDL-BAS, IDX, & PRC | Gas |  |  | RM | 1 | Spreadsheet not officialized.  BA feels that while there are trades in the spreadsheet, they are not with external counterparties and do not affect Credit. | Credit needs to confirm importance of officializing positions with no external counterparties. | no | yes | yes | 3
2000-12-20 00:00:00 | RAC | Various Canadian Gas Spreadsheets | Gas/Canada |  |  | RM | 1 | 10 Canadian spreadsheets have not been officialized and the exposures have not been captured in Credit.  The positions were included in VaR because they were grouped at the position level and not the deal level, therefore no counterparty attached to them. | Set up process to insure all active books are properly officialized daily and insure credit issues are taken into account. | no | yes | no | 1
2000-12-20 00:00:00 | Risk Controls | FT-CAND-AB-GDL-BAS, IDX, & PRC | Gas |  |  | RM | 1 | Spreadsheet not officialized.  BA feels that while there are trades in the spreadsheet, they are not with external counterparties and do not affect Credit. | Credit needs to confirm importance of officializing positions with no external counterparties. | no | yes | yes | 3
2000-12-20 00:00:00 | Risk Controls | EPMI-LT-NAMGMT-PRC | Mgmt-Power |  |  | RM | 1 | BA forgot to officialize book and V@R re-run. | Set up process to insure all active books are properly officialized daily. | yes | yes | yes | 1
2000-12-20 00:00:00 | Risk Controls | EES-BOOKS-ENPOWER | Power |  |  | RM | 1 | BA forgot to officialize book and V@R re-run. | Set up process to insure all active books are properly officialized daily. | yes | yes | yes | 1
Total Errors for the week of Dec 13-19
2000-12-19 00:00:00 | Risk Controls | FT-CAND-AB-GDL-BAS, IDX, & PRC | Gas |  |  | RM | 1 | Spreadsheet not officialized.  BA feels that while there are trades in the spreadsheet, they are not with external counterparties and do not affect Credit. | Credit needs to confirm importance of officializing positions with no external counterparties. | no | yes | yes | 3
2000-12-19 00:00:00 | Risk Controls | COAL-ERMS-XL-PRC | Coal |  |  | IT | 3 | Spreadsheet did not load properly into [NAME] and no notice was given to BA that it failed. | IT to create notification of successful completion of spreadsheet download | yes | yes | yes | 1
2000-12-18 00:00:00 | Risk Controls | UK-COAL-BUNK-PRC | Power |  |  | RM | 1 | The coal book was officialized last night but the data did not flow to RisktRAC because the commodity code was changed to [NAME] in RisktRAC and not in ERMS.  The change was requested by [NAME], in London, as part of a group of books being changed,  but evidently should not have been included. | Set up process to confirm all requested changes and advise all affected systems. | yes | yes | yes | 1
2000-12-18 00:00:00 | Risk Controls | EPMI-NE-TRANS-PRC | Power |  |  | RM | 3 | Books were officialized in enPower, however due to the PortCalc and MetaCalc system outage, they were not uploaded to [NAME] as the outage occurred right around upload. | IT to upload books and update post ids | yes | yes | yes | 1
2000-12-18 00:00:00 | Risk Controls | EPMI-LT-MGMT-PRC | Power |  |  | IT | 3 | Books were officialized in enPower, however due to the PortCalc and MetaCalc system outage, they were not uploaded to [NAME] as the outage occurred right around upload. | IT to upload books and update post ids | yes | yes | yes | 1
2000-12-18 00:00:00 | Risk Controls | Various Books did not get officialized for Gas, liquids and Power | gas, liquids, power |  |  | RM/IT | 2 | At approximately 5:30 pm the [NAME] and metacalc systems  went down.  The problem was caused by a scheduled maintenance hardware change. | Determine why maintenance was scheduled during peak times and what caused the delay in restoring service. | yes | yes | yes | 1
2000-12-15 00:00:00 | Risk Controls |  | Power |  |  | RM | 1 | Power VaR rerun due to missing positions from Power exotics because GCP changed shortcode and overlay did not write to Power exotics. |  | yes | yes | yes | 1
2000-12-15 00:00:00 | Risk Controls |  | Canadian Power |  |  | RM/IT | 2000-01-03 00:00:00 | VaR displayed in date format. Unexplained Gamma. Testing done in Houston affecting officialization. |  | yes | yes | yes | 3
2000-12-15 00:00:00 | Risk Controls | UK-COAL-FRT-EOL-PRC | POWER |  |  | RM | 1 | Commodity type not changed to FRTI on [NAME].  Once updated commodity updated Books were officialized and V@R rerun | Set up process to insure proper notification of change in commodity code. | yes | yes | yes | 1
2000-12-15 00:00:00 | Risk Controls | UK-COAL-FRT--EXT-PRC | POWER |  |  | RM | 1 | Commodity type not changed to FRTI on [NAME].  Once updated commodity updated Books were officialized and V@R rerun | Set up process to insure proper notification of change in commodity code. | yes | yes | yes | 1
2000-12-15 00:00:00 | Risk Controls | UK-COAL-FRT-FIN-PRC | POWER |  |  | RM | 1 | Commodity type not changed to FRTI on [NAME].  Once updated commodity updated Books were officialized and V@R rerun | Set up process to insure proper notification of change in commodity code. | yes | yes | yes | 1
