Document:

Filed by Bowne Pure Compliance

Exhibit 10.74

FOURTH AMENDMENT TO THE DYNEGY INC. COMPREHENSIVE WELFARE

BENEFITS PLAN

Effective 4/20/05

WHEREAS, the Health Insurance Portability and Accountability Act of 1996 (the “Act”) and
regulations promulgated thereunder at 45 C.F.R. Part 164, subpart C (“HIPAA Security Regulations”)
impose certain obligations on group health plans and plan sponsors with respect to electronic
protected health information;

WHEREAS, Section 8.1 of the Dynegy Inc. Comprehensive Welfare Benefits Plan, effective as of
January 1, 2002, and as subsequently amended (the “Plan”), provides that Dynegy Inc. (the
“Company”) may amend the Plan and any or all Constituent Benefit Programs incorporated therein;
and

WHEREAS, effective April 20, 2005, the Company implemented its program of compliance with the
HIPAA Security Regulations;

WHEREAS, reflecting such de facto compliance, the Company desires to formally adopt and
execute an amendment to the Plan to comply with certain requirements of the HIPAA Security
Regulations;

NOW, THEREFORE, in consideration of the premises above, effective April 20, 2005, Article XIV
of the Plan shall be, and hereby is amended in the following respects:

 

 

 

I.

Section 14.1 of the Plan is hereby deleted and replaced in its entirety by the following:

14.1 Purpose of Article.

The purpose of this Article XIV is to cause the Plan to comply with the Health
Insurance Portability and Accountability Act of 1996 (the “Act”) and the regulations
adopted thereunder at 45 C.F.R. Parts 160 and 164, subparts C and E (the
“Regulations”). This Article is to be construed and interpreted in accordance with
such purposes. Terms used in this Article shall have the meanings set forth in the
Regulations. In the event of a conflict between a Plan definition of a term and that
provided in the Regulations, the definition in the Regulations shall govern for
purposes of this Article XIV.

II.

New subsections (11) and (12) are added to Section 14.4 of the Plan to provide as follows:

(11) The Company will implement administrative, physical, and technical
safeguards that reasonably and appropriately protect the confidentiality,
integrity, and availability of the electronic PHI that it creates, receives,
maintains or transmits on behalf of the Plan (except with respect to
enrollment and disenrollment information, SHI and PHI disclosed
pursuant to an authorization under Section 164.508 of the Regulations)
and shall ensure that any agents (including subcontractors) to whom it
provides such electronic PHI agree to implement reasonable and
appropriate security measures to protect such information; and

(12) The Company will report to the Plan any security incident of which it becomes aware.

III.

The following sentence is added to the end of 14.5(1) of the Plan:

The Company will ensure that the provisions of this Section 14.5 are supported by
reasonable and appropriate security measures to the extent that the designees have
access to electronic PHI.

 

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IV.

A new Section 14.8 is added to the Plan to provide as follows:

14.8 Security Officer. The Company shall appoint a security officer
for the Plan. The Company may remove the Plan’s then existing security officer at
any time upon written notice provided that the Company has appointed a successor
security officer for the Plan. Any security
officer appointed for the Plan shall signify his or her consent to act as security
officer for the Plan in writing to the Company. in general, the security officer
shall have the responsibility to oversee all ongoing activities related to the
development, implementation, maintenance of, and adherence to the Plan’s policies
and procedures covering the security of, and access to electronic personal and
protected health information in compliance with the federal and state laws and the
Plan’s information security practices. The Plan security officer’s duties and
responsibilities shall focus upon the operation and administration of the Plan
(including activities conducted via the services of insurers, business associates,
such as third-party administrators, COBRA vendors and utilization review
organizations, and employees and agents of the Company) and the activities of the
Company regarding the Plan in its capacity as sponsor of the Plan. In order to carry
out such general powers, duties and responsibilities, the Plan’s security officer
shall have such specific powers, duties and responsibilities as may be specified
from time to time by the Company or its designee.

IV.

Except as modified herein, the Plan shall remain in full force and effect.

IN WITNESS WHEREOF, the undersigned has caused this Fourth Amendment to the Plan to be
executed this 6 day of September 2005, to be effective as provided above.

	 	 	 	 	 
	 	DYNEGY INC.

