Ethics Office Conflicts of Interest Insider Trading Information Corp. Security Fraud

1. PROCESS FOR REPORTING AND RESOLVING CONCERNS Concern Reported Concern Assigned for Investigation Determination Made on Whether Concern is Substantiated Corrective and other Actions Taken Compilation and Reporting of Concern Resolution Activity • Individual reports concern about unsafe or improper business conduct to: • Supervisor or manager • Ethics office (1-800-23-ETHIC), or via mail or email • Corporate Security • Internal Auditing Services • Human Resources • Nuclear Division Employee Concerns Program • Legal • Ethics Office • Conflicts of Interest • Insider Trading Information • Corp. Security • Fraud • Misuse of Company Assets • Internal Audit • Accounting/ Financial • Document Management Retention • HR (Corp or BU) • Harassment • Discrimination • Workplace Violence • Other • Nuclear* (Employee Concerns Program) • NS/Q • HIRD • Legal • Retaliation • Anti-trust • Lobbying • Government Relations • Regulatory Codes • Accounting, Internal Audit Controls or Financial Practices • Anti-trust/unfair competition • Conflicts of Interest • Personal Financial Interests • Outside Employment or Activity • Corporate Opportunities • Gifts, Gratuities, Entertainment • Document Management Retention • Employment • Harassment • Discrimination • Safety & Health • Workplace Violence • Drugs & Alcohol • Environment • Gifts or Entertainment Provided to Government Representatives • Fraud • Insider Trading Information • Intellectual property • Lobbying • Misuse of Company Assets • Property • Information • Funds • Other Specific Company Policy • Regulatory Codes • IL Code • PA Code • FERC • Reporting Records Accurately & Honestly • Retaliation • Corrective Action • Implement corrective actions necessary to resolve concerns substantiated • Document corrective action • Report resolution and corrective actions taken or planned to reporting individual • Verify Non-Reprisal • Consult with reporting individual to verify no reprisals taken for reporting the concern • Discipline • Consider appropriate discipline under progressive discipline policy for individuals found to have engaged in improper conduct • Consider mitigating factors (nature of offense, past record, awareness of policy) • Report on status of concerns and resolution to executive officers and Audit Committee as appropriate • Compile Quarterly Report for executive officers and Audit Committee *NS/Q – Nuclear Safety/Quality *HIRD – Harassment, Intimidation, Retaliation, and Discrimination