=============
Page 1 of 29
=============


  5. M




  early Compar
ear
  d

70
60 I

1501

  30
20


Cumulative Reported Incidents

  12 2000
I 10

  I
i
  i
  I
I 8'
I
  i

  6
I
  I
  4
I

  2-1


  0 January February March April May June July Pugust September


'soil




  Reported Incidents By Month


Jahuar Fehrua
Y rY	
March	
PpR	
Y
			
			

  E1?l'D11 L[' -al f~ri~~ilc~~c~rl uttrl Cntf tieittirrl E0004397472
  _ _v,a. ~wcels
EXH004-01103






=============
Page 2 of 29
=============


  RMF
  i
s
  ~a Reported Incidents By Business Unit



14-

2-
0-, I
  _.. L.
  Corp.

EWS


  ETS EBS

EE$.



  Existing Controls
Functioning
  o Require Additional
Controls

  Enroll Legal I'I'ii'ile'gcoil a,td Cult fiitlc'ittial E0004397473
=XH004-01104 ~~~









=============
Page 3 of 29
=============


  - Adequacy of Existing Controls
~l.

  Reasons Additional Controls Unnecessary
13

  19
Existing Control Functioning
  m Not Applicable to Internal Control
u Unfounded Allegation
  1BD




  Enroll Le UI /) .j pile etl tutu Coii fidt'ittittl E0004397474
EXH004-01105




=============
Page 4 of 29
=============


  Classification of Reported Incident
y.

  Classificatson of RBported Incidcnt

3

19

  D Pending -
 Alleged Criminal
   Alleged Non- Criminal -


  En ro n L e cya l E0004397475
Prii'ilc'"oc'd and Coii/i ellticfl
KHO04-01106 ; .




=============
Page 5 of 29
=============


  r
  Incident Status and Method Reported

  j ~~ i'v'~P.$e~ . aaseuesv6izv` vn>.a~ .t 3~ .x f ~ `~L L f ~ ~ ~*~ I

Status of Reported Incidents

29

aPhone Call
o By Business Unit/Department


  Method Incident Was Reported

  oPending LocalAuthodties
mEmployee Terminated Letter
  i Employee Counseled a0dentation
Enaluated and Closed oEmal

  Eu IOi1 Legal Privile ed ud C'u~~fl~lc~ntr1 EC004397476
XH004 01107




=============
Page 6 of 29
=============


PRIVILEGED & CONFIDENTIAL INFORMATION


LOG OF INCIDENTS
(September 28, 2001)

					ALLEG	ATIONS						
DATE	How	BUSINESS	INITIAL	SUMMARY	CRIMINAL	NON-	HANDLED	DATE	DATE	RESOLUTION	MGMT.	ADDITIONAL
REPORTED	REPORTED	UNIT	CONTACT			CRIMINAL	BY	ASSIGNED	CLOSED		BRIEFED	CONTROLS
												NECESSARY
							NNW	low		
Y		
Feb 23,	Letter to	Corp.	Jim Derrick	Allegations of age		Policy	Corp.	Feb 28,		Pending	Yes	Not
2001	Jeff			discrimination during		Violation	Legal and	2001				
	Skilling			interview process.		and	Vinson &					
						ADEA	Elkins					
March 1,	Enron	Corp.	Enron	Fraudulent check	Fraud		Risk	March 1,		Pending	Yes	Yes - AP
2001	Treasury		Treasury	payable to Bank of			Assurance	2001				Vendor Set-
				America/Aimco			& Corp,					up
				Engineering and			Security					Procedures
				Consultant								Improved.
				($85,000.00).								
March 7,	Enron	Corp.	Enron	Fraudulent check to	Fraud		Risk	March 1,		Pending	Yes	Yes - iPayIt
2001	Treasury		Treasury	Fidelity Data Systems			Assurance	2001				Electronic'
				Forgery ($33,977.00).			& Corp.					Approval
							Security					Required.
March 9,	Telephone	Corp.	Steve Kean	FBI investigating		Other	Steve	March 9,	March	Information	Yes	Not
2001'	call			background of former			Kean &	2001	9, 2001	provided to FBI.		
				Associate/ Analyst for			Corp.					
				position with Bush			Legal					
				Administration.								
March	Anony-	Corp.	Corp. Legal.	Environmental	Not ENE	Not ENE	Corp.	March	March	Matter	Yes	No3
14, 2001	mous call			Inquiry			Legal	14, 2001	31,2001	evaluated. No		
	to Office									response from		
	of									person making		
	Chairman									call.		