2000-12-15 00:00:00 | Risk Controls | UK-COAL-FRT-PRC | POWER |  |  | RM | 1 | Commodity type not changed to FRTI on [NAME].  Once updated commodity updated Books were officialized and V@R rerun | Set up process to insure proper notification of change in commodity code. | yes | yes | yes | 1
2000-12-15 00:00:00 | Risk Controls | FT-KC-WEST-PRC | GAS |  |  | RM | 1 | book was not officialized , however the book had no trades or transactions.  There was therefore no impact. | Set up process to insure all active books are properly officialized daily. | no | no | no | 1
2000-12-15 00:00:00 | Risk Controls | FT-PRM-WEST-PRC | GAS |  |  | RM | 1 | book was not officialized , however the book had no trades or transactions.  There was therefore no impact. | Set up process to insure all active books are properly officialized daily. | no | no | no | 1
2000-12-15 00:00:00 | Risk Controls | FT-WEST-PWR-PRC | POWER |  |  | RM | 1 | book was not officialized , however the book had no trades or transactions.  There was therefore no impact. | Set up process to insure all active books are properly officialized daily. | no | no | no | 1
2000-12-15 00:00:00 | Risk Controls | FT-WEST-PWRP-PRC | POWER |  |  | RM | 1 | book was not officialized , however the book had no trades or transactions.  There was therefore no impact. | Set up process to insure all active books are properly officialized daily. | no | no | no | 1
2000-12-15 00:00:00 | Risk Controls | NG-KC-PRICE-PRC | GAS |  |  | RM | 1 | book was not officialized , however the book had no trades or transactions.  There was therefore no impact. | Set up process to insure all active books are properly officialized daily. | no | no | no | 1
2000-12-15 00:00:00 | Risk Controls | WEST-IND-IDX | GAS |  |  | RM | 1 | book was not officialized , however the book had no trades or transactions.  There was therefore no impact. | Set up process to insure all active books are properly officialized daily. | no | no | no | 1
2000-12-14 00:00:00 | Credit | Canada Pwr | Power |  |  | RM | 3 | Enpower- Front end application does not properly load legal entity in deal capture.  Canada is loaded up to EPMI master agreements, but shouldn't | Resolve application to insure proper deal capture | no | yes | no | 1
2000-12-14 00:00:00 | UK | Nordic | POWER |  |  | RM | 1 | Book was officialized before MtM was officialized, which caused a feed problem.  Book was reofficialized and rerun, which caused server problems | Set up process to insure approval prior to officialization | no | no | no | 1
2000-12-14 00:00:00 | Risk Controls | [NAME] was off by a dcml Pt | [NAME] |  |  | RM | 1 | Data input was off by one decimal pt, so V@R was too high | Set up process | Yes | yes | yes | 1
2000-12-13 00:00:00 | Risk Controls | FT-CAND-PWR-PRC | POWER/CNDA |  |  | RM | 1 | BA forgot to pull in spreadsheet | Set up process | yes | yes | yes | 1
2000-12-13 00:00:00 | Risk Controls | Power Var | PwR |  |  | RM | 1 | R22  price curve vol curves and daily vols were zeroed out. | Set up process | yes | yes | yes | 1
2000-12-13 00:00:00 | Risk Controls | UKGASGSA1 | Gas/UK |  |  | RM | 3 | Spreadsheet was officialized, but does not receive a Post ID. | Resolve whether spreadsheet should receive ID.  Develop alternate procedure to query officialization. | no | no | no | 1
Total errors for week Dec 6-12 |  |  | 21
2000-12-12 00:00:00 | Risk Controls | DABHOL-HO-AFF-IDX | Heating Oil/ Global Markets | [NAME] |  | Risk Mgmt | 1 | ba forgot to officialize.  As book is an affiliate book it does not impact VAR, Credit or other Departments. | Set up processes | no | no | no | 1
2000-12-12 00:00:00 | Risk Controls | GAS-EXEC-BAS | GAS |  |  | IT/RM | 3 | book was officialized and posted, however not captured by RMS. | Resolve problem | no | yes | yes | 1
2000-12-12 00:00:00 | Risk Controls | GAS-EXEC-GDL | GAS |  |  | IT/RM | 3 | book was officialized and posted, however not captured by RMS. | Resolve problem | no | yes | yes | 1
2000-12-12 00:00:00 | Risk Controls | UKGASGSA1 | UK GAS |  |  | IT/RM | 3 | The spreadsheet Posted at 4:51, but did not receive Post ID, which caused it to be picked up by query. | Set up alternate process | no | no | no | 1
2000-12-11 00:00:00 | UK RAC | several Enron Europe books | UK |  |  | IT/UK RM | 3 | files came in late, books could not be seen in RisktRAC, book ID for one book was changed and would not work | Fix problems | yes | yes | yes | several
2000-12-11 00:00:00 | Risk Controls | FT-WEST-OPT-BAS | US GAS |  |  | Risk mgmt | 1 | ba officialized book but did not calc it (normal BA was out). | Set up processes | yes | yes | yes | 1
2000-12-11 00:00:00 | Risk Controls | NG-INDEX-CAND-IDX | Cand gas |  |  | Risk mgmt | 1 | ba forgot | Set up processes | yes | yes | yes | 1
2000-12-08 00:00:00 | Risk Controls | EU-PWR-BILATERAL | UK |  |  | IT | 3 | There is a problem with the feed, [NAME] said it was being updated but was not | Database admin in US needs to fix | yes | yes | yes | 1
