Spreadsheet: sally_beck__33995__Log as of 4_20_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  April 19 to Apr 26
2001-04-19 00:00:00 | Risk Controls | UK EBS | EBS |  |  | RM | 1 | Spreadsheet was sent late. |  | Y | Y | Y
2001-04-19 00:00:00 | Risk Controls | EES-BOOKS-ENPOWER | EES |  |  | RM | 1 | Book was officialized late due to  problems. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | Y | Y | Y | 1
2001-04-19 00:00:00 | Risk Controls | EPMI-NE-PHYS-PRC | Power |  |  | RM | 1 | Book was not officialized.  Has no positions. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | N | N | N | 1
2001-04-19 00:00:00 | Risk Controls | GD-CENTRAL-IDX | Gas |  |  | RM | 1 | Book was reofficialized.  Index book - does not effect VaR, but effects  credit. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | N | Y | N | 1
2001-04-19 00:00:00 | Risk Controls | UK POWER | Power |  |  | IT | 3 | Server/hardware issues. |  | Y | Y | Y | 0
Total Errors for the Week of  April 11 to Apr 18
2001-04-18 00:00:00 | Risk Controls | UK Power | Power |  |  | RM | 2 | Database problems. |  | Y | Y | Y
2001-04-18 00:00:00 | Risk Controls | UK EBS | EBS |  |  | RM | 1 | Spreadsheet was sent late. |  | Y | Y | Y
2001-04-18 00:00:00 | Risk Controls | FT-NORTHWEST-IDX | Gas |  |  | RM | 1 | Book was not officialized.  No trades, no counterparties. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | N | N | N | 1
2001-04-18 00:00:00 | Risk Controls | EPMI-CL-SO2-INV-PRC/EPMI-NOX-INV-PRC/EPMI-NOX-PRC/EPMI-SO2-INV-PRC/EPMI-SOC-PRC | Power |  |  | RM | 3 | Enpower problems. |  | Y | Y | Y | 0
2001-04-17 00:00:00 | Risk Controls | UK Power | UK Power |  |  | RM | 1 | Enron Direct positions are not pulling in correctly. | Market risk is looking at positions to see if they are correct. | Y | N | N | 1
2001-04-17 00:00:00 | Risk Controls | FT-INT-CEN-NEW-GDL | Gas |  |  | RM | 1 | Book was not officialized.  All internal trades and very small positions. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | N | N | N | 1
2001-04-17 00:00:00 | Risk Controls | NG-PRICE-CRUDE-PRC | Gas |  |  | RM | 1 | Book was not officialized.  All internal trades and very small positions. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | N | N | N | 1
2001-04-16 00:00:00 | Risk Controls | EES - Power West - PRC | EES |  |  | RM | 1 | Second leg was not loaded into Npower. | Rm needs to insure data is properly captured and reported. | Y | Y | Y | 1
2001-04-16 00:00:00 | Risk Controls | DUB-ERMS-EXL-PRC | EES |  |  | RM | 1 | Positions were loaded incorrectly. | Rm needs to insure data is properly captured and reported. | Y | Y | Y | 1
2001-04-12 00:00:00 | Risk Controls | E-LOCALLOOP-ACC-PRC | EBS |  |  | RM | 3 | Book Administrator claimed to have had technology problems. | IT will evaluate the process. | Y | Y | Y | 1
2001-04-12 00:00:00 | Risk Controls | EAF-AUS-PRC | Australia |  |  | RM | 1 | In the process of being researched. | Risk Controls has e-mailed the Australia office requesting an explanation. | N | N | N | 1
2001-04-12 00:00:00 | Risk Controls | EBS-ADV-PRC | EBS |  |  | RM | 3 | Book Administrator claimed to have had technology problems. | IT will evaluate the process. | Y | Y | Y | 1
2001-04-12 00:00:00 | Risk Controls | MG-AGRI-COCA-PRC | FX/EQUITY |  |  | RM | 3 | Tech. Problems.  In the process of being researched | IT will evaluate the process. | N | N | N | 1
2001-04-11 00:00:00 | Risk Controls | UK Power | Power |  |  | RM | 3 | MTM run failed because curves could not be found. | IT is working on correcting the problems. | Y | Y | Y | 1
2001-04-11 00:00:00 | Risk Controls | EPMI-HRLY-SE-PRC | Power |  |  | RM | 1 | Book was not officialized.  Transferred positions to price book.  No positions in book. | Needs to be marked inactive. | N | N | N | 1
2001-04-11 00:00:00 | Risk Controls | PAPER-AFF-PRC | Paper |  |  | RM | 1 | Book was not officialized.  A passthrough book.  No positions, no trades. | Needs to be marked inactive. | N | N | N | 1
Total Errors for the Week of  April 4 to Apr 10
2001-04-10 00:00:00 | Risk Controls | UK Power | Power |  |  | RM | 1 | Books were officialized late. | Curve problems were corrected and books were officialized. | Y | Y | Y | 0
2001-04-10 00:00:00 | Risk Controls | Continental Power | Power |  |  | RM | 1 | Books were officialized late. | Curve problems were corrected and books were officialized. | Y | Y | Y | 0
2001-04-10 00:00:00 | Risk Controls | EPMI-LT-NW-EXT | Power |  |  | RM | 1 | Transferred positions to price books. | Book needs to be made inactive. | N | N | N | 1
2001-04-10 00:00:00 | Risk Controls | EPMI-LT-SW-EXT | Power |  |  | RM | 1 | Transferred positions to price books. | Book needs to be made inactive. | N | N | N | 1
2001-04-10 00:00:00 | Risk Controls | FT-ST-NAP-GDL |  |  |  | RM | 1 | Not using book. | Book needs to be made inactive. | N | N | N | 1
2001-04-10 00:00:00 | Risk Controls | NG-PRICE-CRUDE-PRC | Liquids |  |  | RM | 1 | Book was not officialized. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | Y | N | N | 1
2001-04-09 00:00:00 | Risk Controls | EBS-Advertising | Advertising |  |  | RM/IT | 1 | EBS started uploading curves.  Having problems with the dates being translated in the upload process | EBS to call [NAME] upon transmittal to ensure that dates come across appropriately. | Y | Y | Y | 1
2001-04-09 00:00:00 | Risk Controls | EBS - Bandwidth | Bandwidth |  |  | RM/IT | 1 | EBS started uploading curves.  Having problems with the dates being translated in the upload process | EBS to call [NAME] upon transmittal to ensure that dates come across appropriately. | Y | Y | Y | 1
2001-04-09 00:00:00 | Risk Controls | INTRA-ST-NAP-BAS |  |  |  | RM | 1 | Forgot to officialize book.  However, no positions in the future. | Make book dormant in the future. | N | N | N | 1
2001-04-09 00:00:00 | Risk Controls | INTRA-ST-NAP-IDX |  |  |  | RM | 1 | Forgot to officialize book.  However, no positions in the future. | Make book dormant in the future. | N | N | N | 1
2001-04-09 00:00:00 | Risk Controls | INTRA-ST-NAP-PRC |  |  |  | RM | 1 | Forgot to officialize book.  However, no positions in the future. | Make book dormant in the future. | N | N | N | 1
2001-04-09 00:00:00 | Risk Controls | INTRA-Denver-PRC | Gas |  |  | RM | 1 | Book was not officialized.  Contains one annuity with an Enron related entity. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | N | N | N | 1
2001-04-09 00:00:00 | Risk Controls | INTRA-Denver-IDX | Gas |  |  | RM | 1 | Book was not officialized.  No positions.  Does not effect VAR or Credit. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | N | N | N | 1
2001-04-09 00:00:00 | Risk Controls | INTRA-Denver-BAS | Gas |  |  | RM | 1 | Book was not officialized.  No positions.  Does not effect VAR or Credit. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | N | N | N | 1