 	 
	 	By:  	/s/ J. Kevin Blodgett	 
	 	 	Title:  	Sr VP
Human Resources	 

 

3Filed by Bowne Pure Compliance

Exhibit 10.75

FIFTH AMENDMENT TO

DYNEGY INC.

COMPREHENSIVE WELFARE BENEFITS PLAN

WHEREAS,
Dynegy Inc. (“Dynegy”) and certain of its affiliates have previously adopted the
Dynegy Inc. Comprehensive Welfare Benefits Plan (the “Plan”) which includes components that are
“group health plans” for purposes of the protected health information privacy rules enacted under
the Health Insurance Portability and Accountability Act of 1996 (the “Act”) and the regulations
promulgated thereunder (the “Regulations”); and

WHEREAS, Dynegy desires to amend the Plan with regard to certain privacy requirements imposed
under the Act and Regulations on behalf of itself and all affiliates; and

WHEREAS, the Plan is a “hybrid entity,” as such term is defined in section 164.103 of the
Regulations, which has designated those of its components that constitute “health care components,”
as such term is defined in section 164.103 of the Regulations, has documented such designation as
required pursuant to section 164.105(c)(1) of the Regulations and has established adequate
separation between such health care components and the non-health care components as required by
section 164.504 of the Regulations such that the terms of this Plan amendment shall only apply with
respect to the designated health care components of the Plan; and

WHEREAS, such designated health care components of the Plan consist of the following (as such
components are identified on Appendix B to the Plan document): the Dynegy Inc. Group Medical Plan,
the Dynegy Inc. Employee Assistance Plan, the Dynegy Inc. Health Care Spending Account Program; the
Dynegy Inc. Health Care Spending Account Program for Employees Covered Under a Collective
Bargaining Agreement; and the medical benefits program of Medical and Group Term Life Insurance
Plan for Retirees and Surviving Spouses;

NOW, THEREFORE, the Plan shall be and hereby is amended as follows, effective as hereinafter
provided:

1. Effective as of April 14, 2003, Article XIV of the Plan is hereby amended in its entirety
to provide as follows:

 

 

 

“ARTICLE XIV

RESTRICTIONS REGARDING

PROTECTED HEALTH INFORMATION

14.1 Purpose of Article. The purpose of this Article XIV is to cause the Plan to
comply with the Act and the Regulations. This Article is to be construed and interpreted in
accordance with such purposes. Terms used in this Article shall have the meanings set forth in the
Regulations. In the event of a conflict between a Plan definition of a term and that provided in
the Regulations, the definition in the Regulations shall govern for purposes of this Article XIV.

14.2 Definitions. For purposes of this Article XIV, the following terms shall have the
following meanings:

	 	(A)	 	Act: The Health Insurance Portability and Accountability Act
of 1996.

	 
	 	(B)	 	Benefit Plans Committee: The Dynegy Inc. Benefit Plans Committee.

	 
	 	(C)	 	Business Associate: individual or entity, other than an
employee of the Employer, that provides services to the Plan, such as a third
party administrator, COBRA vendor or utilization review organization.

	 
	 	(D)	 	Contact Person: The person appointed to serve as contact
person pursuant to Section 14.8 and Article III of the Manual for purposes of
complaints.

	 
	 	(E)	 	Health Component: Any of the health components of the
Plan designated as such by the Benefit Plans Committee consisting of: the Dynegy
Inc. Group Medical Plan; the Dynegy Inc. Employee Assistance Plan; the Dynegy
Inc. Health Care Spending Account Program; the Dynegy Inc. Health Care Spending
Account Program for Employees Covered Under a Collective Bargaining Agreement;
the medical benefits program of Medical and Group Term Life Insurance Plan for
Retirees and Surviving Spouses; and any health maintenance organization offered
as a benefit alternative under the Plan.

	 
	 	(F)	 	Manual: The Dynegy Inc. Comprehensive Welfare Benefits Plan
Protected Health Information Policies and Procedures.

 

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	 	(G)	 	Non-Health Components: Components of the Plan other than the Health
Components.

	 
	 	(H)	 	PHI: Individually identifiable health information which is
protected pursuant to the Act and the Regulations.

	 
	 	(H)	 	Privacy Officer: The individual or entity appointed to serve
as the Plan’s Privacy Officer pursuant to Section 14.7 and Article III of the
Manual.