2000-12-08 00:00:00 | Risk Controls | EU-PWR-POOLS | UK |  |  | IT | 3 | Came in at 7:10.  MTM failed over the weekend, curve did not load into valuation engine |  | yes | yes | yes | 1
2000-12-08 00:00:00 | Risk Controls | FT-EOL-TEXAS-PRC | US GAS | Denver Plachy |  | Risk mgmt | 1 | BA forgot to officialize, used portcalc instead of metacalc as thought issue from Thurs was not resolved. | Why was this not caught in mini bench?  To update process. | yes | yes | yes | 1
2000-12-08 00:00:00 | Risk Controls | FT-NORTHWEST-IDX | US GAS |  |  | IT | 3 | This book has nothing in it but was officialized and had a post id.  This book was not picked up by RisktRAC. | Why not caught in mini bench? | no | no | no | 1
2000-12-08 00:00:00 | UK RAC | MG METALS | UK (primarily NY concentrates) |  |  | IT | 3 | Late, primarily due to an issue with Aquarius. |  | yes | yes | yes | 1
2000-12-07 00:00:00 | IT | NG-PRICE-GDL | GAS |  |  | IT | 3 | Book was official but did not have a post ID and did not show up on Risk Controls reporting | Figure out what is wrong | yes | yes | yes | 1
2000-12-07 00:00:00 | Risk Controls | EU-PWR-POOLS | European power |  |  | IT | 3 | Feeds slow so did not make it in by 6am. | change sequential to parallel processing | yes | yes | yes | 1
2000-12-06 00:00:00 | Risk Controls | EES-BOOKS-ENPOWER | EES |  |  | IT | 3 | Metacalc was down so ba's had to use port calc.  They were not used to doing this and officialized the wrong day.  They had to reofficialized | Fix Metacalc (done) | yes | yes | yes | 0
2000-12-06 00:00:00 | Risk Controls | ST-SPINDLETOP-BAS | US GAS |  |  | IT | 3 | Metacalc was down so ba's had to use port calc.  They were not used to doing this and forgot to officialize these small storage books (small so no VAR to be rerun) | Fix Metacalc (done) | no | no | no | 0
2000-12-06 00:00:00 | Risk Controls | ST-SPINDLETOP-IDX | US GAS |  |  | IT | 3 | Metacalc was down so ba's had to use port calc.  They were not used to doing this and forgot to officialize these small storage books (small so no VAR to be rerun) | Fix Metacalc (done) | no | no | no | 0
2000-12-06 00:00:00 | Risk Controls | ST-SPINDLETOP-PRC | US GAS |  |  | IT | 3 | Metacalc was down so ba's had to use port calc.  They were not used to doing this and forgot to officialize these small storage books (small so no VAR to be rerun) | Fix Metacalc (done) | no | no | no | 0
2000-12-06 00:00:00 | Risk Mgmt - UK | UK POWER | UK |  |  | IT | 3 | UK power feed failed | Fix feed (done) | yes | yes | yes | 0
2000-12-06 00:00:00 | Risk Mgmt - US gas | Shankman Executive book | US GAS |  |  | risk controls/ risk mgmt | 1 | This intercompany book had a 3rd party pos with Smith Barney.   The book should have been officialized but wasn't.  It did not shw up on the late officialization list. | Start officializing, add to list (done) | no | yes | no | 0
2000-12-06 00:00:00 | RAC Credit |  |  |  |  | IT | 3 | ERMS load in credit failed | ensure this does not happen again (done) | no | yes | no | 0
Total errors for week of Nov 29 to Dec 5
2000-12-05 00:00:00 | Risk Controls | FT-CAND-PWR-PRC | Canada power | [NAME] | [NAME] | CA RM | 1 | BA sent officialized spreadsheet but did not send it to Houston to upload. | expidite canada getting access to RisktRAC to upload things themselves, ensure ba's telephone each other to ensure e-mail has been sent. | yes | yes | yes | 1
2000-12-05 00:00:00 | RAC | [NAME] book | US GAS |  | [NAME] | Risk management | 1 | Issue with interdesk deal - calc times did not match and only one side got picked up | Ensure processes are in place so this would be caught. | yes | yes | yes | 1
2000-12-05 00:00:00 | IT | UK power | UK |  |  | UK RM/US IT | 3 | Book officialized on time, but feeds did not make 6am cut-off | Work on feed speed. | yes | yes | yes | 1
2000-12-04 00:00:00 | RAC | EES | EES |  |  | EES Risk Mgmt | 1 | cals missed a position and had to be recalced and officialized in the afternoon of the 5th | Process needs to be put in place to ensure all trades are captured | yes | yes | yes | 1
2000-12-04 00:00:00 | IT | UK power | UK |  |  | US IT | 3 | Book officialized on time but feeds were slow. | Feeds are sequential and they need to be changed to be parallel. | yes | yes | yes | 1
2000-12-01 00:00:00 | Risk Controls | EI-ARG-GAS-PRC | Argentina gas | [NAME] | [NAME] | Risk management | 1 | BA forgot to officialize | Ensure risk management has process in place to ensure that this cant happen. | yes | yes | yes | 1
2000-12-01 00:00:00 | Risk Controls | FT-CAND-PWR-PRC | Canada power | [NAME] | [NAME] | CA RM | 1 | BA sent officialized spreadsheet to Houston to upload but person in Houston was out. | expidite canada getting access to RisktRAC to upload things themselves | yes | yes | yes | 1
2000-12-01 00:00:00 | IT | UK power | UK |  |  |  | 3 | Book officialized on time, but feeds did not make 6am cut-off | Work on feed speed. | yes | yes | yes | 1
2000-12-01 00:00:00 | UK RAC | Bilateral book in Continental power | UK |  |  |  | ? | Book showed up as being officialized numerous times | ?