  1
Additional Controls are financial, operational, or compliance based controls. In the event,
no additional controls are necessary, please see footnotes below for further explanation.
1. Existing Control(s) functioning
2. Not Applicable to an Internal Control
3. Unfounded Allegation



=============
Page 7 of 29
=============


  Log of Incidents Privileged & Confidential Information
September 28, 2001
  Wnnt'dl

April 26,	Treasury	Corp.	Corp.	Check Fraud	Fraud		Corp.	April 26,		Pending	Yes	No'
2001		Treasury	Security				Security	2001				
June 1,	Phone call	Corp.	Corp. Legal	Allegations that		Policy	Corp.	June 8,	August	Matter	Yes	No3
2001	and letter			Enron Supervisor		Violation	Legal	2001	15, 2001	investigated.		
	to Office			accepted gifts in						Allegations		
	of			exchange for						unsubstantiated.		
	Chairman			awarding contracts to								
				Third Par Vendor.								
July 30,	Email	Corp.	Corp. Legal	Letter requesting use	Fraud		Corp.	July 30,	August	Message sent to	Yes	Not
2001				of private bank			Security	2001	1, 2001	all employees		
				account to help						regarding		
				transfer $20 million						scheme		
				out of South Africa.								
August	Memo to	Corp.	Corp. Legal	Employee expressed			Corp.	August		Pending	Yes	To be
15, 2001	Office of			concerns regarding			Legal &	15, 2001				determined.
	Chairman			accounting practices			Outside					
				of Raptor & Condor			Counsel					
				transactions.								
August	Letter to	Corp.	Corp. Legal	Allegations that			Corp.	Sept 3,		Pending	Yes	To be
30, 2001	Jeff			benefits provided to			Legal and	2001				determined.
	Skilling			Employee by Cigna			Benefits					
				have been disallowed								
				in violation of Enron								
				Corp. Medical Plan								

5829sab
Additional Controls are financial, operational, or compliance based controls. In the event,
no additional controls are necessary, please see footnotes below for further explanation.
  1. Existing Control(s) functioning
  2. Not Applicable to an Internal Control
3. Unfounded Allegation

=XH004-01109

  2



=============
Page 8 of 29
=============


Log of Incidents Privileged & Confidential Information
September 28, 2001
(Cont'd)

					ALLEG	ATIONS						
DATE	How	BUSINESS	INITIAL	SUMMARY	CRIMINAL	NON-	HANDLED	DATE	DATE	RESOLUTION	MGMT. -	ADDITIONAL
REPORTED	REPORTED	UNIT	CONTACT			CRIMINAL	BY	ASSIGNED	CLOSED		BRIEFED'	CONTROLS
												NECESSARY
				^								
March	Letter to	Azurix	Azurix Legal	Allegations of		Policy	Azurix	March	August	Matter	Yes	No
30, 2001	John	Corp.		impropriety in the		Violation	Chief	30, 2001	31, 2001	evaluated by		
	Garrison			Ontario sludge			Financial			outside		
				business.			Officer			auditors. It		
										was		
										determined		
										that while		
										there were		
										some small		
										entertain ;		
										ment		
										expenses ,		
										which		
										exceeded		
										policy, no		
										fraud		
										involved.		


  5829sab
Additional Controls are financial, operational, or compliance based controls- In the event,
no additional controls are necessary, please see footnotes below for further explanation.
  1. Existing Control(s) functioning
  2. Not Applicable to an Internal Control
3_ Unfounded Allegation

  E0004397479
:XH004-01110


=============
Page 9 of 29
=============


  Log of Incidents" Privileged & Confidential Information
September 28, 2001
  (Cont'd) ~_

					ALLEG	ATIONS						
DATE	How	BUSINESS	INITIAL	SUMMARY	CRIMINAL	NON-	HANDLED	DATE	DATE	RESOLUTION	MGMT.	- ADDITIONAL
REPORTED	REPORTED	UNIT	CONTACT			CRIMINAL	BY	ASSIGNED	CLOSED		BRIEFED	CONTROLS
												NECESSARY
												
Dec 31,	EBS HR	EBS	Enron "	Employee stored guns "		Policy,	Enron	Dec 1,	Dec 31,	Employee	Yes	Not
2000			Corp.	on EBS premises in		Violation	Corp.	2000	2000	terminated.		
			Legal	Colorado.			Legal &					
							EBS HR					
Jan 9,	Corp.	EBS	Corp.	EBS VP threatened by	Personal		Corp	Jan 9,	Jan 15,		No	Not
2001	Security		Security	voicemail.	Threats		Security	2001	2001			
Feb 1,	EBS &	EBS	EBS Legal	Two former EBS	Fraud	Policy	EBS	Feb 1,	Feb 6,	Matter	Yes	Not
2001,	Enron			Employees allegedly		Violation	Legal	2001	2001	investigated.		
	Corp.			tried to hire several						Warnings given		
	Legal			other EBS Employees						to current		
				and take EBS trade						employees.		
				secrets to a competitor.								
Feb 5,	New Hire	EBS	Enron	A new employee owns		Policy	EBS	Feb 5,		Pending	Yes	Not
2001	Orienta-		Corp.	52% interest in Int'l		Violation	Legal	2001				
	lion		Legal	Telecom Co. This								
				ownership may be								
				conflict with EBS								
				policy.								
Feb 6,	Anony-	EBS	Jim	Written complaint		Policy	EBS	Feb 6,	Feb 10,	Matter	Yes	Not
2001	mous		Derrick	regarding EBS		Violation	Legal &	2001	2001	investigated.		
	Letter to			investigator's behavior			Enron			Determination		
	Jim			during interviews of			Corp.			made that		
	Derrick			EBS employees.			Legal			employee acted		
										appropriately.		