	 
	 	(I)	 	Regulations: The regulations promulgated pursuant to the Act
at 45 C.F.R. Parts 160 and 164, Subpart E and, effective as of April 20, 2005,
Subpart C.

	 
	 	(J)	 	Security Officer: Effective as of April 20, 2005, the
individual or entity appointed to serve as the Plan’s Security Officer pursuant to
Section 14.10.

	 
	 	(K)	 	SHI: Information that summarizes the claims history, claims
expense or type of claims experienced by covered persons under the Plan as such
term is described in Section 164.504 of the Regulations.

14.3 Provision of Information to the Employer Pursuant to Authorization. A Health
Component may at any time disclose to and the Employer may receive from a Health Component
PHI if such disclosure and use is pursuant to and in accordance with a valid authorization
from the individual who is the subject of such information.

14.4 Provision of Summary Health Information to Employer. The Employer may receive
from a Health Component and use PHI if the information consists solely of SHI and only if the
Employer certifies to the fiduciaries of the Plan that the information is being requested for
one or more of the following:

	 	(A)	 	For the purpose of enabling the Employer to obtain premium bids
from health insurers for providing health insurance coverage under the Health
Component;

	 
	 	(B)	 	For purposes of determining whether and, if so, how to modify or
amend the Health Component; or

	 
	 	(C)	 	For purposes of determining whether and, if so, how to terminate
the Health Component, in whole or in part.

 

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14.5 General Provision of Health Information to Employer.
The Employer may receive from a Health Component and use PHI if (i) the Employer certifies in
writing to the Plan’s fiduciaries that the Plan incorporates the restrictive provisions described
in items (A) through (L) below with respect to its Health Components and the separation
requirements described in Section 14.6 below and (ii) the Employer agrees to comply with the
following restrictions and requirements regarding the PHI which is provided by a Health Component
to the Employer:

	 	(A)	 	The Employer will not use or further disclose the information other
than as permitted or required by the Plan documents or as required by law or the
Regulations as set forth in the Manual;

	 
	 	(B)	 	The Employer will ensure that any agents, including a subcontractor, to whom it
provides PHI received from a Health Component agree to the same restriction and conditions that apply to the Employer with respect to such information;

	 
	 	(C)	 	The Employer will not use or disclose the information for employment-related
actions and decisions or in connection with any other benefit or employee benefit plan
of the Employer;

	 
	 	(D)	 	The Employer will report to the Plan any use or disclosure of the information that
is inconsistent with the uses or disclosures provided for of which it becomes aware;

	 
	 	(E)	 	The Employer will make PHI available to Participants in accordance with Section
164.524 of the Regulations as set forth in the Manual;

	 
	 	(F)	 	The Employer will provide Participants with the right to amend their PHI and will
incorporate any amendments to PHI in accordance with Section 164.526 of the Regulations
as set forth in the Manual;

	 
	 	(G)	 	The Employer will provide to Participants an accounting of disclosures of their
PHI for reasons other than treatment, payment or health’ care operations or
pursuant to an authorization in accordance with Section 164.528 of the Regulations as
set forth in the Manual;

 

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	 	(H)	 	The Employer will make its internal practices, books and records relating to the
use and disclosure of PHI received from a Health Component available to the Secretary
of Health and Human Services for purposes of determining compliance by the Health
Component with the Regulations;

	 
	 	(I)	 	If feasible, the Employer will return or destroy all PHI received from a Health
Component that the Employer still maintains in any form and retain no copies of such
information when no longer needed for the purpose for which disclosure was made or if
such return or destruction is not feasible, the Employer will limit further uses and
disclosures to those purposes that make the return or destruction of the information
infeasible;

	 
	 	(J)	 	The Employer will ensure the adequate separation required pursuant to Section 14.6
below;

	 
	 	(K)	 	Effective as of April 20, 2005, the Employer will implement administrative,
physical, and technical safeguards that reasonably and appropriately protect the
confidentiality, integrity, and availability of the electronic PHI that it creates,
receives, maintains or transmits on behalf of the Plan (except with respect to
enrollment and disenrollment information, SHI and PHI disclosed pursuant to an
authorization under Section 164.508 of the Regulations) and shall ensure that any
agents (including subcontractors) to whom it provides such electronic PHI agree to
implement reasonable and appropriate security measures to protect such information; and

	 
	 	(L)	 	Effective as of April 20, 2005, the Employer will report to the Plan any security
incident of which it becomes aware.