2000-11-30 00:00:00 | IT | Continental Power | UK |  |  | UK | 1 | The fx rate was X1000 - P&L was off and book had to be reofficialized. | Figure out why, perform necessary process changes. | yes | yes | yes | 1
2000-11-30 00:00:00 | IT | UK power | UK |  |  | US IT | 3 | Book officialized on time but feeds were slow. | Feeds are sequential and they need to be changed to be parallel. | yes | yes | yes | 1
2000-11-29 00:00:00 | Risk Controls | Continental Power | UK |  |  | US IT | 3 | Book officialized on time but feeds were slow.  Book came in at 7:33. | Feeds are sequential and they need to be changed to be parallel. | yes | yes | yes | 1
Total errors for week Nov 22-28 |  | 8
2000-11-28 00:00:00 | Risk Controls | NG-LTX-GDL | Gas | [NAME] | [NAME] | Risk Management | 1 | Book officialized on time, but positions had to becalced and reofficialized.  Caught on bench this morning. | System enhancements where book admin's do not have to calc same book 4 & 5 times (different positions needed during due to index settlement bid-week for VAR, trader, head trader). | yes | yes | yes | 1
2000-11-28 00:00:00 | Risk Controls | NG-PRICE-GDL | Gas | [NAME] | [NAME] | Risk Management | 1 | Book officialized on time, but positions had to becalced and reofficialized.  Caught on bench this morning. | System enhancements where book admin's do not have to calc same book 4 & 5 times (different positions needed during due to index settlement bid-week for VAR, trader, head trader). | yes | yes | yes | 1
2000-11-28 00:00:00 | IT | Nordic Power | UK |  |  |  | 3 | Book officialized on time, but feeds did not make 6am cut-off | Work on feed speed. | yes | yes | yes | 1
2000-11-27 00:00:00 | IT | UK power | UK |  |  |  | 3 | [NAME] did not make the 6am cut off |  | yes | yes | yes | 1
2000-11-22 00:00:00 | Risk Controls (not to be included on summary) | DUB-ERMS-XL-PRC | EES | [NAME] |  | EES Risk Mgmt | 1 | Price book not included on spreadsheet, therefore had to be downloaded after the VAR run. | Discuss with BA | yes | yes | yes | 1
2000-11-22 00:00:00 | UK RAC | UK Gas | UK |  |  |  | 1 | BA entered deal incorrectly and book needed to be recalced. | Discuss with BA | yes | yes | yes | 1
2000-11-22 00:00:00 | Risk Controls | PLAST-C2-HEDGE-PRC | Global Products |  |  |  | 3 | RisktRAC did not capture the correct positions (notional) | [NAME] reofficialized the book and the correct positions were captured by RisktRAC.  The BA calced and officialized as required. | yes | yes | no | 1
2000-11-22 00:00:00 | Risk Controls | PLAST-C3-HEDGE-PRC | Global Products |  |  |  | 3 | RisktRAC did not capture the correct positions (notional) | [NAME] reofficialized the book and the correct positions were captured by RisktRAC.  The BA calced and officialized as required. | yes | yes | no | 1
2000-11-22 00:00:00 | Risk Controls | RLL-XL-PRC | Global Products |  |  |  | 1 | Spreadsheet was not fully updated to include positions to 2003 | [NAME] made the correction on the spreadsheet, which was reofficialized and downloaded to RisktRAC | yes | yes | yes | 1
Total errors for week  Nov 17-21 |  | 28
2000-11-21 00:00:00 | Risk Controls | EPMI-ST-CA-PRC | West power | [NAME] | [NAME] Richter |  | 1 | Enpower issue - ba did officialize, but desk did not show up for Risk Controls. | [NAME], [NAME] and [NAME] are working on the problem. | yes | yes | yes | 1
2000-11-21 00:00:00 | Risk Controls | EPMI-ST-NW-PRC | West power | [NAME] | [NAME] |  | 1 | Enpower issue - ba did officialize, but desk did not show up for Risk Controls. | [NAME], [NAME] and [NAME] are working on the problem. | yes | yes | yes | 1
2000-11-21 00:00:00 | Risk Controls | EPMI-ST-PLT-PRC | West power | [NAME] | [NAME] |  | 1 | Enpower issue - ba did officialize, but desk did not show up for Risk Controls. | [NAME], [NAME] and [NAME] are working on the problem. | yes | yes | yes | 1
2000-11-21 00:00:00 | Risk Controls | EPMI-ST-SW-PRC | West power | [NAME] | [NAME]/Mark Fischer |  | 1 | Enpower issue - ba did officialize, but desk did not show up for Risk Controls. | [NAME], [NAME] and [NAME] are working on the problem. | yes | yes | yes | 1
2000-11-21 00:00:00 | Risk Controls | FT-CAND-PWR-PRC | US GAS | ? | ? | Canada | 1 | The Canadian gas and power books are officialized and then e-mailed to the US gas desk who is responsible for uploading them.  This spreadsheet did not get fully uploaded. | Move process to Canada | yes | yes | yes | 1
2000-11-21 00:00:00 | UK RAC | UK & Continental Gas | UK |  |  |  | 3 | reval did not work properly | ? | yes | yes | yes | ?