  5829sab 4
Additional Controls are financial, operational, or compliance based controls. In the event,
  no additional controls are necessary, please see footnotes below for further explanation.
1. Existing Control(s) functioning
  2. Not Applicable to an Internal Control
3. Unfounded Allegation

  E0004397480
=XH 004-01111


=============
Page 10 of 29
=============


  Log of Incidents Privileged & Confidential Information
September 28, 2001
  rr~nrrn


  5829sab 5
Additional Controls are financial, operational, or compliance based controls. In the event,
  no additional controls are necessary, please see footnotes below for further explanation.
1. Existing Control(s) functioning
  2. Not Applicable to an Internal Control
3. Unfounded Allegation

  E0004397481
=XH004-01112

February	Letter to	PBS	Corp. Legal	Employee raised		Policy	EBS	February	March	Matter	Yes	No'
11, 2001	Office of			concerns about PRC;		Violation		15, 2001	5, 2001	evaluated.		
	Chairman			wanted his PRC rating						Management		
				changed.						and HR .		
										determined		
										that the PRC		
										rating was		
										correct.		
June 4,	Email to	EBS	Corp. Legal	Employee complained	Harass-		EBS	June 4,	June 30,	Employee	Yes	Not
2001	Office of			about ethnicity	ment			2001	2001	advised that		
	Chairman			question on HR						question was		
				Questionnaire						required by		
										EEOC.		


=============
Page 11 of 29
=============


  Log of Incidents Privileged & Confidential Information
September 28, 2001
  (Cont'd)

					ALLEGA	TIONS						
DATE	How	BUSINESS	INITIAL	SUMMARY	CRIMINAL	NON-	HANDLED	DATE	DATE	RESOLUTION	MGMT.	ADDITIONAL
REPORTED	REPORTED	UNIT	CONTACT			CRIMINAL	By	ASSIGNED	CLOSED		BRIEFED	CONTROLS
												NECESSARY
												
March 8,	Harris	EES	Corp. Legal &	Harris County Constable	Harass-		EES IT	March 8,	March	Matter	Yes	Not
2001	County		Corp. IT	investigating email sent from	menu			2001	31, 2001	investigated.		
	Constable			Enron to Galena Park High						Email traced to		
				School Teacher in possible						employee of		
				violation of Texas Hate Crime						contractor and		
				Statute.						his use of		
										Enron's systems.		
										Information		
										reported to		
										contractor and		
										Harris County		
										Authorities.		
March	Phone call	EES	Corp. Security	Someone at EES poured	Harass-		Corp.	March	March	Matter	Yes	No'-
10, 2001	to Corp.			Mercury on a supervisor's	ment		Security	10, 2001	15, 2001	investigated.		
	Security			desk.								
April 3,	Anony-	EES	Corp. and	Allegation of insider trading		Policy	EES	April 3,	April 4,	Matter	Yes	No"
2001	mous		EES Legal	by EES employees in violation		Violation	Legal	2001	2001	investigated.		
	email to		and EES	of Enron Policy.						Allegation		
	Office of		Office of the							unsubstantiated.		
	Chairman		Chairman							Appropriate		
										warnings given		
										to employees.		
April 4,	Phone call	EES	Pete van de	Employee was solicited by a		Policy	EES IT	April 4,	April 30,	Unfounded	Yes	No3
2001	by		Gohm	Broker who alleged Enron		Violation		2001	2001	allegation.		
	Employee			sold him Employee data.								

5829sab
Additional Controls are financial, operational, or compliance based controls. In the event
no additional controls are necessary, please see footnotes below for further explanation.
1. Existing Control(s) functioning
  2. Not Applicable to an Internal Control
3. Unfounded Allegation



=============
Page 12 of 29
=============


  Log of Incidents Privileged & Confidential Information
September 28, 2001
  (Cont'd)

April 19,	Office of	EES	Corp. Legal	Customer of HL&P and	N/A	N/A	Corp.	April 24,	May 11,	Customer	Yes	No3
2001	Chairman			Reliant Energy requesting			Legal	2001	2001	advised to		
				relief relating to his electricity						contact,		
				bill.						Customer		
										Service of HL&P		
										and Reliant. No		
										connection to		
										
,
Mr. Lay.		
June 1,	Anony-	EES	Corp.	Letter regarding unfair		Policy	Corp.	June 1,		Pending	Yes	Not
2001	mous			treatment of an Enron		Violation	Legal	2001				
	letter to			Employee.								
	Office of											
	Chairman											


  5829sab 7
Additional Controls are financial, operational, or compliance based controls. In the event
  no additional controls are necessary, please see footnotes below for further explanation.
1. Existing Control(s) functioning
  2. Not Applicable to an Internal Control
3. Unfounded Allegation

  EC004397483
XH004-01114


=============
Page 13 of 29
=============


  Log of Incidents Privileged & Confidential Information
September 28, 2001
  (Cont'd)

					ALLEG	ATIONS						
DATE	How	BUSINESS	INITIAL	SUMMARY	CRIMINAL	NON-	HANDLED	DATE	DATE	RESOLUTION	MGMT..	ADDITIONAL
REPORTED	REPORTED	UNIT	CONTACT			CRIMINAL	BY	ASSIGNED	CLOSED		BRIEFED	CONTROLS
												NECESSARY
						Wan	W					
Feb 7,	Telephone	EGEP	EGEP HR &	EGEP Employee working with		Policy
'	EGEP	Feb 7,	Feb 15,	Employee	Yes	No2
2001	call		Legal	Consultant in violation of		Violation	Legal &	2001	2001	terminated.		
				Conflict of Interest Policy to sell			HR					
				EGEP assets.								