2001-04-09 00:00:00 | Risk Controls | EES-Canada-PRC | Power |  |  | RM | 1 | Book was not loaded as did not receive curve info timely. | Curve data to be received timely. | Y | Y | Y | 1
2001-04-09 00:00:00 | Risk Controls | COAL-OPTI-XL-PRC | Coal |  |  | RM | 1 | Books was loaded last night before 5 pm, however, did not get into RisktRAC.  Reloaded at 7:55. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | Y | Y | Y | 1
2001-04-09 00:00:00 | Risk Controls | COAL-ERMS-XL-PRC | Coal |  |  | RM | 1 | Books was loaded last night before 5 pm, however, did not get into RisktRAC.  Reloaded at 7:55. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | Y | Y | Y | 1
2001-04-09 00:00:00 | Risk Controls | Continental Power | Power |  |  | RM | 3 | Book was not officialized.  [NAME] is failing. | Houston-IT looking into why PortCalc is failing. | Y | Y | Y | 1
2001-04-09 00:00:00 | Risk Controls | UK Power | Power |  |  | RM | 3 | Book was officialized late because evaluation was left out. | IT issue - problem was resolved. | Y | Y | Y | 0
2001-04-06 00:00:00 | Risk Controls | UK Power | Power |  |  | RM | 3 | Books and spreadsheets were not loaded for the 6 am run.  Were loaded late due to some new NETA issues.  Working on a fix to the feed to accommodate NETA. | IT working to resolve issues. | Y | Y | Y | 0
2001-04-06 00:00:00 | Risk Controls | Nordic Power | Power |  |  | RM | 3 | Book was not officialized for the 6 am load.  Was officialized late due to system problems in Scandinavia. | None | Y | Y | Y | 0
2001-04-06 00:00:00 | Risk Controls | FT-ENOVRT-GDL | GAS |  |  | RM | 1 | Book was not officialized, however contains no deals or positions, as such no impact on VaR or Credit. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | N | N | N | 0
2001-04-06 00:00:00 | Risk Controls | FT-NW-XL-OPT-BAS | GAS |  |  | RM | 1 | Book was not officialized, however contains no deals or positions, as such no impact on VaR or Credit. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | N | N | N | 0
2001-04-06 00:00:00 | Risk Controls | FT-NW-XL-OPT-PRC | GAS |  |  | RM | 1 | Book was not officialized, however contains no deals or positions, as such no impact on VaR or Credit. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | N | N | N | 0
2001-04-06 00:00:00 | Risk Controls | FT-SITHE-HEDGE-IDX | GAS |  |  | RM | 1 | Book was not officialized - Index book. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | N | N | N | 0
2001-04-06 00:00:00 | Risk Controls | GD-NEW-XL-OPT-BAS | GAS |  |  | RM | 1 | Mark as "DORMANT"  per Darron Giron | Develop process to identify dormant books. | N | N | N | 0
2001-04-06 00:00:00 | Risk Controls | GD-NEW-XL-OPT-PRC | GAS |  |  | RM | 1 | Mark as "DORMANT"  per Darron Giron | Develop process to identify dormant books. | N | N | N | 0
2001-04-06 00:00:00 | Risk Controls | INTRA-ONT-CAD-GDL | GAS |  |  | RM | 1 | Book was not officialized, however contains no deals or positions, as such no impact on VaR or Credit. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | N | N | N | 0
2001-04-06 00:00:00 | Risk Controls | PAPER-CAND-NWSP-PRC | Paper |  |  | RM | 1 | Book was not officialized. | New person has been instructed to officialize book. | Y | Y | Y | 0
2001-04-06 00:00:00 | Risk Controls | PAPER-CONSOL-PRC | Paper |  |  | RM | 1 | Book was not officialized. | New person has been instructed to officialize book. | Y | Y | Y | 0
2001-04-05 00:00:00 | Risk Controls | EAF-AUS-PRC | Australia |  |  | RM | 1 | Book was officialized late. | Book was received late. | Y | Y | Y | 0
2001-04-05 00:00:00 | Risk Controls | FX-USD | Financial |  |  | RM | 1 | Procedures were followed, however, file did make it to RisktRac.  No credit or VaR issues. | Looking to see if there is a problem with the file. | N | N | N | 1
2001-04-05 00:00:00 | Risk Controls | INTRA-ONT-CAD-GDL |  |  |  | RM | 1 | Book was not officialized.  However, no positions, so no credit or VaR issues. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | N | N | N | 1
2001-04-05 00:00:00 | Risk Controls | POWER-SS-R1B-PRC | Power |  |  | RM | 1 | Spreadsheet was not uploaded. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | Y | Y | Y | 1
2001-04-05 00:00:00 | Risk Controls | PWR-MW-GAS-MTM-GDL | Power |  |  | RM | 1 | Book was not officialized.  Officialized in the morning. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | Y | Y | Y | 1
2001-04-04 00:00:00 | Risk Controls | FT-ENOVRT-GDL | Innovate |  |  | RM | 1 | Book was not officialized. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | N | N | N | 1
2001-04-04 00:00:00 | Risk Controls | FT-IM-ENOV-GDL | Innovate |  |  | RM | 1 | Book was not officialized. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | N | N | N | 1
2001-04-04 00:00:00 | Risk Controls | FX-USD | Financial |  |  | RM | 1 | Book was not officialized due to new person. | New person has been instructed to officialize book. | N | N | N | 0
2001-04-04 00:00:00 | Risk Controls | Power-SS-R1B-PRC | Power |  |  | RM | 1 | Spreadsheet that were not uploaded. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | Y | Y | Y | 1
2001-04-04 00:00:00 | Risk Controls | Power-SS-R3C-PRC | Power |  |  | RM | 1 | Spreadsheet that was not uploaded. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | Y | Y | Y | 1
2001-04-04 00:00:00 | Risk Controls | Power | Power |  |  | IT | 3 | Enpower does not store derived curves. | Enpower to create functionality to store derived curves. |  |  |  | 1
2001-04-04 00:00:00 | Risk Controls | Continental Power | Power |  |  | RM | 1 | Incorrect curve loaded.  [NAME] in $15.8 million problem.   Book was reofficialized. | Develop method to test curve data before transmission. | Y | N | N | 1
2001-04-04 00:00:00 | Risk Controls | UK Gas | Gas |  |  | IT/RM | 3 | MTM failure.  Reloaded and ran. | IT to resolve. | Y | Y | Y | 1
2001-04-04 00:00:00 | Risk Controls | UK Power | Power |  |  | RM/IT | 3 | Positions can across correctly, however, not pulling the correct price curves (curves are pulled from the wrong table).  Books were reofficialized. | IT to address capture and transmission of data. | Y | Y | Y | 1
2001-04-04 00:00:00 | Risk Controls | Liquids VAR | Liquids |  |  | RM | 1 | Liquids VaR incorrect because there was not a price curve for unleaded. | Issue has been resolved by marking last price for prompt month in curve. | Y | N | N | 0
Total Errors for the Week of  Mar 28 to Apr 3
2001-04-03 00:00:00 | Risk Controls | UK POWER | Power |  |  | IT | 1 | Book officialized late due to continuing issues related to breakout of deals for NEETA requirement. | IT has developed procedures to resolve issues.  Going forward data should be timely. | Y | Y | Y | 0