2000-11-21 00:00:00 | UK RAC | Nordic Power | UK |  |  |  | 3 | Feeds were slow and did not make the 6am run. | Work on feed speed | yes | yes | yes | ?
2000-11-21 00:00:00 | UK RAC | UK power | UK |  |  |  | 3 | Officialization done on time, but the feeds, which worked in the test environment, do not work in the production environment. | ? | yes | yes | yes | ?
2000-11-20 00:00:00 | Risk Controls | FT-CAND-PWR-PRC | Canada power | [NAME] | [NAME] | US GAS | 1 | The Canadian gas and power books are officialized and then e-mailed to the US gas desk who is responsible for uploading them.  This spreadsheet did not get fully uploaded. | Task force needs to develop process to ensure all books have been officialized and commodity risk management needs to implement it | yes | yes | yes | 1
2000-11-20 00:00:00 | Risk Controls | INTRA-MKT4-GDL | US GAS |  |  | UK Risk Mgmt | 3 | BA officialized book but it did not resolve to a book name | IT to determine what problem is. | yes | yes | yes | 1
2000-11-20 00:00:00 | Risk Controls | UK-COAL-EURO-PRC | COAL |  |  | US IT | 3 | it appears [NAME] was marked official.  However, the translation to ERMS did not include this book. | [NAME] said sometimes Port Calc can lock a  particular post id and someone can do this. Therefore, MetaCalc can not officialize. | yes | yes | yes | 1
2000-11-20 00:00:00 | UK RAC | European Power | UK |  |  | UK Risk Mgmt/IT | 3 | The [NAME] valuation failed 4 X as a result of IT problems and resultted in missing the deadline. | Work on feed speed - since feed is consistently taking longer, should deadline to submit feed be earlier? | yes | yes | yes | 1
2000-11-20 00:00:00 | UK RAC | Nordic Power | UK |  |  | UK Risk Mgmt/IT | 3 | Feeds were not in by 6am cutoff time, but book was officialized before deadline (11am London time) | Work on feed speed - since feed is consistently taking longer, should deadline to submit feed be earlier? | yes | yes | yes | 1
2000-11-20 00:00:00 | UK RAC | UK Power | UK |  |  | UK Risk Mgmt | 1 | On the UK power book there was a (GBP 30) mil topside adjustment which does not feed into credit. The GBP 30 mil is due to PD deal E000535 peer ID 41957 being valued in EnPower when it was supposed to be excluded from the MTM. Officialization was done on time. | Determine how to eliminate top side adjustments | yes | yes | yes | 1
2000-11-20 00:00:00 | UK RAC | UK Power | UK |  |  | UK Risk Mgmt | 1 | BA forgot to officialize | Task force needs to develop process to ensure all books have been officialized and commodity risk management needs to implement it | yes | yes | yes | 1
2000-11-17 00:00:00 | Risk Controls | FT-CAND-EGSC-BC-PRC | Canada gas | [NAME] | [NAME] | US GAS | 1 | The Canadian gas and power books are officialized and then e-mailed to the US gas desk who is responsible for uploading them.  This spreadsheet did not get fully uploaded. | Task force needs to develop process to ensure all books have been officialized and commodity risk management needs to implement it | yes | yes | yes | 1
2000-11-17 00:00:00 | Risk Controls | OIL-NG-HDG-CAB-GDL | Gas | [NAME] | [NAME] | NA | 1 | BA forgot to officialize (JL's book which all positions are done with desk so no credit implications) | Task force needs to develop process to ensure all books have been officialized and commodity risk management needs to implement it | yes | no | yes | 1
2000-11-17 00:00:00 | Risk Controls | PLANT-EP-BOOKS | Power | NA |  | [NAME] | 3 | Why did this book show up on the risktrac list? | Determine why showed up on list | yes | yes | yes | 1
2000-11-17 00:00:00 | UK RAC | Power | Power 99 | NA | NA | UK IT | 3 | Power 99 failed - enpower will be live tomorrow to replace power 99 | nothing | yes | yes | yes | 0
2000-11-16 00:00:00 | Risk Controls | EPMI-LT-NW-EXT | Power | [NAME] | [NAME] | task force | 1 | Enpower issue - ba did officialize, but commodity codes did not show up. | Per [NAME], he could not diagnose the problem.   He will investigate it further if the problem recurs in the near future | yes | yes | yes | 1
2000-11-16 00:00:00 | Risk Controls | EPMI-LT-SW-EXT | Power | [NAME] | [NAME] | task force | 1 | Enpower issue - ba did officialize, but commodity codes did not show up. | Per [NAME], he could not diagnose the problem.   He will investigate it further if the problem recurs in the near future | yes | yes | yes | 1