  - ,
5829sab. 8
  Additional Controls are financial, operational, or compliance based controls. In the event,
no additional controls are necessary, please see footnotes below for further explanation.
  1. Existing Control(s) functioning
  2. Not Applicable to an Internal Control
3. Unfounded Allegation



=============
Page 14 of 29
=============


  Log of Incidents Privileged & Confidential Information
September 28, 2001
  (Cont'd)

					ALLEG	ATIONS						
DATE	HOW	BUSINESS	INITIAL	SUMMARY	CRIMINAL	NON-	HANDLED	DATE	DATE	RESOLUTION	MGMT.	ADDITIONAL
REPORTED	REPORTED	UNIT	CONTACT			CRIMINAL	BY	ASSIGNED	CLOSED		BRIEFED	CONTROLS
												NECESSARY
n"1
LL												
Feb 1,	Phone call	ETS	Accounts	Allegations of expense	Fraud		Corp	Feb 1,	Feb 28,	Matter	Yes	Not &2
2001	to		Payable	account fraud by			Legal	2001	2001'	investigated.		
	Accounts			Supervisor and						Supervisor and		
	Payable			possibly one of her						employee		
				employees.						terminated.		
Feb 7,	Anony-	ETS	Corp.	Anonymous phone call	Not ENE	Not ENE	Corp.	Feb 7,	Feb 13,	Matter	Yes	No3
2001	mous call		Legal	regarding			Legal	2001	2001,	investigated.		
	to Office			environmental						Enron's		
	of			concerns in Louisiana.						Environmental		
	Chairman									Department		
										determined that		
										the pipeline "		
										involved was		
										not an ETS		
										pipeline.		


  5829san 9
Additional Controls are financial, operational, or compliance based controls. In the event
  no additional controls are necessary, please see footnotes below for further explanation.
1. Existing Control(s) functioning
  2. Not Applicable to an Internal Control
3. Unfounded Allegation

  E0004397485
KH004-01116


=============
Page 15 of 29
=============


Log of Incidents Privileged & Confidential Information
September 28, 2001
(Cont'd)

					ALLEGA	TIONS						
DATE	HOW	BUSINESS	INITIAL	SUMMARY	CRIMINAL	NON-	HANDLED	DATE	DATE	RESOLUTION	MGMT.	ADDITIONAL
REPORTED	REPORTED	UNIT	CONTACT			CRIMINAL	BY	ASSIGNED	CLOSED		BRIEFED	CONTROLS
												NECESSARY
												
4t Qtr.	Telephone	ENA	Corp.	Allegations that ENA VP		Policy	ENA	4th Qtr.	4th Qtr.	Management	Yes	Not
2000	call from BP		Security	fraudulently used Amex		Violation	Legal	2000	2000	determined the		
	Amoco to			card and expense account.						allegations arise		
	Corp.									as result of		
	Security									issues between		
										ENA employee		
										and employee's		
										ex-spouse.		
Jan 1,	Telephone	ENA	ENA Legal	Allegations of favorable		Policy	ENA	Dec, 2000	Jan 2,	Employee	Yes	Not
2001	call			treatment of employee by		Violation	Legal		2001	terminated.		
				supervisor due to an								
				affair between supervisor								
				and employee.								


  5829sab 10
Additional Controls are financial, operational, or compliance based controls. In the event,
  no additional controls are necessary, please see footnotes below for further explanation.
1. Existing Control(s) functioning
  2. Not Applicable to an Internal Control
3. Unfounded Allegation

  E0004397486
XH004-01117


=============
Page 16 of 29
=============


  Log of Incidents Privileged & Confidential Information
September 28, 2001
  (Cont'd)

					ALLEG	ATIONS						
DATE	How	BUSINESS	INITIAL	SUMMARY	CRIMINAL	NON-	HANDLED	DATE	DATE	RESOLUTION	MGr rr	ADDITIONAL
REPORTED	REPORTED	UNIT	CONTACT			CRIMINAL	BY	ASSIGNED	CLOSED		BRIEFED	CONTROLS
												NECESSARY
												