2001-04-03 00:00:00 | Risk Controls | FT-CAND-BC-GD-GDL | GAS |  |  | RM | 1 | Positions on books have liquidated.  Books have been officialized to zero as required.  Failed to notify RiskControls that books were inactive. | No further action required as release of Active/Inactive book list will allow the BA's to mark books as inactive. | N | N | N | 0
2001-04-03 00:00:00 | Risk Controls | FT-CAND-EGSC-G PRC, [NAME] | GAS |  |  | RM | 1 | Positions on books have liquidated.  Books have been officialized to zero as required.  Failed to notify RiskControls that books were inactive. | No further action required as release of Active/Inactive book list will allow the BA's to mark books as inactive. | N | N | N | 0
2001-04-03 00:00:00 | Risk Controls | INTRA-DENVER-PRC | GAS |  |  | RM | 1 | Book was not officialized, however contains no deals or positions, as such no impact on VaR or Credit. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | N | N | N | 1
2001-04-03 00:00:00 | Risk Controls | PAPER-CAND-NWSP-PRC | Paper |  |  | RM | 1 | Book was not officialized | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | Y | Y | Y | 1
2001-04-03 00:00:00 | Risk Controls | INTRA-DENVER-PRC | GAS |  |  | RM | 1 | Book was not officialized, however contains no deals or positions, as such no impact on VaR or Credit. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | N | N | N | 1
2001-04-03 00:00:00 | Risk Controls | FT-SOUTHEAST-GDL | GAS |  |  | RM | 1 | Book was not officialized, however contains no deals or positions, as such no impact on VaR or Credit. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | N | N | N | 1
2001-04-03 00:00:00 | Risk Controls | AGG-GAS VAR RERUN | GAS |  |  | IT | 1 | New curve was entered into RIsktRAC with no related volatility, which generated an incorrect VaR number. Issue was identified and corrected. VaR was rerun. | Limit acces to add and update curve date to insure only fully trained personel enter data. | Y | N | N | 1
2001-04-02 00:00:00 | Risk Controls | AGG-GAS VAR RERUN | GAS |  |  | RM | 1 | Due to incorrect deal entry positions had to be corrected and updated.  Additionally, the Omicron curve data (volatility) was incorrect which generated an over inflated VaR.  Once data was corrected  VaR was rerun. |  | Y | Y | Y | 1
2001-04-02 00:00:00 | Risk Controls | Eastern Spreadsheets | Power |  |  | RM | 1 | Books not officialized on time. | Rm needs to insure data is properly captured and reported. | Y | Y | Y | 1
2001-04-02 00:00:00 | Risk Controls | UK Power | Power |  |  | RM | 3 | UK Curves were not available, reverted to prior day.  Post Neeta Breakout Net Open Positions look off.  Will review data and reofficialize when ready. |  | Y | Y | Y | 1
2001-04-02 00:00:00 | Risk Controls | UK-LITE-FRGHT-PRC | Liquids |  |  | RM | 1 | Books were not officialized | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process. RM needs to insure procedures are completed during end of month and end of quarter. | Y | Y | Y | 1
2001-04-02 00:00:00 | Risk Controls | US-UK-ARB-.2GO-PRC | Liquids |  |  | RM | 1
2001-04-02 00:00:00 | Risk Controls | US-UK-GO-ARB-PRC | Liquids |  |  | RM | 1
2001-04-02 00:00:00 | Risk Controls | US-UK-GR-ARB-GOI-PRC | Liquids |  |  | RM | 1
2001-04-02 00:00:00 | Risk Controls | US-UK-GR-HO-ARB-PRC | Liquids |  |  | RM | 1
2001-04-02 00:00:00 | Risk Controls | US-UK-GR-KE-ARB-PRC | Liquids |  |  | RM | 1
2001-04-02 00:00:00 | Risk Controls | US-UK-GR-KR-ARB-PRC | Liquids |  |  | RM | 1
2001-04-02 00:00:00 | Risk Controls | US-UK-HO-ARB-PRC | Liquids |  |  | RM | 1
2001-04-02 00:00:00 | Risk Controls | US-UK-KE-ARB-PRC | Liquids |  |  | RM | 1
2001-04-02 00:00:00 | Risk Controls | US-UK-KERO-ARB-PRC | Liquids |  |  | RM | 1
2001-04-02 00:00:00 | Risk Controls | PAPER-EUROPE-PRC | Paper |  |  | RM | 1
2001-04-02 00:00:00 | Risk Controls | PAPER-CONSOL-PRC | Paper |  |  | RM | 1
2001-04-02 00:00:00 | Risk Controls | PAPER-CAND-NWSP-PRC | Paper |  |  | RM | 1
2001-04-02 00:00:00 | Risk Controls | EQ-COAL EAST-PRC AND JUPITER-PRC | Coal |  |  | RM | 1
2001-04-02 00:00:00 | Risk Controls | FT-SITHE-HEDGE [NAME],IDX, PRC | Gas |  |  | RM | 1
2001-04-02 00:00:00 | Risk Controls | INTRA-SITHE BAS,GDL,IDX,PRC | Gas |  |  | RM | 1
2001-04-02 00:00:00 | Risk Controls | LUMBER-US-PRC | Lumber |  |  | RM | 1
2001-04-02 00:00:00 | Risk Controls | SING-GO-PASS-PRC | Liquids |  |  | RM | 1
2001-04-02 00:00:00 | Risk Controls | DUBAI-CO-PASS-PRC | Liquids |  |  | RM | 1
2001-04-02 00:00:00 | Risk Controls | E-TRANSIT-PRC AND E-TRANSPORT-PRC | Bandwidth |  |  | RM | 1 | End of the Month/Qtr procedrues were not complete.  As such spreadsheet was not uploaded.  Book only contains credit details, as such has no impact on VaR | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | N | Y | N | 1
2001-04-02 00:00:00 | Risk Controls | CY-EXPLOR BAS, PRC; EQUITY CGAS  [NAME], PRC; AND EQUITY MARINER [NAME], PRIC | Merchant Assets |  |  | RM | 1 | Books were not officialized | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | Y | Y | Y | 1
2001-04-02 00:00:00 | Risk Controls | CAND-IM-PIPE GDL, PHY AND FT-CAND-EGSC-BC BAS, IDX , PRIC | Gas |  |  | RM | 1 | Books were not officialized, however all positions had rolled off as of end of March '01.  There was therefore no impact on VaR.  However books were officialized in the AM to insure that Credit captures appropriate data.  Books marked inactive going forward | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | N | Y | Y | 1
2001-03-30 00:00:00 | Risk Controls | Rerun Steel VaR | Steel |  |  | RM | 1 | Due to errors in positions reported, reloaded positions and reran VaR | Reconciliation of Benchmark and  daily positions resulted in need to update positions. Develop end of day reconciliation process. | Y | Y | Y | 1
2001-03-30 00:00:00 | Risk Controls | NG-PRICE-CRUDE-PRC | Gas |  |  | RM | 1 | Book was not officialized.  Due to cross commodity it was not captured by GAS [NAME] end of day reconciliation.   Book contained only minimal internal trades, as such no impact on VaR or credit. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | N | N | N | 1
2001-03-30 00:00:00 | Risk Controls | POWER-SS-R3C-PRC and POWER-SS-R1B-PRC | Power |  |  | RM | 1 | Spreadsheet was uploaded by BA, however due to migration issues the data was not captured by risktrac.  Reload done in the morning.  VaR rerun | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | Y | Y | Y | 1
2001-03-30 00:00:00 | Risk Controls | FT-SOUTHEAST -GDL, -PRC | Gas |  |  | RM | 1 | BA inadvertenly officialized 2 postids for PRC book rather than one each for PRC and GDL.   As both books held no positions, the error was not captured by end of the day reconciliation procedures.  There was no impact on VaR or Credit. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | N | N | N | 1