14.6 Adequate Separation. At all times, there shall be adequate separation between (i)
the Health Components and the Employer and (ii) the Health Components and the Non-Health
Components in accordance with the requirements imposed pursuant to Section 164.504(f)(2)(iii) and
Section 164.105(a)(2)(ii) of the Regulations. In order to comply with such adequate separation
requirements:

	 	(A)	 	The only employees, classes of employees or other persons under the control of
the Employer to be given access to PHI disclosed to the Employer or who receive PHI
relating to treatment, payment under, health care operations of, or other matters
pertaining to a Health Component in the ordinary course of business are those identified in new Appendix C to the
Plan, a copy of which is attached hereto. Appendix C to the Plan may be revised and updated at
the direction of the Privacy Officer. Effective as of April 20, 2005, the Employer will ensure
that the provisions of this Section 14.5 are supported by reasonable and appropriate security
measures to the extent that the designees have access to electronic PHI.

 

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	 	(B)	 	The access to and use by the Employer and the other individuals and entities
described in item (A) above is restricted to (i) the Plan sponsor functions with respect
to which the Firm is entitled to receive SHI pursuant to Section 14.4 above, (ii) uses
and disclosures described in an authorization by a Plan Participant, (iii) uses and
disclosures that are described to Plan Participants in the Plan’s notice of privacy
practices and (iv) the Health Component administration functions that the Employer
performs in connection with the operation and administration of the Health Component
consisting of:

(i) Any of the following activities of the Health Component:

	 	(1)	 	conducting quality assessment and improvement activities
(provided that the obtaining of generalizable knowledge is not the primary
purpose of any studies resulting from such activities) and related
functions that do not include medical treatment;

	 
	 	(2)	 	evaluating health plan performance;

	 
	 	(3)	 	underwriting, premium rating, and other activities relating
to the creation, renewal or replacement of a contract of health insurance
or health benefits, and ceding, securing, or placing a contract for reinsurance
of risk relating to claims for health care (including stop-loss insurance
and excess of loss insurance), provided that the
requirements of Section 164.514 of the Regulations are met, if applicable;

 

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	 	(4)	 	conducting or arranging for medical review, legal services, and
auditing functions, including fraud and abuse detection and compliance
programs;

	 
	 	(5)	 	business planning and development, such as conducting
cost-management and planning-related analyses related to managing and operating
the Health Component, including development or improvement of methods of payment
or coverage policies; and

	 
	 	(6)	 	business management and general administrative activities of
the Health Component, including, but not limited to management activities
relating to implementation of and compliance with the requirements of the Act and
the Regulations; Health Component participant service activities, including the
provision of data analyses, provided that protected health information is not
disclosed unless such disclosure is permissible under the Act and the
Regulations; resolution of internal grievances; consistent with the applicable
requirements of Section 164.514 of the Regulations, creation of deidentified
health information.

(ii) Activities undertaken by the Health Component to obtain premiums or to determine or
fulfill its responsibility for coverage and provision of benefits under the Health Component; or to
obtain or provide reimbursement for the provision of health care; and the following activities to
the extent they relate to the individual(s) to whom health care is provided by the Health
Component:

	 	(1)	 	determinations of eligibility or coverage (including coordination
of benefits or the determination of cost sharing amounts), and adjudication or
subrogation of health benefit claims;

 

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	 	(2)	 	risk adjusting amounts due based on enrollee health status and demographic
characteristics;

	 
	 	(3)	 	billing, claims management, collection activities, obtaining
payment under a contract for reinsurance (including stop-loss insurance and
excess of loss insurance), and related health care data processing;

	 
	 	(4)	 	review of health care services with respect to medical necessity,
coverage under the Health Component, appropriateness of care, or
justification of charges;

	 
	 	(5)	 	utilization review activities, including precertification and
preauthorization of services, concurrent and retrospective review of services;
and

	 
	 	(6)	 	disclosure to consumer reporting agencies of any of
the following protected health information relating to collection of
premiums or reimbursement; name and address; date of birth;
social security number; payment history; account number; and name and address of
the health care provider and/or the Health Component.