Jan 9,	Telephone	EWS	ENA Legal	Allegation of interference		Policy	Enron	Jan 9, 2001	Jan 31,	Individual was	Yes	Not
2001	call			with Confidentiality		Violation	Europe		2001	not hired.		
				Agreement of potential			Legal					
				new hire by two Enron								
				Metals employees.								
Feb 1,	Telephone	EWS	ENA Legal	Anonymous report from		Policy	ENA	Feb 1,	Feb 1,	Matter	Yes	No2
2001	call			ENA Sr. Management		Violation	Legal	2001	2001	investigated.		
				alleging contractor using						Findings		
				Enron s communication						unsubstantiated.		
				systems in violation of								
				Enron Policy.								
Feb 2,	ENA Legal	EWS	ENA Legal	Allegations of violation of		Policy	ENA	Feb 2,	Feb 15,	Employees	Yes	Not
2001				Enron insider trading		Violation	legal	2001	2001	terminated.		
				policy by two ENA								
				employees.								
Feb 5,	Telephone	EWS	ENA Legal	FBI arrested ENA	Fraud		ENA	Feb 5,	Feb 2001	Pending	Yes	Not
2001	call		&	Employee for his			Legal &	2001				
			Corporate	participation in an alleged			Enron					
			Security	money-laundering			Corp.					
				scheme. FBI also			Security					
				confiscated Enron								
				communications								
				equipment. p								


  5829sab 11
Additional Controls are financial, operational, or compliance based controls. In the event,
  no additional controls are necessary, please see footnotes below for further explanation.
1. Existing Control(s) functioning
  2. Not Applicable to an Internal Control
3. Unfounded Allegation

  E0004397487
:XH004-01118


=============
Page 17 of 29
=============


Log of Incidents Privileged & Confidential Information
September 28, 2001
(Cont'd)

Feb 9,	Anonymous	ENA	ENA Legal	Anonymous phone call		Policy	ENA	Feb 9,	Feb 10,	Matter	Yes	No3
2001	phone call		& Enron	alleging an ENA		Violation	Legal &	2001	2001.	investigated. No `		
			Corp.	Employee had a gun in			Corp.			weapon found.		
			Security	the Enron Building.'			Security					
March 11,	Email to	EWS	Corp.	Former Employee	N/A	N/A	Corp.	March 11,	May 1,	No payments	Yes	Not
2001	Office of		Legal	requested payment under			Legal	2001	2001	made since		
	Chairman			a consulting agreement						parties never		
				which was never						reached		
				consummated.						agreement.		
April 4,	Memo-	EWS	EWS Legal	Allegations of	Fraud		EWS	April 4,	June 4,	Allegations	Yes	Nor &3
2001	randum			wrongdoing on the			Legal &	2001 '-	2001	unsubstantiated.		
				Trakya Project in Turkey			Outside			No charges filed		
				and violation of FCPA.			Counsel			against Enron.		
April 18,	Email to	Corp.	EWS Legal	Salesman marketing a		Policy	EWS	April 18,	April 30,	Letter sent and	Yes	No'
2001	Office of			Financial Luncheon		Violation	Legal &	2001	2001	Email invitations		
	Chairman			Newsletter to Enron			IT			blocked.		
				Employees.								
May 25,	Notification	EWS	EWS Legal	Investigation of proper	Fraud		EWS	May 29,	June 10,	Matter reviewed.	Yes	Not
2001	from			procedures relating to			Legal	2001	2001 '			
	Controller's			contracts for crude oil.								
	Office in the											
	Republic of											
	Ecuador											
June 30,	Email	EWS -	EWS Legal	Allegations of ECPA	Fraud		EWS	June 1,	June 30,	Allegations	Yes	Nor
2001		Cuiaba		violations.			Legal	2001	2001	unsubstantiated.		


  5829sab 12
Additional Controls are financial, operational, or compliance based controls. In the event,
  no additional controls are necessary, please see footnotes below for further explanation.
1. Existing Control(s) functioning
  2. Not Applicable to an Internal Control
3. Unfounded Allegation

  EC004397488
XH004-01119


=============
Page 18 of 29
=============


  Log of Incidents Privileged & Confidential Information
September 28, 2001
  (Cnn+'f11

July 30,	Email	EWS	EWS Legal	A publication "Enron		Policy		July 30,	Pending	Matter under	Yes	To be
2001	message to			2001: An Inside View"		violations		2001		review.		determined.
	HR			appears to have been								
				written by two employees								
				in violation of Code of								
				Ethics.								
Sept 13,	Email	EWS	EWS Legal	Allegation of violation of	Fraud		EWS	Sept 13,	Pending	Matter under	Yes	To be
2001				Enror s Expense Account			Legal	2001		review,		determined.
				Requirements relating to								
				cell phone use, overtime,								
				and travel expense.								

5829sab 13
Additional Controls are financial, operational, or compliance based controls. In the event,
  no additional controls are necessary, please see footnotes below for further explanation.
1. Existing Control(s) functioning
  2. Not Applicable to an Internal Control
3. Unfounded Allegation


=XH004-01120



=============
Page 19 of 29
=============


Log of Incidents Privileged & Confidential Information
September 28, 2001
(Cont'd)

					ALLEG	ATIONS						
DATE	How	BUSINESS	INITIAL	SUMMARY	CRIMINAL	NON-	HANDLED	DATE	DATE	RESOLUTION	MGMT.	ADDITIONAL
REPORTED	REPORTED	UNIT	CONTACT			CRIMINAL	BY	ASSIGNED	CLOSED		BRIEFED	CONTROLS
												NECESSARY
											PON ME	
Jan 22,	ESA HR	ESA	ESA HR &	Employee made several		Policy	ESA HR	Jan 22,	Jan 31,	Oral reprimand	Yes	No'
2001			Corp. IT	attempts to access		Violation	and IT	2001	2001	of employee.		
				inappropriate sites in								
				violation of Enron Policy.								
June 23,	Email	ESA	EWS Legal	Allegations of fraud,	Fraud		EWS Legal	June 23,		Pending	Yes	To be
2001				bribery and other illicit				2001				determined.
				activities.								