2000-11-16 00:00:00 | Risk Controls | EPMI-ST-SW-EXT | Power | [NAME]/Mark Fischer | [NAME] | task force | 1 | Enpower issue - ba did officialize, but commodity codes did not show up. | Per [NAME], he could not diagnose the problem.   He will investigate it further if the problem recurs in the near future | yes | yes | yes | 1
2000-11-16 00:00:00 | Risk Controls | PLANT-EP-BOOKS (risktrac book name) | Power |  |  | task force | 1 | Enpower issue - ba did officialize, but commodity codes did not show up. | ? | yes | yes | yes | 1
2000-11-16 00:00:00 | IT | All but metals and cont. power | UK |  |  | IT | 3 | Feeds were not in by 6am cutoff time. | Work on feed speed | yes | yes | yes | 1
2000-11-15 00:00:00 | Risk Controls | EBS - bandwidth exotic spreadsheet | EBS - bandwidth | [NAME] |  | Risk management | 1 | There was a new spreadsheet format rolled out and the new format does not allow certain things that the old format did (ie deals now need to be in the appropriate sequence, counterparty errors).  EBS was not informed of the switch to new feeds | IT and risk management to determine appropriate format of spreadsheets.  Also this did not come out on Risk Controls error log. | yes | yes | yes | 0
2000-11-15 00:00:00 | Risk Controls | Advertising exotic spreadsheet | Advertising | [NAME] |  | Risk management | 1 | There was a new spreadsheet format rolled out and the new format does not allow certain things that the old format did (ie deals now need to be in the appropriate sequence, counterparty errors).  EBS was not informed of the switch to new feeds | IT and risk management to determine appropriate format of spreadsheets.  Also this did not come out on Risk Controls error log. | yes | yes | yes | 0
2000-11-15 00:00:00 | RAC | several power books (previously accrual) | Power | [NAME] |  | Risk mgmt/ risk controls | 3 | changes made to RiskTrac to move two  gas books from accrual to MTM were not initially effective | Figure out why not caught on morn. Report, figure out what the problem was with the change | yes | yes | yes | 2
2000-11-15 00:00:00 | IT | several UK books | several |  |  | IT | 3 | UK Gas & metals  not started, UK power, in process | Feeds slow or not started | yes | yes | yes | 1
Total errors for week |  | 10
2000-11-14 00:00:00 | UK RAC | Continental Power | UK |  |  | UK IT | 3 | The book calcs came across incorrectly 2X. | IT to figure out why, fix problem. | yes | yes | no | 0
2000-11-14 00:00:00 | IT | All but UK GAS and Continental GAS | UK |  |  |  | 3 | Not in on time (6am) - feed coming across, but take a long time. | IT working on change to feeds | yes | yes | yes | 0
2000-11-14 00:00:00 | Risk Controls | UK-COAL-BUNK-PRC | Coal | [NAME] |  | Risk Controls/ IT | 1 | The book was changed in RisTrac but not ERMS so the attributes did not match. | [NAME] need to get ERMS and RiskTrac matched. | yes | no | no | 0 (done)
2000-11-10 00:00:00 | Risk Controls | FT-NW-XL-OPT-BAS | US Gas | [NAME] (consolidation level person is [NAME]) | [NAME] | IT | 1 | Spreadsheets had 98 contracts on them (however net contracts of 2 only).  The gas benchmark person (gas consolidation group) was not able to upload these spreadsheets.  They only know about this the next day.  This type of thing happens when there is something in the spreadsheet that shouldn't be (an extra comma etc). | Discussed with Ramesh - until the roll out happens (due to happen in the next couple weeks) there is no way to change this.  The BA's need to be extremely accurate and precise when dealing with the current spreadsheets. | no (too small) | no (too small) | no (too small) | 0
2000-11-10 00:00:00 | Risk Controls | FT-NW-XL-OPT-PRC | US Gas | [NAME] (consolidation level person is [NAME]) | [NAME] |  | 1 | Spreadsheets had 98 contracts on them (however net contracts of 2 only).  The gas benchmark person (gas consolidation group) was not able to upload these spreadsheets.  They only know about this the next day.  This type of thing happens when there is something in the spreadsheet that shouldn't be (an extra comma etc). | Discussed with Ramesh - until the roll out happens (due to happen in the next couple weeks) there is no way to change this.  The BA's need to be extremely accurate and precise when dealing with the current spreadsheets. | no (too small) | no (too small) | no (too small) | 0
2000-11-09 00:00:00 | IT | Nordic power | London |  |  | [NAME] | 3 | Nordic Power was not in before 6am. | New feeds should clear this issue (update 11/13 - new gas feed halted, concentrating on Enpower.  Much improved - 95% of Enpower tieing out). | yes | yes | yes | 0