	 	(C)	 	In the event that any person described in item (A) of this section fails to
comply with any of the requirements of this section or of section 14.5 above, the
noncompliance shall be reported to the Plan’s Privacy Officer in a report describing the
name of the noncompliant person and a summary of the details regarding such person’s
noncompliance. Upon receipt of such report, the Plan’s Privacy Officer shall solicit a
response from the person who has been reported as noncompliant giving such person the
opportunity to contest the charge of noncompliance or to offer justification or other
reasons why sanctions should not be imposed with respect to the noncompliance. The
Plan’s Privacy Officer shall, after considering all details and facts and circumstances
relating to an alleged act of noncompliance for which sanctions may be imposed
pursuant to this item determine if a  

 

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sanction
should be imposed (which sanction may
range from a warning that subsequent acts of noncompliance may result in significant
penalties to proposed dismissal from employment or termination of contract, as
applicable). Upon determination of a sanction and if the sanction may be imposed under
the authority of the Plan’s Privacy Officer, the sanction shall be imposed. If the
sanction requires action of the Employer, the Plan’s Privacy Officer shall confer with
the appropriate executives of the Employer. If the Employer, following consideration of
a proposed sanction from the Plan’s Privacy Officer for noncompliance with the
requirements of sections 14.5 and 14.6 by a person or entity, determines not to impose
such sanction, the Employer shall advise the Plan’s Privacy Officer. In such event, the
Plan’s Privacy Officer must consider and propose an alternative sanction for the
noncompliant person or entity.

14.7 Privacy Officer. The Benefit Plans Committee shall appoint a Privacy Officer for
the Plan. The Benefit Plans Committee may remove the Plan’s then existing Privacy Officer at any
time upon written notice provided that the Benefit Plans Committee has appointed a successor
Privacy Officer to serve and such successor Privacy Officer has consented to act as Privacy Officer
for the Plan. The Plan Privacy Officer shall have the responsibility to oversee all ongoing
activities related to the development, implementation, maintenance of, and adherence to the Plan’s
policies and procedures covering the privacy of, and access to, personal health information in
compliance with federal and state laws and the Plan’s information privacy practices. The Plan
Privacy Officer’s duties and responsibilities focus upon the operation and administration of the
Plan (including activities conducted via the services of insurers, business associates, such as
third-party administrators, COBRA vendors and utilization review organizations, and employees and
agents of the Employer) and the activities of the Employer regarding the Plan in its capacity as
sponsor of the Plan. In order to carry out such general powers, duties and responsibilities, the
Plan’s Privacy Officer shall have the following specific powers, duties and responsibilities:

	 	(A)	 	To develop and propose to the Plan fiduciaries a protected health information
policy for the Plan, which policy when adopted shall become the Privacy Policy.

	 
	 	(B)	 	To provide development guidance and assist in the identification,
implementation, and maintenance of information privacy policies and
procedures in coordination with management and administration, and legal counsel.

 

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	 	(C)	 	To perform initial and periodic information privacy risk assessments and
conduct related ongoing compliance monitoring activities in coordination with
information privacy compliance and operational assessment functions.

	 
	 	(D)	 	To work with legal counsel and management, key departments, and
committees to ensure the Employer has and maintains appropriate privacy and
confidentiality consent, authorization forms, and information notices and materials
reflecting current organization and legal practices and requirements.

	 
	 	(E)	 	To oversee, direct, deliver or ensure delivery of initial and privacy training
and orientation to all individuals in the Employer’s workforce who may have access to
PHI in connection with the Plan.

	 
	 	(F)	 	To participate in the development, implementation, and ongoing compliance
monitoring of all trading partner and business associate agreements as a means of
ensuring that all privacy concerns, requirements, and responsibilities are addressed.

	 
	 	(G)	 	To track and monitor access to PHI within the Employer in connection with the
operation and administration of the Plan and its sponsorship by the Employer.

	 
	 	(H)	 	To establish rules to determine when to allow qualified individuals to review or
receive a report on PHI privacy activity.

	 
	 	(I)	 	To work cooperatively with the Human Resources Department and other applicable
Employer offices/personnel in overseeing Plan Participants’ rights to inspect, amend and
restrict access to PHI when appropriate.

	 
	 	(J)	 	To establish and administer a process for receiving, documenting, tracking,
investigating and taking action on all complaints concerning privacy policies and
procedures in coordination and collaboration with other similar functions and, when
necessary, with legal counsel.