  58Z9sab 14
Additional Controls are financial, operational, or compliance based controls. In the event,
  no additional controls are necessary, please see footnotes below for further explanation.
1. Existing Control(s) functioning
  2. Not Applicable to an Internal Control
3_ Unfounded Allegation

  E0004397490
XH004-01121


=============
Page 20 of 29
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  Log of Incidents Privileged & Confidential Information
September 28, 2001
  (Cont'd)

					ALLEG	ATIONS						
DATE	How	BUSINESS	INITIAL	SUMMARY	CRIMINAL	NON-	HANDLED	DATE	DATE	RESOLUTION	MGMT.	ADDITIONAL
REPORTED	REPORTED	UNIT	CONTACT			CRIMINAL	BY	ASSIGNED	CLOSED		BRIEFED	CONTROLS
												NECESSARY
	W, 77	777 4 ~7										
June 1,	Phone call	_Enron	Corp.	Employee allegations of		Policy	Corp.	June 1,	July 2,	All matters	Yes	Yes.
2001	to Jeff	Brazil -	Legal	improprieties and -		Violation	Legal,	2001	2001	investigated. Tax		Additional
	Skilling	Eletrobolt		accounting errors and			Outside			payments		accounting
		Project		unfair treatment regarding			Counsel &			collected and		procedures
				termination of			EWS Risk			Employee		implemented
				employment			Assurance			terminated due to		and approval
										his failure to meet		limits
										performance		required for
										objectives,		the project.


  5829sab 15
Additional Controls are financial, operational, or compliance based controls. In the event,
  no additional controls are necessary, please see footnotes below for further explanation.
1. Existing Control(s) functioning
  2. Not Applicable to an Internal Control
3. Unfounded Allegation

  E0004397491
XH004-01122


=============
Page 21 of 29
=============


Log of Incidents Privileged & Confidential Information
September 28, 2001
(Cont'd)

					ALLEG	ATIONS						
DATE	How	BUSINESS	INITIAL	SUMMARY	CRIMINAL	NON-	HANDLED	DATE	DATE	RESOLUTION	MGMT.	ADDITIONAL
REPORTED	REPORTED	UNIT	CONTACT			CRIMINAL	BY	ASSIGNED	CLOSED		BRIEFED	CONTROLS
												NECESSARY
												
January	Email to	Enron	Enron	Letter requesting use of	Fraud		EEL HR	January 15,	January	Message sent to	Yes	No'
15, 2001	Enron	Europe	Europe	private bank account to				2001	31, 2001	all employees		
	Europe		Legal	help transfer $20 million						regarding		
	Legal			out of South Africa						scheme.		


  5829sab 16
Additional Controls are financial, operational, or compliance based controls. In the event,
  no additional controls are necessary, please see footnotes below for further explanation.
1. Existing Control(s) functioning
  2. Not Applicable to an Internal Control
3. Unfounded Allegation

  E0004397492
:XH004-01123


=============
Page 22 of 29
=============


  Log of Incidents Privileged & Confidential Information
September 28, 2001
  (Cont'd)

					ALLEG	ATIONS						
DATE	How .	BUSINESS	INITIAL	SUMMARY	CRIMINAL	NON-	HANDLED DATE	DATE	RESOLUTION	MGMT.	ADDITIONAL
REPORTED	REPORTED	UNIT	CONTACT			CRIMINAL	BY ASSIGNED	CLOSED		BRIEFED	CONTROLS
											NECESSARY
											
July 28,	Letter to	EEL -	Corp. Legal	Allegations of improper		Policy	EEL Legal	July 31,	August	Allegations	Yes	No3
2001	Jeff	Metals		conduct and violation of		Violation		2001	26, 2001	unsubstantiated.		
	Skilling	Group		policy when senior								
				employee was terminated.								
August 7,	Phone call	EEL -	EEL Legal	Allegations of breach of		Policy	EEL Legal		August	Three senior	Yes	Not
2001	to EEL	Metals		Code of Ethics policy		Violation			15, 2001	employees		
	Legal and	Group		regarding Conflict of						terminated.		
	HR			Interests and Business								
				Ethics.								