2001-03-30 00:00:00 | Risk Controls | EES-CANADA-PRC | POWER |  |  | RM | 1 | Book not officialized due to error received during portcalc.  The Error was caused due to variances in end of the month process.  Curves were marked for 03/31/01 and the book was being calc'd for 03/30/01. | Need to develop Power end of the month procedures to insure consistency between desks.  This will eliminate the problem of different officialization dates. | Y | Y | Y | 1
2001-03-30 00:00:00 | Risk Controls | Reload DRAM, ADVERTISING and BANDWIDTH positions and curves | Adv / Dram/ Bandwidth |  |  | RM | 1 | Due to end of the month procedures, updated positions and curves were not available.  Process was completed during  the day and positions and curves reloaded | RM needs to improve schedule for completing end of the month procedures to ensure compliance with current   reporting schedules. | Y | Y | Y | 1
2001-03-30 00:00:00 | Risk Controls | 3 EBS credit spreadsheets and EBS-DRAM-PRC | Bandwidth/Dram |  |  | IT | 3 | Positions were not loaded due to IT problems encountered.  Positions were loaded in the AM. | EBS system could not link with ENA system.   [NAME] was considered to a one off issue. | N | Y | Y | 1
2001-03-29 00:00:00 | Risk Controls | FT-CAND-EGSC-BC-IDX | Gas |  |  | RM | 1 | Book was not officialized.  Positions were uploaded in AM.  VaR was rerun. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | Y | Y | Y | 1
2001-03-29 00:00:00 | Risk Controls | MG-AGRI-COCOA-PRC | Cocoa |  |  | RM | 1 | Book was not officialized.  Positions were uploaded in AM.  VaR was rerun. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | Y | Y | Y | 1
2001-03-29 00:00:00 | Risk Controls | MGMT-WE-OPT-HG PRC, [NAME] | Gas |  |  | RM | 1 | BA did  not officialize books.  Books do not contain any trades, as such no impact on VaR or Credit. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process.  Further it help identify books that do not contain deals and do not require officialization. | N | Y | Y | 1
2001-03-29 00:00:00 | Risk Controls | OPTIONS-EXOTIC-PRC | Gas |  |  | RM | 1 | BA did  not officialize books.  Book contains only premiums, as such no impact on VaR or Credit. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | N | N | N | 1
2001-03-28 00:00:00 | Risk Controls | VaR for infinity was incorrect due to system problems | IR/FX |  |  | RM | 3 | Due to problems with system [NAME] was incorrect. | IT is working to resovle issue. | N | N | Y | 1
2001-03-28 00:00:00 | Risk Controls | EPMI-LT-NENG-PRC and EPMI-ST-NENG-PRC | Power |  |  | RM/IT | 3 | Books were not officialized | Due to system issues the BA had to reofficialize the post ID in the morning.  IT is working to identirfy and resolve the issue. | Y | Y | Y | 1
2001-03-28 00:00:00 | Risk Controls | Reran [NAME] | Bandwidth |  |  | RM | 1 | Due to problems encountered during position upload had to reload this morning. | Need to complete position upload prior to end of day.   Provide additional training as needed. | Y | Y | Y | 1
2001-03-28 00:00:00 | Risk Controls | UK Power,Continental Power and E1SB spreadsheets | POWER |  |  | IT | 3 | Continental Power issues have been resolved and book will be officialized in the AM.  UK Power was not officialized due to software issues.  The Software that uploads curves into enPower failed due to changes made to accommodate NEETA breakout.   IT is working to identify and resolve issue.    Once resolved will officialize books. | Problem is a continuation from 03/27/01.  It appears to be related to breakout for NEETA requirements.  Need to thoroughly test all software modifications prior to implementation | N | Y | Y | 1
Total Errors for the Week of  Mar 21 to Mar 27
2001-03-27 00:00:00 | Risk Controls | UK Power and Continental Power | Power |  |  | IT | 3 | UK and Continental Power files were not officialized due to failures with MTM valuations due to inability to import NEETA Price Curves | At this time problem is considered a one time issue.  MTM valuations working on previous day.  IT working to identify and resolve issues. | n | y | y | 1
2001-03-27 00:00:00 | Risk Controls | FT-NGPL-STRG-GDL | GAS |  |  | RM | 1 | Book was not officialized, however book had no positions.  Therefore VaR was not rerun. | Procedures are in place that require the officialization of all active books.  Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | N | N | N | 1
2001-03-27 00:00:00 | Risk Controls | INTRA-DENVER BAS, IDX, PRC | GAS |  |  | RM | 1 | Book was not officialized. PRC book contained an annuity with internal counterparty.  BAS & IDX book had no positions.  Due to the lack of 3rd party exposure, VaR was not rerun. | Procedures are in place that require the officialization of all active books.  Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | N | N | N | 1
2001-03-26 00:00:00 | Risk Controls | UK GAS 4 files had problems | GAS |  |  | IT | 3 | UK  GAS 4 file had problems and E1SB2 gas XLS was missing | IT is reviewing issue and attempting to resolve. | Y | Y | N | 1
2001-03-26 00:00:00 | Risk Controls | FT-CAND-EGSC-G-BAS | Gas |  |  | RM | 1 | Credit exposure book not loaded into RisktRAC | Manual process to load information into RisktRAC not followed.  As the book only contains credit information and contained no 3rd party exposures there was no need to reload data or rerun V aR | N | Y | Y | 1
2001-03-26 00:00:00 | Risk Controls | 4 SC XL spreadsheets | Power/GAS |  |  | RM | 1 | Spreadsheets that contain positions for Southern Cone not loaded.  BA did not load files.  Data loaded in the AM and VaR rerun. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | Y | Y | Y | 1
2001-03-23 00:00:00 | Risk Controls | UK Power | Power |  |  | RM | 1 | The UK Power  MTM program revalued based on 03/23/01 rather than 03/25/01 and therefore did not capture breakout of deals | Instance is a one off, caused by the split out of [NAME] and Phys piece of deals for new reporting requirements. | N | Y | Y | 1
2001-03-23 00:00:00 | Risk Controls | Nordic Power | Power |  |  | RM | 1 | Due to zero values loaded in FX curves for Nordic Power position for 03/22/01 for Nordic Power and UK Power were loaded for 03/23/01 | RM needs to develop process to insure appropriate values are entered for FX curves | N | Y | Y | 1
2001-03-23 00:00:00 | Risk Controls | DUB-INT-PHY | GAS |  |  | RM | 1 | BA did not provide needed information for uploaded into RisktRAC. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | Y | Y | Y | 1
2001-03-23 00:00:00 | Risk Controls | FT-PEOPLES-IDX | GAS |  |  | RM | 1 | BA did not officialize the PostID. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | N | Y | Y | 1
2001-03-22 00:00:00 | Risk Controls | Bandwidth VaR | Bandwidth |  |  | RM | 1 | Had to reload [NAME] files due to revisions.  File was not previously finalized due to IT issues experienced by group. | Development of ENFiber system will help resolve curve issues.  RM needs to establish procedures for identifying issues and addressing in a timely manner. | Y | N | N | 1