	 
	 	(K)	 	To ensure compliance with privacy practices and consistent application of
sanctions for failure to comply with Plan privacy policies for all individuals
in the Employer’s workforce.

 

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	 	(L)	 	To initiate, facilitate and promote activities to foster information privacy
awareness within the Employer.

	 
	 	(M)	 	To review all system-related information security plans throughout the Employer’s
network to ensure alignment between security and privacy practices and to act as a
liaison to the information systems department.

	 
	 	(N)	 	To work with all Employer personnel and Business Associates to ensure full
coordination and cooperation under the Plan’s privacy policies and procedures and legal
requirements.

	 
	 	(O)	 	To maintain current knowledge of applicable federal and state privacy laws and
monitor advancements in information privacy technologies to ensure organizational
adaptation and compliance.

14.8 Contact Person. As provided in the Manual, the Benefit Plans Committee shall appoint
a Contact Person (which may be the same individual, office or entity as is serving as the Privacy
Officer). The Benefit Plans Committee may remove the Plan’s then existing Contact Person at any
time upon written notice provided that if the Benefit Plans Committee has not appointed a successor
Contact Person to serve, the Privacy Officer shall serve as the Contact Person. The Contact Person
shall have the duties and responsibilities set forth in the Manual.

14.9 Disciplinary Proceedings. The purpose of this Section 14.9 is to establish
appropriate disciplinary sanctions and proceedings with respect to failures to comply with the
privacy standards established by the Act and the Regulations or the policies and procedures set
forth in the Manual. Any complaint brought pursuant to the Plan’s complaint procedure which
involves an alleged failure to comply with HIPAA, the Regulations, the terms of this Amendment
or the Manual shall be referred to the Privacy Officer for consideration as to
disciplinary sanctions and proceedings under this Section 14.9. Similarly, if the Privacy
Officer becomes aware of any other failure to comply with HIPAA, the Regulations, the terms of this
amendment or the Manual, the Privacy Officer shall consider whether such matter is appropriate for
disciplinary sanctions and proceedings under this Section 14.9. If the complaint or other failure
involves the actions of a Business Associate, the appropriate disciplinary sanctions and
proceedings shall be conducted under the terms of the Business Associate agreement. If the complaint or other failure involves the actions of the individuals responsible for the
administration of the Plan identified in Section 14.6(A) the appropriate disciplinary sanctions and
proceedings will be conducted under Section 14.6(C). If the complaint or other failure involves the
actions of any other

 

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employee or any agent of the Employer, the appropriate disciplinary sanctions
and proceedings shall be conducted under this Section 14.9. In the case of either an unresolved
complaint or other failure described in Section 14.5(A), the Privacy Officer shall solicit a
response from the person or agent who has been reported as noncompliant, giving the person or agent
the opportunity to contest the charge of noncompliance or to offer justification or other reasons
why disciplinary sanctions should not be imposed with respect to the noncompliance. The Privacy
Officer shall, after considering all details and facts and circumstances relating to such an
alleged act of noncompliance, determine if a disciplinary sanction is warranted (which sanction may
range from a warning to dismissal from employment, or in the case of an agent, termination of the
agency agreement). Upon determination of a disciplinary sanction and if the sanction may be imposed
under the authority of the Privacy Officer, the disciplinary sanction shall be imposed. If the
disciplinary sanction requires approval of the Employer, the Privacy Officer shall confer with the
appropriate managers of the Employer. If the Employer, following consideration of a recommended
disciplinary sanction from the Privacy Officer, determines not to impose such disciplinary
sanction, the Employer shall advise the Privacy Officer. In such event, the Privacy Officer must
consider and propose an alternative disciplinary sanction for the noncompliant person or agent. The
Privacy Officer shall ensure that the imposed disciplinary sanction is adequately communicated to
the violator and is enforced. In the event that a disciplinary sanction triggers any rights of
appeal (for instance, under a collective bargaining agreement), all such rights of appeal shall be
available to the violator. In the case of any such appeal proceedings, the identity of the
individual whose privacy rights were violated shall be removed to the extent feasible.