2000-11-09 00:00:00 | [NAME] (RAC) | London test feeds into RiskTrac | UK, Continental Gas |  |  | [NAME] | 3 | The vol curve goes to 2002 but positions go to 2005.  Curve needs to be extended.  Vol curves are being incorrectly loaded into the spreadsheet feeds. | 1) Extend vol curves, 2) roll volumes correctly (according to front month) | yes | yes | ? | 0 (done)
2000-11-09 00:00:00 | [NAME] (RAC) | London test feeds into RiskTrac | UK, Continental Gas |  |  | IT | 3 | The test feeds did not all work properly (production feed data wrong). | IT to work on obtaining proper production feeds. | ? | ? | ? | 1
2000-11-09 00:00:00 | Risk Controls | FINANCIAL-AFF-PRC (ERMS) | FX/INTEREST RATES | [NAME] | Pushcar Shahi | IT | 3 | Books were shown as officialized to FX/Int rate group, but did not show as officialized to [NAME] | These books are duplicates of the Infinity books and are used only to get information to the settlements department.  Infinity feeds VAR, Credit, and cash flows. These books are only officialized because ERMS requires them to be.  To do's - 1) check to ensure that no duplicate information is coming in from Infinity and ERMS (as these are usually officialized) - checked no duplicate info, 2) determine if there is a way that these books do not have to be officialized (to save system resources) - per Ramesh server resource not an issue for these books, and 3) determine why this problem happened and if it could happen to other ERMS books that are required to be officialized - could be attributes don't translate or 1 post id gives 2 books or 1 book gives 2 post id's | no | no | no | 0 (done)
2000-11-09 00:00:00 | Risk Controls | FINANCIAL-EM-PRC (ERMS) | FX/INTEREST RATES | [NAME] | Pushcar Shahi | IT
2000-11-09 00:00:00 | Risk Controls | FINANCIAL-PROP-PRC (ERMS) | FX/INTEREST RATES | [NAME] | Pushcar Shahi | IT
2000-11-09 00:00:00 | Risk Controls | FINANCIAL-TN10-PRC (ERMS) | FX/INTEREST RATES | [NAME] | Pushcar Shahi | IT
2000-11-09 00:00:00 | Risk Controls | FINANCIAL-TN5-PRC (ERMS) | FX/INTEREST RATES | [NAME] | Pushcar Shahi | IT
2000-11-08 00:00:00 | Risk Controls | EES-EST-FWD-XL-PRC | EES | [NAME] | Charles Decker & Suneet Shorma | IT (has been fixed) | 2 | problem with upload of spreadsheets (Burton’s computer was being fixed and the fix destroyed some upload capability) | Get [NAME]'s computer fixed, process needs to be changed:  spreadsheets to upload to a file server | yes | yes | no | 1
2000-11-08 00:00:00 | Risk Controls | EES-WST-FWD-XL-PRC | EES | [NAME] | [NAME] Bresnan | IT (has been fixed)
2000-11-08 00:00:00 | Risk Controls | EI-ARG-PWR-IDX | Argentina- power | [NAME] | [NAME] | IT (has been fixed)
2000-11-08 00:00:00 | Risk Controls | EI-ARG-PWR-PRC | Argentina - power | [NAME] | [NAME] | IT (has been fixed)
2000-11-08 00:00:00 | Risk Controls | EI-BRAZIL-PWR-PRC | Brazil - power | [NAME] | [NAME] | IT (has been fixed)
2000-11-08 00:00:00 | Risk Controls | EI-SC-GASLX-PRC | Argentina - gas | [NAME] | Roldofo Freyre | IT (has been fixed)
2000-11-08 00:00:00 | Risk Controls | EI-SC-XL-PRC | Argentina - power | [NAME] | [NAME] | IT (has been fixed)
2000-11-08 00:00:00 | Risk Controls | MG-AGRI-COCOA-PRC | Metals | [NAME] | [NAME] | IT (has been fixed)
Total errors for week |  | 33
2000-11-07 00:00:00 | Risk Controls |  | All | US | Houston | Credit | 4 | Credit issue | Need to check to make sure daily update from GCP to test is being completed so CAS and [NAME] will be OK.
2000-11-07 00:00:00 | Risk Controls |  | Gas | UK | London | IT/ Energy Ops | 3 | system problems | Due to 11/6 problems with UK Gas the data will be officialized today and sent across but will not be officialized until Saturday 11/11/00.
2000-11-07 00:00:00 | Risk Controls |  | Liquids | US | Houston | Energy Ops | 1 | incorrect data | Curve not loaded correctly.
2000-11-07 00:00:00 | Risk Controls |  | Liquids | UK | London | Energy Ops | 4 | Cash Flow Issues | J. Block data did not come across correctly. [NAME] is discussing with London. Note: Book has been changed to remove "take or pay"  so cash flow would look different.
2000-11-07 00:00:00 | Risk Controls |  | Power | UK | London | IT/ Energy Ops | 3 | system problems | Books officialized by 5 AM but slow feed.
2000-11-06 00:00:00 | Risk Controls |  | Gas | UK | London | IT/ Energy Ops | 3 | system problems | MTM fell over so books re-run and curves were wrong. Problem on SQL server. No valuation 11/6 DPR had to be an estimate.