2001-03-21 00:00:00 | Risk Controls | Creation of new Instrument type in RisktRAC | Power |  |  | RM | 1 | Due to creation of the new instrument type without informing downstream users (RisktRAC and RiskControls) the positions were not captured in RisktRAC for VaR purposes.  The instrument was added as of 03/21/01 and positions captured for Power | [NAME] procedures for  communicating the creation of new instrument types to downstream systems and users that may be impacted.  Procedures will be communicated to the business units | N | N | N | 1
2001-03-21 00:00:00 | Risk Controls | Advertising VaR | Advertising |  |  | RM | 1 | Had to reload Positions due to data sort error.  In order to properly load positions into RisktRAC data must be be sort by specific criteria and each line must have a unique deal number.  Original file did not meet these criteria.  [NAME] was detected during benchmark review.  After reload reran VaR | Recommunicated data requiremetns to BA to insure understanding and compliance. | Y | Y | Y | 1
2001-03-21 00:00:00 | Risk Controls | Bandwidth VaR | Bandwidth |  |  | RM | 1 | Position and Curve files were revised subsequent to original issuance and upload into RisktRAC system.   BA did not communicate need to update files to Risk Controls in a timely manner, therefore revised curves not loaded until the morning. | Discussed procedure for communicating changes in data to Risk Controls in order to facilitate the reporting of accurate data. | Y | Y | Y | 1
Total Errors for the Week of  Mar 13 to Mar 20
2001-03-20 00:00:00 | Risk Controls | Canada [NAME] | Gas |  |  | RM | 1 | The Canada BAS books were not overridden. As data in these books is captured only for credit purposes VaR was not rerun.  Credit was aware of problem and modified procedures to correct. | Currently evaluating options for separating Canada combined books.  Separation of books will eliminate the need to manually override [NAME] books with PRC postIDS. | N | N | N | 1
2001-03-20 00:00:00 | Risk Controls | Reran Broadband Va R | Bandwidth |  |  | RM | 1 | Curve data was rolled from prior day, as the information was not completed.  Correct curves were loaded during the day and VaR rerun. | RM needs to develop procedures to properly update needed data into necessary systems. | Y | Y | Y | 1
2001-03-19 00:00:00 | Risk Controls | EAST-TP3-GDL AND EAST-TP2-GDL | Gas |  |  | RM | 1 | The officialization process resulted in one book receiving two separate postids rather than each book receiving one, due to processor error.  Books contain no deals or positions, as such there was no impact on VaR or Credit systems. | Problem is inherint in ERMS processing, which requires BA to copy prior day's postID in order to generate current data.  Implementation of new Active/Inactive book website will help identify these errors. | N | N | N | 1
2001-03-16 00:00:00 | Risk Controls | COAL-ERMS-XL-PRC AND COAL-OPTI-XL-PRC | Coal |  |  | RM / IT | 1 | Coal spreadsheets were not uploaded to RisktRAC due to IT problems encountered by BA.   IT problem was related to the Windows 2000 conversion  and the roleout of new production file for RisktRAC. | The error is a one time issue caused by Windows 2000 conversion.  Due to conversion BA was loading spreadsheets through alternate system on terminal server.  On Friday an updated version of RisktRAC that addressed the Windows 2000 was issued.  Conversion IT deleted the terminal server version and failed to notify users.  BA failed to notify IT support or [NAME] of issue.  Positions were uploaded in AM using updated version of RisktRAC. | Y | Y | Y | 1
2001-03-15 00:00:00 | Risk Controls | Orphan Asset Positions |  |  |  | RM | 1 | Positions were loaded into RisktRAC, but not captured by application. | Positions were reloaded in the AM and positions were captured.  Reran VaR | Y | N | N | 1
2001-03-14 00:00:00 | Risk Controls | FT-NGPL-STRG-IDX | Gas |  |  | RM | 1 | Book was not officialized, bue to minimal exposure VaR not rerun. |  | N | Y | Y | 1
Total Errors for the Week of  Mar 7 to Mar 13
2001-03-13 00:00:00 | Risk Controls | EAF-AUS-PRC | Power |  |  | RM | 1 | BA attempted to officialized the books using a previously  un tested methodology.  The process failed the BA attempted to officialize using old method.   Post ID did not get captured by RisktRAC. | BA need to continue using old process while testing new procedures in TEST.  Once process validation is achieved the new process can be implemented in productions. |  | Y | Y | 1
2001-03-12 00:00:00 | Risk Controls | FT-NEAST-WH-PRC | GAS |  |  | RM | 1 | Book was not officialized.  Book only contains internal trades that have an immaterial value. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | N | N | N | 1
2001-03-09 00:00:00 | Risk Controls | TransAlta Credit Exposure not captured. | Power |  |  | RM | 1 | Book was officialized and data captured for VaR and position purposes.  However, the original deals were killed and reentered as new deals within the same book to order to automate the process for settling the daily legs of the deals.  The reentry of the deals caused an inability by Credit to capture exposures as the CAS system pull data directly from source systems. | Ensure that RM properly communicates any changes in deal capture and officialization so that any affected downstream systems are properly notified prior to change.  This will allow downstream systems opportunity to develop process to properly capture data for comparabilty. | N | Y | Y | 1
2001-03-09 00:00:00 | Risk Controls | Reran AGG-ECT VaR |  |  |  | IT | 1 | Due to corrupted data tables that contain primary secondary curve mapping within RMS VaR was misstated. | RisktRAC IT needs to determine how table was corrupted. | Y | N | N | 1
2001-03-09 00:00:00 | Risk Controls | FT-CENTRAL-WH-GDL | GAS |  |  | RM | 1 | Book was not officialized | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process | N | Y | Y | 1
2001-03-09 00:00:00 | Risk Controls | EBS-BWT-PRC | Bandwidth |  |  | RM | 1 | Book was not officialized as BA thought process was not functioning properly | Have discussed upload process with BA and discussed length of time needed to capture extensive volume of data. | Y | Y | Y | 1
2001-03-08 00:00:00 | Risk Controls | PWR-NG-TEXAS-GDL | Power |  |  | RM | 1 | Book was not officialized.  However due to the lack of 3rd party exposure and minimal value VaR not rerun. | Implementation of new Active/Inactive book website should help identify any unofficialized books during end of day process. | N | Y | Y | 1
2001-03-07 00:00:00 | Risk Controls | ReRan Adv VaR | Advertising |  |  | RM | 1 | Due to errors contained in data upload had to reload positions in the morning and rerun VaR | Have provided additional guidance to BA's related to data criteria to ensure propre upload to RisktRAC. | Y | Y | Y | 1
