You And The Government

You And The Government 

A. Overview

By the nature of our business, as an employee or representative of Entergy, you may come into contact with government officials. Laws and regulations affect virtually all of our business activities. Many of these government requirements are discussed in other sections of the Code, but there are a number of provisions that have not been addressed that are captured in this section. This section of the Code also addresses special provisions that apply when the Company does business with the government. We are committed to high ethical, moral and legal standards of business in dealing with government employees and officials.

The discussions that follow in this section of the Code summarize some of the Company’s key policies relating to your responsibilities to the government. Please read and understand the details of any of the policies referenced below that affect your work.

Policies relating to government rules and regulations, or interactions with the government:

• AFFILIATE INTERACTIONS
• ELECTRIC RELIABILITY STANDARDS
• ELECTRONIC INFORMATION SECURITY
• FERC COMPLIANCE
• GOVERNMENT CONTRACTS
• GOVERNMENT INVESTIGATIONS
• INDEPENDENT AUDITOR
• LEGAL ENTITY MANAGEMENT & COMPLIANCE
• LEGAL SERVICES POLICIES AND PROCEDURES
• NUCLEAR POLICIES AND OPERATING PROCEDURES
• POLITICAL ACTIVITY - CONTRIBUTIONS, LOBBYING AND ELECTIVE OFFICE
• PROTECTION OF INFORMATION
• SERVICE ON BOARDS OF UNAFFILIATED ENTITIES
• SAFETY, HEALTH AND ENVIRONMENT

B. Environment

We will perform our jobs in an environmentally conscious manner. Environmental laws, regulations, and orders affect many areas of the Company’s business, including restrictions on hazardous and toxic materials, air and water emissions, and waste disposal. Entergy is committed to compliance with environmental regulations and expects you to be personally conscientious in following proper environmental procedures in your daily work. You must immediately report any actual, suspected or potential environmental compliance issues.

C. Safety

We will perform our jobs in a manner that complies with occupational safety and health laws and regulations.

D. Nuclear

We will comply with all laws, regulations, licensing requirements, commitments and orders related to nuclear power plant operations in order to meet the highest achievable levels of operating safety. All nuclear employees are encouraged to report any concerns they may have related to nuclear plant operations without fear of retaliation or discrimination of any kind.

E. Affiliate Transactions

Federal, state and local regulatory agencies have implemented rules that regulate market behavior. These “Affiliate Rules” generally focus on assuring that any control utilities may have over critical functions is not used to unfairly benefit affiliated companies or functions or to unfairly disadvantage competitive market participants or customers. The restrictions contained in the Affiliate Rules generally apply to interactions between (1) Entergy affiliates and functions that serve regulated customers or that operate critical facilities, such as transmission systems (referred to as “Regulated Functions” for purposes of this discussion), and (2) Entergy affiliates and functions that participate in competitive energy markets (referred to as “Market Functions” for purposes of this discussion). In general:

• Regulated Functions may not provide an unfair competitive advantage or undue preferential treatment to Market Functions.
• Regulated Functions may not allow the inappropriate transfer of non-public information to Market Functions.
• Regulated Functions may not subsidize Market Functions.
• Regulated Functions and Market Functions may not cause customers to believe they must utilize the service of a Market Function to receive service from a Regulated Funtion.

It is your obligation to determine whether particular interactions with Entergy affiliates and functions may be a violation of laws or regulations before you enter into the interaction. Appropriate policies and compliance plans have been established to provide guidance in this area. If you have any questions, you should contact the Legal Services Department or the Affiliate Rules Compliance Section.

F. Copyright, Trademark and Patent Infringement

Copyright laws prohibit the unauthorized use, duplication or distribution of copyrighted works. This may include computer software, printed articles from publications, TV and radio programs, videotapes, diskettes, files, CD-ROMs, music performances, photographs, training materials, manuals, documentation, software programs, databases and World Wide Web pages. You may not use, reproduce, access, modify, download, distribute or otherwise copy, any copyrighted, trademarked, or patented works of others, including licensed computer software and related documentation, without written authorization of the owner. Further, you may not allow others to use Company resources to do so. Unauthorized duplication, use or distribution of such materials could result in legal liability. This includes unauthorized distribution through e-mail communications. Note that Entergy has obtained a repertory license from the Copyright Clearance Center (“CCC”) permitting it to make photocopies of portions of CCC’s registered published works (over 1.5 million). The CCC license permits unlimited copies to be distributed to Entergy employees for internal use only. It does not permit distribution outside of Entergy.

G. Legal Retention/Service of Process

In-house lawyers within Entergy’s Legal Services Department will retain and direct outside legal counsel, except that Entergy’s General Tax Counsel may hire and manage outside tax counsel and advisors. No individual business units or managers are permitted to hire or manage outside counsel or accounting firms to perform legal or tax work. The Company has appointed agents to receive service of legal documents (e.g., consent administrative orders, notices of violations, subpoenas, etc.). If you have not been appointed to receive service of legal documents, you are not authorized to do so and should direct the person attempting to deliver the legal documents to the appropriate person. Should you nonetheless receive legal documents, immediately notify the Legal Services Department.

H. Political Contributions

Entergy supports and encourages your participation in the political process. You may contribute personal funds to campaigns or political parties. Various laws prohibit the Company from contributing directly or indirectly to political campaigns or activities.

I. Government Contracts

The opportunity of contracting with federal, state, or local governments presents special obligations. Entergy must comply with the laws and regulations that apply to government contracting to avoid legal penalties and sanctions. The Company is subject to regulations governing procurement and contracts. Affected employees have an obligation to familiarize themselves with applicable rules and regulations.

J. Government Investigations

All government requests for investigative interviews or documents should be referred to Legal Services for review and further instruction.