Spreadsheet: sally_beck__33888__Log as of 29 dec 00
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 Dec 27- [NAME]
2000-12-29 00:00:00 | Risk Controls | EAF-AUS-PRC | Power |  |  | RM | 1 | Book not officialized due to problems with enPower | 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