2001-03-07 00:00:00 | Risk Controls | ReRan EES-ENA  VaR | Power |  |  | RM | 1 | Due to changes in positions had to rerun VaR | Develop a process to validate positions prior to running VaR | Y | Y | Y | 1
Total Errors for the Week of Feb 28 to Mar 6
2001-03-06 00:00:00 | Risk Controls | UK valuation system failed |  |  |  | IT | 3 | Due to a failure in the UK valuation system the data  transferred at 8 am.  Data was uploaded into RisktRAC and VaR rerun. | Develop procedures identify what caused failure and correct. | N | Y | Y | 1
2001-03-06 00:00:00 | Risk Controls | EAST-NEW-ENG-IDX | Gas |  |  | RM | 1 | Book was officialized, however due to a attribute mismatch the data was not captured by RisktRac.  [NAME] was correct and postid manually pulled in.  Since the book had no positions and a MTM value of zero  VaR not rerun. | Develop procedures to insure that attributes on new books are properly established. | N | N | N | 1
2001-03-05 00:00:00 | Risk Controls | 5 EPMI BOOKS (EPMI-HRLY-ERCOT, EPMI-LT-OPTION, EPMI-NE-PHYS, EPMI-JPM-FTR, & EPMI-SE-ANALYST | POWER |  |  | IT | 3 | Books were officialized, howeve they contained no deals.  As such [NAME] does not transmit the Postid for empty books to RisktRAC. | Working with EnPower IT to develop reports to identify books officialized in EnPower which do not contain deals. | N | N | N | 1
2001-03-05 00:00:00 | Risk Controls | 12 GAS BOOKS (EAST-GULF5, EAST-GULF6, FT-MKT1, -BAS,-GDL,-IDX,-PRC) | Gas |  |  | IT | 3 | Books were not officialized, however the books contain no deals.  They have now been marked as inactive and will not be calc'd in the future. | Work with RM to develop procedures to identify inactive books and communicate to downstream users. | N | N | N | 1
2001-03-05 00:00:00 | Risk Controls | CLEAN-ERMS-XL-PRC | LIQUIDS |  |  | RM | 1 | Positions in book were liquidated, as such book was not officialized.  For credit purposes book was officialized to zero for 03/05/01. | Work with RM to develop procedures to identify inactive books and communicate to downstream users. | N | Y | N | 1
2001-03-05 00:00:00 | Risk Controls | GD-CENTRAL-CAD-GDL | Gas |  |  | RM | 1 | Book was not officialized, however the book contains no deals.  As such there is no impact on VaR. | Develop a process to insure all active books are officialized | N | N | N | 1
2001-03-05 00:00:00 | Risk Controls | NG-PRICE-CRUDE-PRC | Gas |  |  | RM | 1 | Book was not officialized.  Due to immaterial value, less than $20K, and the lack of 3rd party exposure VaR was not rerun. | Develop a process to insure all active books are officialized | N | N | N | 1
2001-03-02 00:00:00 | Risk Controls | ADV and EBS VaR rerun | Advertising and DS-3 |  |  | RM | 1 | As the processing of generating the 03/02/01 data as not complete by 6:00 am the positions and curves were rolled from the previous day.  When the processing of the data was complete updated positions and curves for 03/02/01 were uploaded into risktRac and VaR rerun.    Further as 5 new curves were added to the curve upload and not into the benchmark report, a reconciliation was required which delayed the DPR issuance process. | Enhance current procedures to communicate curve creation to the Risk Controls group to eliminate need to reconcile benchmark.  Develop process to enhance processing time for positions and curves to meet current deadlines. | Y | Y | Y | 2
2001-03-02 00:00:00 | Risk Controls | 4 Power books (EPMI-HRLY-ERCOT-PRC, EPMI-LT-OPTION-PRC, EPMI-PJM-FTR-PRC, EPMI-SE-ANALYST-PRC) | Power |  |  | IT | 3 | Books were officialized, howeve they contained no deals.  As such [NAME] does not transmit the Postid for empty books to RisktRAC. | Working with EnPower IT to develop reports to identify books officialized in EnPower which do not contain deals. | N | N | N | 1
2001-03-02 00:00:00 | Risk Controls | Ft-CAND-AB-GDL-GDL | Gas |  |  | RM | 1 | Book was officialized in CAD$ rather than US$.  This prevented RisktRAC from capturing data, as the program ignores postids with CAD$ as currency.  Book was reofficialized in US$ and captured by credit. | Discuss possible changes in RisktRAC to accept CAD$ postids and convert to US$.  Alternatively develop process for CAD office to insure books are officialized in US$ for VaR purposes. | N | N | N | 1
2001-03-02 00:00:00 | Risk Controls | FT-NW-XL-OPT BAS, PRC | Gas |  |  | RM | 1 | Book was not officialized.  Book was officialized during the day and VaR rerun. | Develop a process to insure all active books are officialized | N | Y | Y | 1
2001-03-01 00:00:00 | Risk Controls | UKGAS | Gas |  |  | RM | 1 | File contained incorrect currency data. | Develop procedures to insure correct pricing of deals. | N | Y | N | 1
2001-03-01 00:00:00 | Risk Controls | Reload ADV positions | Advertising |  |  | RM | 1 | Due to incorrect data in position upload had to correct and reload.  This delayed the issuance of DPR.  Further the ommission of a curve prevented the correct capture of VaR for advertising. | Develop process to test data prior to upload into RisktRAC. | Y | Y | Y | 1
2001-03-01 00:00:00 | Risk Controls | 5 Power books (EPMI-HRLY-ERCOT-PRC, EPMI-LT-OPTION-PRC, EPMI-NE-PHYS-PRC, EPMI-PJM-FTR-PRC, EPMI-SE-ANALYST-PRC) | Power |  |  | IT | 3 | Books were officialized, howeve they contained no deals.  As such [NAME] does not transmit the Postid for empty books to RisktRAC. | Develop process to report officialized books without deals. | N | N | N | 1
2001-03-01 00:00:00 | Risk Controls | INTRA-NEAST-WH-PHY | Gas |  |  | RM | 1 | Book was not officialized.  Officialized in the morning.  Due to immaterial nature of positions VaR was not rerun. | Develop a process to insure all active books are officialized | N | Y | Y | 1
2001-03-01 00:00:00 | Risk Controls | INTRA-CENT-WH-PHY | Gas |  |  | RM | 1 | Book was not officialized.  Officialized in the morning.  Due to immaterial nature of positions VaR was not rerun. | Develop a process to insure all active books are officialized | N | Y | Y | 1
2001-03-01 00:00:00 | Risk Controls | EBS-BWT-PRC | Bandwidth |  |  | RM | 1 | Book was not officialized.  Book was officialized during the day and VaR rerun. | Develop a process to insure all active books are officialized | Y | Y | Y | 1
2001-03-01 00:00:00 | Risk Controls | EBS-ADV-PRC | Advertising |  |  | RM | 1 | Book was not officialized.  Book was officialized during the day and VaR rerun. | Develop a process to insure all active books are officialized | Y | Y | Y | 1
2001-02-28 00:00:00 | Risk Controls | SGP-GO-IDX | Gas |  |  | RM | 1 | Book was not officialized.  BA indicated that the deals were liquidated and no deals were contained within the book. | Develop procedures to communicate when books are liquidated in order to appropriately update RisktRAC for dormant books.