14.10 Security Officer. Effective as of April 20, 2005, the Benefit Plans Committee
shall appoint a Security Officer for the Plan. The Benefit Plans Committee may remove the Plan’s
then existing Security Officer at any time upon written notice provided that the Benefit Plans
Committee has appointed a successor Security Officer for the Plan. In general, the Security Officer
shall have the responsibility to oversee all ongoing activities related to the development,
implementation, maintenance of, and adherence to the Plan’s policies and procedures covering the
security of, and access to electronic personal and protected health information in compliance with
the federal and state laws and the Plan’s information security practices. The Plan Security
Officer’s duties and responsibilities shall focus upon the operation and administration of the Plan (including activities conducted via the services of insurers,  business associates, such as
third-party administrators, COBRA vendors and utilization review organizations, and employees and
agents of the Employer) and the activities of the Employer regarding the Plan in its capacity as
sponsor of the Plan. In order to carry out such general powers, duties and responsibilities, the
Plan’s security officer shall have such specific powers, duties and responsibilities as may be
specified from time to time by the Employer or its designee.

 

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14.11 Implementation Authority. The Employer shall have the authority to enter into and
enforce on behalf of the Plan such contracts and agreements (including, specifically, Business
Associate agreements) as may be appropriate or necessary to cause the Plan to satisfy its
obligations under HIPAA and the Regulations.

14.12 Indemnification. The Employer shall indemnify and hold harmless each employee of the
Employer who is identified in Section 14.6(A) as a person who to be given access to or receive PHI
against any and all expenses and liabilities arising’ out of such employee’s administrative functions or
fiduciary responsibilities in connection with violations of HIPAA and the Regulations, including
but not limited to, any expenses and liabilities that are caused by or result from an act or
omission constituting the negligence of such employee in the performance of
such functions or responsibilities, but excluding expenses and liabilities arising out of
such employee’s own gross negligence or willful misconduct. Expenses against which such person
shall be indemnified include, but are not limited to, the amounts of any settlement, judgment,
costs, counsel fees, and related charges reasonably incurred in connection with a claim
asserted or a proceeding brought. This Section shall not, however, apply to, and the Employer shall
not indemnify against, any expense that was incurred without the consent or approval of the
Employer, unless such consent or approval has been waived in writing by the Employer.”

 

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2. Effective as of January 1, 2006, Article V of the Dynegy Inc. Health Care Spending Account
Program, a Constituent Benefit Program under the Plan, is hereby amended by adding new Section 5.7
to provide as follows:

“5.7 Grace Period For Program Benefits. Notwithstanding any provision of the Program
to the contrary, amounts remaining credited to a Program Participant’s Health Care Spending Account
at the close of a Program Year may be used to reimburse Covered Health Care Expenses incurred
during the period beginning immediately after the close of such Program Year and ending two months
and fifteen days after the close of such Program Year (the “Grace Period”) under the following
conditions:

(a) Applicability. In order for an individual to be reimbursed for Covered Health Care Expenses
during a Grace Period from amounts credited to a Program Participant’s Health Care
Spending Account at the close of the Program Year to which such Grace Period relates (“Prior
Program Year Health Care Spending Account Amounts”), such individual must be either (1) a
Program Participant who has a Participation Agreement in effect on the last day of the Program Year
or (2) a “qualified beneficiary” (as such term is defined under the Consolidated Omnibus Budget
Reconciliation Act of 1985, as amended (“COBRA”)) who has COBRA continuation coverage under the
Program on the last day of the Program Year.

(b) No Cash-Out or Conversion. Prior Program Year Health Care Spending Account Amounts may not
be cashed out or converted to any other taxable or nontaxable benefit.

(c) Reimbursement of Grace Period Expenses. Covered Health Care Expenses incurred during a Grace
Period and determined to be reimbursable by the Plan Administrator will be reimbursed and charged
first against any available Prior Program Year Health Care Spending Account Amounts and then
against any amounts that are available to reimburse Covered Health Care Expenses incurred
during the current Program Year. All claims for reimbursement under the Program will be paid in
the order in which they are approved by the Plan Administrato. Once paid, a claim will not be
reprocessed or otherwise recharacterized so as to pay it (or treat it as paid) from amounts
attributable to a different Program Year.

