Spreadsheet: rick_buy__32780__Summary Sep  4
Sheet: Graph Data Sep 04

SUMMARY BY WEEK OF |  |  |  |  |  | 4/05-4/11 | 4/12-4/18 | 4/19-4/25 | 04/26-05/01 | 5/2/-5/9 | 5/10-5/17 | 5/18-5/25 | 5/28-6/1 | 06/04-06/08 | 06/11-06/15 | 06/18-06/22 | 06/25-06/29 | 07/02-07/05 | 07/09-07/13 | 07/16-07/20 | 07/23-07/27 | 07/30-08/03 | 08/06-08/10 | 08/13-08/17 | 8/20-8/24 | 08/27-8/31 | 09/04/-09/07
Deal Capture |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 1
Deal Valuation |  |  |  |  |  |  |  |  |  |  |  |  | 1 |  | 1
Breakdown in Officializing Process- Human |  |  |  |  |  |  |  |  |  | 13 | 7 | 2 |  | 5 | 6
Breakdown in Officializing Process- IT(UK) |  |  |  |  |  |  |  |  |  | 6 | 5 | 6 |  | 5 | 2
Breakdown in Officializing Process- IT (US) |  |  |  |  |  |  |  |  |  |  |  | 1 |  | 1 | 3
Curve Issues |  |  |  |  |  |  |  |  |  |  |  | 1 |  | 3
Uncontrollable-System Needs to Change |  |  |  |  |  |  |  |  |  | 2 | 1 |  |  |  | 3
Miscellaneous |  |  |  |  |  |  |  |  |  | 1 |  | 1 |  | 2
Not identified
Total Errors for the Week |  |  |  |  |  | 44 | 16 | 19
SUMMARY BY WEEK OF |  |  |  |  |  | 2001-04-05 00:00:00 | 2001-04-12 00:00:00 | 2001-04-19 00:00:00 | 2001-04-26 00:00:00 | 2001-05-02 00:00:00 | 2001-05-10 00:00:00 | 2001-05-18 00:00:00 | 2001-05-28 00:00:00 | 2001-06-04 00:00:00 | 2001-06-11 00:00:00 | 2001-06-18 00:00:00 | 2001-06-25 00:00:00 | 2001-07-02 00:00:00 | 2001-07-09 00:00:00 | 2001-07-16 00:00:00 | 2001-07-23 00:00:00 | 2001-07-30 00:00:00 | 2001-08-06 00:00:00 | 2001-08-13 00:00:00 | 2001-08-20 00:00:00 | 2001-08-27 00:00:00 | 2001-09-04 00:00:00
EIM |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  | EIM
EGM |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  | EGM
EBS |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  | EBS
EEL |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  | EEL
EES |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  | EES
EAM |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  | EAM
Book creation |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  | Total Books Created
Curve Creation |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  | Curve Creation
LOG OF WEEKLY 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)
2001-09-07 00:00:00 | Advertising VaR | EBS | US EBS | [NAME] | C | Due to incorrect positions, data was reloaded.  VaR  and CAS rerun. |  | Y | Y | N | Done
2001-09-07 00:00:00 | FREIGHT-IDX; FREIGHT-VS1-PRC | EGM | US Global Products | [NAME] | C | Books wer e not officialized during end of day process.  Officialized in the AM. |  | Y | Y | Y | Done
2001-09-07 00:00:00 | FRT-EXOTIC-PRC | EGM | US Freight | [NAME] | C | Book was not officed during end of day process. Uploaded in the AM. |  | Y | Y | Y | Done
2001-09-07 00:00:00 | Continental Power | EEL | Continental Power | [NAME] | D1 | Due to weekend power outage and continuing server issues, the server was unable to connect to the enPower curver FTP Server.  Server efforts to reconnect failed, which caused the late officialization and upload of book into RisktRAC. |  | Y | Y | N | Done