2001-02-28 00:00:00 | Risk Controls | EPMI-SE-SW-EXT | Power |  |  | RM | 1 | Book was not officialized.  The deal contained within the book was transferred to another book in enpower.  However the book does not have related book in RisktRac, therefore the deal was not captured for the day. | Develop procedures to properly communicate the creation of books in source systems and identify when deals are transferred from one book to another.
2001-02-28 00:00:00 | Risk Controls | EPMI-HRLY-NE-PRC | Power |  |  | IT | 3 | Book was officialized, however as the book contains no deals RisktRAC does not capture the PostID. | Develop a process to identify officialized books that do not contain deals.
2001-02-28 00:00:00 | Risk Controls | EPMI-HRLY-ERCOT-PC | Power |  |  | IT | 3 | Book was officialized, however as the book contains no deals RisktRAC does not capture the PostID. | Develop a process to identify officialized books that do not contain deals.
2001-02-28 00:00:00 | Risk Controls | DUB-INT-PHY | Gas |  |  | RM | 1 | Book was not officialized, however the book contains no deals.  As such there is no impact on VaR. | Develop procedures to communicate when books are liquidated in order to appropriately update RisktRAC for dormant books.
2001-02-28 00:00:00 | Risk Controls | CAND-IM-PIPE BAS, PRC | Gas |  |  | RM | 1 | Book contains no deals and will not going forward.  Book will be marked as dormant.  No impact on VaR | Develop procedures to communicate when books are liquidated in order to appropriately update RisktRAC for dormant books.
Total Errors for the Week of Feb 21 to 27
2001-02-27 00:00:00 | Risk Controls | Reran Broadband VaR | Bandwidth |  |  | RM | 1 | Due to several curves not defined in data upload and other data entry problems, Broadband VaR was significantly overstated.  Once problem was identified and resolved, correct data was uploaded and VaR rerun. | Develop a process to validate data uploaded to RisktRac to detect any errors. | Y | N | N | 1
2001-02-27 00:00:00 | Risk Controls | CANADAPWRWEST-PRC | Power |  |  | RM | 1 | Book was not officialized.   Officialized in the morning and AGG-PWRII VaR rerun.  Credit was advised of late officialization and related PostID | Develop a process to insure all active books are officialized | Y | Y | Y | 1
2001-02-27 00:00:00 | Risk Controls | EPMI-SE-ANALYST-PRC | Power |  |  | RM | 1 | Book was officialized, however as all the positions in the book had been liquidated [NAME] did not capture the PostID.  RisktRAC does not record postids for empty books.  As such no impact on VaR | Develop a process to identify officialized books that contain no deals. | N | N | N | 1
2001-02-26 00:00:00 | Risk Controls | Rerun Broadband VaR | Bandwidth |  |  | RM | 1 | Reran VaR due to the upload of additional curves in RisktRAC.  The new curves were not previously reported to Risk Controls for inclusion in RisktRac. | Develop process to detect positions against curves not in RisktRAC.  Enhance procedures related to the creation of curves in source systems. | Y | N | N | 1
2001-02-26 00:00:00 | Risk Controls | Softs VaR rerun |  |  |  | RM | 1 | Positions were updated and reloaded into system.  VaR was rerun to Capture new positions. | Develop process to insure all positions are accurately entered into sytem | Y | N | N | 1
2001-02-26 00:00:00 | Risk Controls | UK Power Feed failure | Power |  |  | IT | 1 | UK  Power feed was initiated on time, however feed upload failed.  Once failure was detected the upload was reiniated.  Credit detected error and reiniated upload. | Develop a process to detect when feed upload is not captured fully. | Y | N | N | 1
2001-02-26 00:00:00 | Risk Controls | FT-WE-XL-OPT BAS, PRC | GAS |  |  | RM | 1 | The Option spreadsheets were not loaded into RisktRAC.  The spreadsheets were uploaded in the Morning.  As the books only contain internal deals and the positions were minimal, VaR was not Rerun. | Develop a process to insure all active books are officialized | N | N | N | 1
2001-02-23 00:00:00 | Risk Controls | Nordic Power and UK GAS |  |  |  | RM | 1 | MTM valuation failed.  Valuation had to be reiniated and filed transferred after 6 am Houston time. | Develop procedures to test valuation and insure any errors are noted and properly handled. | Y | Y | N | 1
2001-02-23 00:00:00 | Risk Controls | EPMI-LT-NENG-EXT,  EPMI-LT-MIDWEST-EXT, EPMI-LT-SOUTHEAST-EXT | Power |  |  | RM | 1 | Per BA the books were officialized and provided a postid, however [NAME] was unable to identify positions and resolve into a postid.  Book was recalced in the Afternoon and [NAME] was able to resolve PostID. | Test process to insure that all errors are identified. | Y | Y | Y | 1
2001-02-23 00:00:00 | Risk Controls | EPMI-LT-NAMGMT-PRC, EPMI-LT-WNAMGMT-PRC | Power |  |  | RM | 1 | BA did not officialize books.    Books were officialized in the morning and positions pulled in.    Power VaR Rerun | Develop a process to insure all active books are officialized | Y | Y | Y | 1
2001-02-22 00:00:00 | Risk Controls | Nordic Power and UK GAS |  |  |  | RM | 1 | Due to a server failure during data transfer, the data was transmitted late.  Once transmission was completed and files uploaded, VaR was rerun.  Credit was aware of problem and captured data as transmission completed. | Develop alternate procedures to process data when primary server is down. | Y | Y | Y | 1
2001-02-22 00:00:00 | Risk Controls | DRAM VaR | DRAM |  |  | RM | 1 | Due to application access issues, the Curve upload was not captured by the system.  The curves were reloaded and VaR rerun. | Develop a process to notify when process fails | Y | N | N | 1
2001-02-22 00:00:00 | Risk Controls | GD-TEXAS-PRC | GAS |  |  | RM | 1 | Book was not officialized.   Officialized in the morning and AGG-GAS VaR rerun.  Book was loaded into Credit manually. | Develop a process to insure all active books are officialized | Y | Y | Y | 1
2001-02-21 00:00:00 | Risk Controls | Significant Change in NG Price Cash Flows | FX |  |  | RM | 1 | Due to a request by traders to provide separate P&L for one ERMS book, the book was calcuted twice using different exclusion clauses.  While the RisktRAC hierarchy was changed to handle the change in process, the other downstream systems did not capture the needed information.  As a result the FX Group only captured half the needed data.   Manual process was implemented to capture all needed data until changes could be made to ERMS. | Develop a process to  communicate any process changes to all potentially affected downstream systems. | N | N | Y | 1
2001-02-21 00:00:00 | Risk Controls | [NAME] for [NAME] |  |  |  | RM | 1 | Due to the non submission of a blottter by the trader the information was not included in the system.  Information was entered in the morning and VaR rerun. | Develop a process to insure all information is captured and entered into system. | Y | Y | Y | 1