  Additional Controls are financial, operational, or compliance based controls. In the event
no additional controls are necessary, please see footnotes below for further explanation.
1. Existing Control(s) functioning
  2. Not Applicable to an Internal Control
3. Unfounded Allegation

  EC004397493
=XH004-01124



=============
Page 23 of 29
=============


  Log of Incidents Privileged & Confidential Information
September 28, 2001
  (Cont'd)

					ALLEG	ATIONS						
DATE	How	BUSINESS	INITIAL	SUMMARY	CRIMINAL	NON-	HANDLED	DATE	DATE	RESOLUTION	MGMT.	ADDITIONAL.
REPORTED	REPORTED	UNIT	CONTACT			CRIMINAL	BY	ASSIGNED	CLOSED		BRIEFED	CONTROLS
												NECESSARY
												
August 1,	Fax to	Batangas	Corp.	Allegations of		Policy	EWS	August 3,		Pending	Yes	Not
2001	Office of	Power	Legal	inappropriate conduct by		Violation	Legal	2001				
	Chairman	Plant		management.								


  5829sab 18 `
Additional Controls are financial, operational, or compliance based controls. In the event,
  no additional controls are necessary, please see footnotes below for further explanation.
1. Existing Control(s) functioning
  2. Not Applicable to an Internal Control
3. Unfounded Allegation

  E0004397494
KH004-01125


=============
Page 24 of 29
=============


Log of Incidents Privileged & Confidential Information
September 28, 2001
(Cont'd) -:

					ALLEG	ATIONS						
DATE	How	BUSINESS	INITIAL	SUMMARY	CRIMINAL	NON-	HANDLED	DATE	DATE	RESOLUTION	MGMT.	ADDITIONAL
REPORTED	REPORTED	UNIT	CONTACT			CRIMINAL	BY	ASSIGNED	CLOSED		BRIEFED	CONTROLS
												NECESSARY
												
May 15, J	Anonymous	Enron	Corp.	Allegations of		Violation	Enron	May 15,		Pending	Yes	To be
2001	email to	India	Legal	unprofessional conduct		of Enrori s	India	2001				determined.
	Office of			and corruption in New		Values &	Legal					
	Chairman			Delhi office and Mumbai		Code of						
				office.		Ethics						
June 3,	Anonymous	Enron	Corp.	Allegations of		Policy	Enron	June 3,		Pending	Yes	To be
2001	email	India	Legal	misbehavior. Self-dealing.		Violation	India	2001				determined.
							Legal					
June 14,	Anonymous	Enron	Corp.	Allegations of violation of		Policy	Enron	June 14,		Pending	Yes	To be
2001	email to	India	Legal	Code of Ethics and payroll		Violation	India	2001				determined.
	Office of			practices.								
	Chairman											
June 14,	Email to Jeff	India	Enron	Allegations of		Policy	Enron	June 14,		Pending	Yes	To be
2001	Skilling,	Dabhol	India	malfunctioning at Dabhol		Violation	India	2001				determined.
	Rebecca	Power	Legal	Power Plant.								
	McDonald,	Corp.										
	Wade Cline											
June 19,	Anonymous	Enron	Corp.	Alleged corruption at	Fraud	Violation	Enron	June 19,		Pending	Yes	To be
2001	letter to Ken	India	Legal	Dabhol Power Plant.		of Enrori s	India	.2001				determined.
	Lay					Values	Legal					
July 28,	Email	Enron	Enron	Allegations of criminal	Fraud		Enron	July 28,		Pending	Yes	To be
2001	messages	India	India	activity relating to quarry			India	2001				determined.
			Legal	leases.			Legal					


  5829sab 19
Additional Controls are financial, operational, or compliance based controls. In the event
  no additional controls are necessary, please see footnotes below for further explanation.
1. Existing Control(s) functioning
  2. Not Applicable to an Internal Control
3. Unfounded Allegation

  E0004397495
EXH004-01126


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Page 25 of 29
=============


Log of Incidents Privileged & Confidential Information
September 28, 2001
(Cont'd)

					ALLEG	ATIONS						
DATE	How	BUSINESS	INITIAL	SUMMARY	CRIMINAL	NON-	HANDLED	DATE	DATE	RESOLUTION	MGMT.	ADDITIONAL
REPORTED	REPORTED	UNIT	CONTACT			CRIMINAL	BY	ASSIGNED	CLOSED		BRIEFED	CONTROLS
												NECESSARY
												
April 4,	Email to	Enron	Enron Japan	Unfriendly & sexually	Harass-		Enron	April 4,		Matter reported .	Yes	No'
2001	Enron	Japan	Legal	explicit postcards sent to	ment		Japan	2001		to Japanese		
	Corp.			Employees critical of						authorities.		
	Legal &			Enron's handling of the								
	EWS			proposed power plant								
	Legal			projects.								