2000-11-06 00:00:00 | Risk Controls |  | Gas | UK | London | IT/ Energy Ops | 3 | system problems | Received London's 11/2 data again due to data in London was corrupted and London had to restart system.
2000-11-06 00:00:00 | Risk Controls |  | Liquids | US | Houston | Energy Ops | 1 | incorrect data | Rerun Liquids Var because PHYOil2-Index and PhyOil-Index (crude) book was in the ERMS but should not have been due to position was also captured in the RLL_Epx_Pos spreadsheet. [NAME] needed to be re-run because numbers in credit are wrong and will need to be re-run
2000-11-06 00:00:00 | Risk Controls |  | Power | UK | London | IT/ Energy Ops | 3 | system problems | Books officialized by 3 AM but slow feed so books late coming across. Curves came in but no positions.
2000-11-06 00:00:00 | Risk Controls |  | Power | UK Nordic | London | IT/ Energy Ops | 3 | system problems | Macros and processors crashed so position files late.
2000-11-03 00:00:00 | IT |  | All | UK | London | IT/ Energy Ops | 3 | system problems | Feed problem all books officialized but not feed across.
2000-11-03 00:00:00 | IT |  | Liquids | UK | London | Energy Ops | 1 | curve pub code not tyed correctly | Liquids Var needed rerun because curve was not loaded correctly | yes
2000-11-03 00:00:00 | Risk Controls |  | Power | Canadian | Calgary | Energy Ops | 1 | book not officialized | Canada-Pwrwest-Prc book not officialized | yes
2000-11-02 00:00:00 | Risk Controls |  | Gas | US | Houston | Energy Ops | 1 | book not officialized | FT-CAND-EGSC-A-Prc book not officialized
2000-11-02 00:00:00 | Risk Controls |  | Gas | US | Houston | Energy Ops | 1 | book not officialized | FT-CAND-EGSC-A-Prc book not officialized
2000-11-02 00:00:00 | Risk Controls |  | Gas | UK | London | IT/ Energy Ops | 3 | system problems | data not in because feed is slow
2000-11-02 00:00:00 | Risk Controls | DABHOL-HO-AFF-IDX | Liquids | UK | London | Energy Ops | 1 | book not officialized | Affiliate book - BA did not know that book should be officialized
2000-11-02 00:00:00 | Risk Controls |  | merchant | US | Houston | IT/ Energy Ops | 3 | system problems | problem with Reuters Issues and the feed
2000-11-02 00:00:00 | Risk Controls |  | merchant | US | Houston | IT/ Energy Ops | 3 | system problems | CY-Explor-Bas book problem between medicalc and portcalc
2000-11-02 00:00:00 | Risk Controls |  | merchant | US | Houston | IT/ Energy Ops | 3 | system problems | CY-Explor-Prc book problem between medicalc and portcalc
2000-11-02 00:00:00 | Risk Controls |  | merchant | US | Houston | IT/ Energy Ops | 3 | system problems | EQ-Coal-East-Prc book problem between Metacalc and Portcalc
2000-11-02 00:00:00 | Risk Controls |  | merchant | US | Houston | IT/ Energy Ops | 3 | system problems | EQ-Coal-Jupiter-Prc book problem between Metacalc and Portcalc
2000-11-02 00:00:00 | Risk Controls |  | Merchant | US | Houston | IT/ Energy Ops | 3 | system problems | Equity-Cgas-Bas book problem between Metacalc and Portcalc
2000-11-02 00:00:00 | Risk Controls |  | Merchant | US | Houston | IT/ Energy Ops | 3 | system problems | Equity-CGAS-Prc book problem between Metacalc and Portcalc
2000-11-02 00:00:00 | Risk Controls |  | Merchant | US | Houston | IT/ Energy Ops | 3 | system problems | Equity-Mariner-Bas book problem between Metacalc and Portcalc
2000-11-02 00:00:00 | Risk Controls |  | Merchant | US | Houston | IT/ Energy Ops | 3 | system problems | Equity-Mariner-Prc book problem between Metacalc and Portcalc
2000-11-02 00:00:00 | Risk Controls |  | Power | UK | London | IT/ Energy Ops | 3 | system problems | data not in because feed is slow
2000-11-01 00:00:00 | Risk Controls |  | Gas | US | Houston | Energy Ops | 1 | book not officialized | FT-CAND-EGSC-A-Prc book not officialized
2000-11-01 00:00:00 | Risk Controls |  | Gas | US | Houston | Energy Ops | 1 | book not officialized | FT-CAND-EGSC-A-Prc book not officialized
2000-11-01 00:00:00 | Risk Controls |  | Liquids | US | Houston | IT/ Energy Ops | 3 | system problems | problem with Reuters Issues and the feed
2000-11-01 00:00:00 | Risk Controls |  | Power | UK | London | IT/ Energy Ops | 4 | system problems | EU-PWR-Bilateral book came across at 5 AM but JP received at 6 AM. WHY?
2000-11-01 00:00:00 | Risk Controls |  | Steel | US | Houston | Energy Ops | 1 | book not officialized | Steel-SCRC-Prc book not officialized - new BA | yes
2000-11-01 00:00:00 | IT |  | All | US | Houston | IT/ Energy Ops | 4 | system problems | Rerun of Var and Port Calc in morning is causing problems