2001-02-21 00:00:00 | Risk Controls | POWER-SS-R3C-PRC | Power |  |  | IT | 1 | Book was not officialized, due to limited resources.  The change over to Office 2000 created a system conflict that would not allow BA to process spreadsheet on PC.  She had to request another staff perform the process, but was not completed.   Book was uploaded in the AM and VaR rerun. | Correct system conflict  to allow normal of system resources. | Y | Y | Y | 1
Total Errors for the week of  Feb 14 to 20
2001-02-20 00:00:00 | Risk Controls | Southern Cone VaR Rerun |  |  |  | RM | 1 | The curve information uploaded resulted in an incorrect date in the RMS data file.  IT corected date problem and reran VaR | Test Curve upload process and correct problem | Y | N | N | 1
2001-02-20 00:00:00 | Risk Controls | DRAM VaR ReRun | CHIP |  |  | RM | 1 | Due to problems with Curve Upload VaR was incorrectly reported.  Curves were reloaded and VaR rerun. | Develop to insure that uploads are properly captured by RisktRAC | Y | N | N | 1
2001-02-20 00:00:00 | Risk Controls | EES Positions | Power |  |  | RM | 1 | VaR for EES Power was overstated due to problems with position. | Develop a  process to reconcile positions in conjunction with data entry. | Y | Y | Y | 1
2001-02-16 00:00:00 | Risk Controls | Reran MGCocoa VaR |  |  |  | RM | 1 | Position upload was incorrect.  Correct data and relaoded into RisktRAC.  VaR rerun | Develop a process to test spreadsheets prior to upload to avoid errors. | Y | Y | Y | 1
2001-02-16 00:00:00 | Risk Controls | Advertising positions not properly loaded | Advertising |  |  | RM | 1 | Spreadsheet was uploaded, however data contained errors.  Correct errors and uploaded into system during AM | Develop a process to test spreadsheets prior to upload to avoid errors. | Y | Y | Y | 1
2001-02-16 00:00:00 | Risk Controls | 5 orphan asset spreadsheets |  |  |  | RM | 1 | Spreadsheets are normally sent to [NAME] for upload, however not forwarded on 02/16/01.  Positions rolled from prior day and uploaded into   isktRAC.   Reran VaR | Develop a process to insure that process is followed for spreadsheet upload. | Y | Y | Y | 1
2001-02-16 00:00:00 | Risk Controls | PWR-NG-TEXAS GDL , PRC | GAS |  |  | RM | 1 | Books were officialized.  Due to attribute mismatch on the region code the Post ID did not resolve into a Book on the RisktRAC system.  Positions were manually pulled in using post IDS and VaR rerun | Develop a process to identify attribute mismatches or changes on the source systems. | Y | Y | Y | 1
2001-02-15 00:00:00 | Risk Controls | 5 SOUTHERN CONE SPREADSHEETS not Loaded |  |  |  | RM | 1 | Due to data entry errors on spreadsheet upload process not completed.   Problems were corrected and spreadsheets were uploaded in AM. | Develop process to notify IT support when application issues arise and properly notify RM.  Expand user training to identify errors and correct. | Y | Y | Y | 1
2001-02-15 00:00:00 | Risk Controls | EBS-BWT-PRC | BANDWIDTH |  |  | RM | 1 | Due to problems loading spreadsheets into RikstRAC the spreadsheet was not loaded until 8 AM.   Once loaded Broadband VaR rerun. | Develop process to notify IT support when application issues arise and properly notify RM. | Y | N | N | 1
2001-02-15 00:00:00 | Risk Controls | PWR-MW-GAS-MTM-GDL | GAS |  |  | RM | 1 | The book was officialized with PostID 1042566, however due to Region code mismatch the [NAME] was not caputed by RisktRAC.  Book had no positions, therefore no impact on VaR | Develop process to identify changes in region codes on source system. | N | N | N | 1
2001-02-14 00:00:00 | Risk Controls | EASTERN SPREADSHEETS | Gas |  |  | RM | 1 | Due to problems with Hedge positions had to roll prior date information. | Develop process to correctly report positions. | n | n | n | 1
2001-02-14 00:00:00 | Risk Controls | RERUN EES POWER VaR | Power |  |  | RM | 1 | Due to EES Book attribute conflict needed infromation was not pulled into RisktRAC.  Correct error and reran Va R | Develop process to prevent attribute conflicts. | Y | Y | Y | 1
2001-02-14 00:00:00 | Risk Controls | RERUN SOUTHERN CONE VaR |  |  |  | RM | 1 | Position were loaded with incorrect data.   Uploaded corrected data and reran VaR | Develop process to officialize all needed information in a timely manner. | Y | Y | Y | 1
2001-02-14 00:00:00 | Risk Controls | RERUN EBS, ADV AND DRAM VaR. | EBS |  |  | RM | 1 | Due to late availability of positions and curves rolled prior days information.  Once current information was available uploaded data and curves into System.  Reran related VaRs | Develop process to officialize all needed information in a timely manner. | Y | Y | Y | 1
2001-02-14 00:00:00 | Risk Controls | PWR-COAL-MGMT-PRC | Coal |  |  | RM | 1 | Book Contains only interbook deals, as such no VaR or Credit risk. | Develop process to identify books that do not require officialization and properly segregatel | N | N | N | 1
2001-02-14 00:00:00 | Risk Controls | COPPER-GDL | Coal |  |  | RM | 1 | Due to new book created with Duplicate attributes [NAME] rejected PostID.  Book contains no deals. | Develop process to prevent duplicate books | N | N | N | 1
Total Errors for the week of  Feb 7 to Feb 13
2001-02-13 00:00:00 | Risk Controls | Rerun Coal VaR | Coal |  |  | RM | 1 | Due to several accrual books that were officialized and unofficialized, inaccurate positions were pulled into RisktRAC.  Positions were removed. | Develop process to insure only correct books are officialized on a daily basis. | Y | N | N | 1
2001-02-13 00:00:00 | Risk Controls | Rerun AGG PWR II VaR | Power |  |  | RM | 1 | LT NY book not being captured in [NAME] due to attribute [NAME]. | Develop Process to insure all relevant books are included in proper portfolios | Y | N | N | 1
2001-02-13 00:00:00 | Risk Controls | ReRun Agg- GAS, Agg-GASIII and Agg-GasIV VaR | GAS |  |  | RM | 1 | Due to a change in correlation factors for Canada Books.  Reloaded factors and reran affected VaR. | Develop process to correct identify correlation factors in a timely manner. | Y | N | N | 1
2001-02-13 00:00:00 | Risk Controls | INTRA-NEAST-WH-PHY | GAS |  |  | RM | 1 | Book not officialized | Develop process to insure all active books are officialized on a daily basis. | N | N | N | 1
2001-02-13 00:00:00 | Risk Controls | FT-NEAST-WH-GDL | GAS |  |  | RM | 1 | Book not officialized, however book contains no deals.  As such no impact on Credit or VaR | Develop process to insure all active books are officialized on a daily basis. | N | N | N | 1
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
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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