  5829sab 20
Additional Controls are financial, operational, or compliance based controls. In the event
  no additional controls are necessary, please see footnotes below for further explanation
1. Existing Control(s) functioning
  2. Not Applicable to an Internal Control
3. Unfounded Allegation

  EC004397496
XH004-01127


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Page 26 of 29
=============


  Log of Incidents Privileged & Confidential Information
September 28, 2001
  (Cont'd)

					ALLEG	ATIONS						
DATE	How	BUSINESS	INITIAL	SUMMARY	CRIMINAL	NON-	HANDLED	DATE	DATE	RESOLUTION	MGMT.	ADDITIONAL
REPORTED	REPORTED	UNIT	CONTACT			CRIMINAL	BY	ASSIGNED	CLOSED		BRIEFED	CONTROLS
												NECESSARY
							i					
April 6,	Email to	EOG	Corp.	Landowner of well	N/A	N/A	Corp.	April 9,	May 11,	Landowner	Yes	No2
2001	Ken Lay	Resources	Legal	requested help to resolve			Legal	2001	2001	referred to EOG		
				
issues.			
referred to
d			
Resources.		
							EOG					
							Resources					


5829sab 21
Additional Controls are financial, operational, or compliance based controls. In the event,
  no additional controls are necessary, please see footnotes below for further explanation.
1. Existing Control(s) functioning
  2. Not Applicable to an Internal Control
3. Unfounded Allegation


EXH004-01128



=============
Page 27 of 29
=============


  Log of Incidents Privileged & Confidential Information
September 28, 2001
  (Cont'd)

					ALLEG	ATIONS						
DATE	How	BUSINESS	INITIAL	SUMMARY	CRIMINAL	NON-	HANDLED	DATE	DATE	RESOLUTION	MGMT.	ADDITIONAL
REPORTED	REPORTED	UNIT	CONTACT			CRIMINAL	BY	ASSIGNED	CLOSED		BRIEFED	CONTROLS
												NECESSARY
												
June 11,	Letter to	Marianas	Enron	Letter from attorney		Policy	Human	June 15,		Pending.	Yes	To be
2001	Enron	Energy	Corp.	alleging unfair treatment		Violation	Resources	2001				determined.
	Compliance	Co.	Legal	of Employee.								
	Officer											


5829sab
Additional Controls are financial, operational, or compliance based controls. In the event,
no additional controls are necessary, please see footnotes below for further explanation.
  1. Existing Control(s) functioning
  2. Not Applicable to an Internal Control
3. Unfounded Allegation


EXH004-01129



=============
Page 28 of 29
=============


  Log of Incidents Privileged & Confidential Information
September 28, 2001
  (Cont'd)

DATE	How	BUSINESS	INITIAL	SUMMARY	ALLEGATIONS	HANDLED	DATE	DATE	RESOLUTION	MGMT..	ADDITIONAL
REPORTED	REPORTED	UNIT	CONTACT		Criminal	NON-	BY	ASSIGNED	CLOSED		BRIEFED	CONTROLS
NECESSARY
						CRIMINAL						
	
" USA,											'
Jan 5,	Phone	NEPCO	OEC/NEPCO '	Employee misuse of petty		Policy	HR &	Jan 5,	Jan 15,	Employee	Yes	No
2001	call		HR	cash and Company Amex		Violation	Corp.	2001	2001	terminated.		
				card.			Legal					
March 28,	Phone	OEC	OEC HR	Former girlfriend of OEC		Policy	HR	March	April	Oral reminder to	Yes	No''-
2001	call to			Employee alleges		Violation		28, 2001	30, 2001	Employee.		
	HR			telephone harassment by						Employee		
				the Employee.						resigned.		
May 7,	Memo to	NEPCO	HR	Allegations of unethical		Policy	HR	May 7,	June 14,	Allegations	Yes	No3
2001	HR			behavior by VP,		Violation		2001	2001	unsubstantiated.		
				Procurement/ Contracts.								


5829sab 23,
Additional Controls are financial, operational, or compliance based controls. In the event,
  no additional controls are necessary, please see footnotes below for further explanation.
1. Existing Control(s) functioning
  2. Not Applicable to an Internal Control
3. Unfounded Allegation



=============
Page 29 of 29
=============


  Log of Incidents Privileged & Confidential Information
September 28, 2001
  (Cont'd)

					ALLEG	ATIONS						
DATE	How	BUSINESS	INITIAL	SUMMARY	CRIMINAL	NON-	HANDLED	DATE	DATE	RESOLUTION	MGMT.	ADDITIONAL'
REPORTED	REPORTED	UNIT	CONTACT			CRIMINAL	BY	ASSIGNED	CLOSED		BRIEFED	CONTROLS
												NECESSARY;
						ENE						
March 26,	Letter to	Northern	Corp.	Allegation that Company		Policy	Northern	April 12,	April 30,	Safety and	Yes	No2
2001	Enron	Border	Legal	policy requiring all		Violation	Border	2001	2001	Transportation		
	Compliance	Pipeline		employees to park			Pipeline			Rules changed		
	Officer			Company vehicles at their			Legal			May 15, 2001.		
				respective worksites, lacks								
I
				integrity, causes safety								
				concerns, and unfairly								
II
				impacts Employees'								
				compensation and								
				benefits.								
July 20,	Email to	Northern	Corp.	Allegations of		Policy	Northern	July 25,		Pending	Yes	Pending
2001	Office of	Border	Legal	mismanagement at Bear		Violation	Border	2001				
	Chairman	Pipeline		Paw Energy.			Pipeline					
							Legal					


5829sab
Additional Controls are financial, operational, or compliance based controls. In the event,
no additional controls are necessary, please see footnotes below for further explanation.
1. Existing Control(s) functioning
  2. Not Applicable to an Internal Control
3. Unfounded Allegation

24


E00043975C


EXH004-01131