2001-09-07 00:00:00 | EAF-AUS-SRA-PRC | EEL | Australia Power | [NAME] | D1 | Book was officialized with effective date of Sep 9 for COB Sep 7.  IT moved data to appropriate date.   As VaR calculated by local office there was no impact on VaR.  Credit exposure is managed at local office. |  | N | N | N | Done
2001-09-06 00:00:00 | UK Gas/ Nordic Power | EEL | UK Gas | [NAME] | D1 | Due to incorrect curve data, which had to be updated, mtm process had to be rerun.    Books loaded late and VaR was rerun. |  | Y | Y | N | Done
2001-09-06 00:00:00 | FT-REGS-GDI | EA | US Gas West | [NAME] | C | Book was officialized with an incorrect  effective date.  Book was reofficialized.   Book has no 3rd party credit exposure. |  | Y | N | Y | Done
2001-09-06 00:00:00 | FT-IM-ENOV-GDL; INTRA-EMWNSS2-GDL | EA | US Ennovate |  | C | Books were not officialized. |  | Y | Y | Y | Done
2001-09-06 00:00:00 | STEEL-HUNTCO-SG-PRC | EIM | US STEEL | [NAME] | C | Book had flat positions, so there was no impact on VaR, however there was credit exposure. |  | Y | Y | Y | Done
2001-09-06 00:00:00 | EAF-AUS-SRA-PRC | EEL | Australia Power | [NAME] | H | Due to  IT issues the spreadsheet could not be uploaded correctly.  Issue was identified and resolved subsequently. As the book currently has no positions or 3rd party exposure VaR or CAS were not rerun |  | N | N | N | Done
2001-09-05 00:00:00 | CR-AGG-EES-RPS-PRC | EES | EES Power | [NAME] | C | Credit file not transmitted within schedule. |  | N | Y | N | Done
2001-09-05 00:00:00 | UK Power & Continental Power | EEL | UK Power | [NAME] | D1 | Due to IT issues associated with Outlook the Extract process had to be kicked off [NAME]. |  | Y | Y | N | Done
2001-09-04 00:00:00 | PAPER-AFF-PRC; PAPER-CAND-NWSP-PRC; PAPER-CONSOL-PRC; PAPER-IDX | EIM | US PAPER | [NAME] | C | Books were not officialized during end of day process. |  | Y | Y | Y | Done
2001-09-04 00:00:00 | EIM-US-PAPER-PRC | EIM | US PAPER | [NAME] | C | Books were not officialized during end of day process. |  | Y | Y | Y | Done
2001-09-04 00:00:00 | DUB-OPT-BAS; DUB-OPT-PRC; DUB-EESEAM-XL-BAS; DUB-EESEAM-XL-PRC; | EES | US EES GAS | [NAME] | C | Books were not officialized during end of day process. |  | Y | Y | N | Done
2001-09-04 00:00:00 | FRT-EXOTIC-PRC | EGM | US Freight | Brent Price | C | Spreadsheet was not loaded into RisktRAC.  Uploaded in the AM and  VaR |  | Y | Y | N | Done
2001-09-04 00:00:00 | UK Power & Eastern SS | EEL | UK Power | [NAME] | E | EnPower curves were not saved out properly, which caused the MtM process to fail.   Data was corrected and process reiniated.   Due to the UK Power failure the Eastern SS process, which is dependent on UK Power process, did not function properly.  Eastern SS was rerun and uploaded later in the day. |  | Y | Y | N | Done
2001-09-04 00:00:00 | UK Coal Positions |  |  |  | G | Coal Positions were doubled due to a duplicate child portfolio within Hierarchy structure.  There was no impact for credit as the positions mtm was only brought in once. |  | Y | N | N | Done
SUMMARY FOR  05/28 - 06/01 BY GROUP | % of Total Errors for the Week | # of errors | # Active books by group | Ratio of Errors to Active Books
EIM
EGM
EEL
EA-CAN
EA - GAS
EA - POWER
EES |  |  | 9
EBS
OTHER
TOTAL