(d) Run-Out Period and Forfeitures. Claims for reimbursement of Covered Health Care Expenses
incurred during a Program Year or its related Grace Period must be submitted no later than the
April 30 following the close of the Program Year in order to be reimbursed from Prior Program Year
Health Care Spending Account Amounts. Any Prior Program Year Health Care Spending Account Amounts
that remain after all the reimbursements have been made for a Program Year and its related Grace
Period shall not be carried over to reimburse the Program Participant for expenses
incurred after the Grace Period
ends. The Program Participant shall forfeit all rights with respect to such amounts and
shall be subject to the Program’s provisions regarding forfeitures in Section 5.6.”

 

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3. Effective as of January 1, 2006, Article V of the Dynegy Inc. Dependent Care Spending Account
Program, a Constituent Benefit Program under the Plan, is hereby amended by adding new Section 5.7
to provide as follows:

“5.7 Grace Period For Program Benefits. Notwithstanding any provision of the Program
to the contrary, amounts remaining credited to a Program Participant’s Dependent Care
Spending Account at the close of a Program Year may be used to reimburse Covered Employment
Related Expenses incurred during the period beginning immediately after the close of such
Program Year and ending two months and fifteen days after the close of such Program Year (the
“Grace Period”) under the following conditions:

(a) Applicability. In order for an individual to be reimbursed for Covered
Employment Related Expenses during a Grace Period from amounts credited to a Program
Participant’s Dependent Care Spending Account at the close of the Program Year to
which such Grace Period relates (“Prior Program Year Dependent Care Spending Account
Amounts”), such individual must be a Program Participant who has a Participation
Agreement in effect on the last day of the Program Year.

(b) No Cash-Out or Conversion. Prior Program Year Dependent Care Spending Account
Amounts may not be cashed out or converted to any other taxable or nontaxable
benefit

(c) Reimbursement of Grace Period. Expenses-Covered Employment Related Expenses incurred
during a Grace Period and determined to be reimbursable by the Plan Administrator will
be reimbursed and charged first against any available Prior Program Year Dependent Care
Spending Account Amounts and then against any amounts that are available to
reimburse Covered Employment Related Expenses incurred during the current
Program Year. All claims for reimbursement under the Program will be paid in the order
in which they are approved by the Plan Administrator. Once paid, a claim will not be
reprocessed or otherwise recharacterized so as to pay it (or treat it as paid) from
amounts attributable to a different Program Year.

 

-15-

 

(d) Run-Out Period and Forfeitures. Claims for reimbursement of Covered Employment
Related Expenses incurred during a Program Year or its related Grace Period must be
submitted no later than the April 30 following the close of the Program Year in order
to be reimbursed from Prior Program Year Dependent Care Spending Account Amounts. Any
Prior Program Year Dependent Care Spending Account Amounts that remain after all the
reimbursements have been made for a Program Year and its related Grace Period shall not
be carried over to reimburse the Program Participant for expenses incurred after the
Grace Period ends. The Program Participant shall forfeit all rights with respect to
such amounts and shall be subject to the Program’s provisions regarding forfeitures in
Section 5.6.”

4. Effective as of January 1, 2006, Article V of the Dynegy Inc. Health Care Spending Account
Program For Employees Covered Under A Collective Bargaining Agreement, a Constituent Benefit
Program under the Plan, is hereby amended by adding new Section 5.7 to provide as follows:

“5.7 Grace Period For Program Benefits. Notwithstanding any provision of the Program
to the contrary, amounts remaining credited to a Program Participant’s Health Care Spending
Account at the close of a Program Year may be used to reimburse Covered Health Care Expenses
incurred during the period beginning immediately after the close of such Program Year and
ending two months and fifteen days after the close of such Program Year (the “Grace Period”)
under the following conditions:

(a) Applicability. In order for an individual to be reimbursed for Covered Health Care
Expenses during a Grace Period from amounts credited to a Program Participant’s Health
Care Spending Account at the close of the Program Year to which such Grace Period
relates (“Prior Program Year Health Care Spending Account Amounts”), such individual
must be either (1) a Program Participant who has a Participation Agreement in effect
on the last day of the Program Year or (2) a “qualified beneficiary” (as such term is
defined under the Consolidated Omnibus Budget Reconciliation Act of 1985, as amended
(“COBRA”)) who has COBRA continuation coverage under the Program on the last day of
the Program Year.

 

-16-

 

(b) No Cash-Out or Conversion. Prior Program Year Health Care Spending Account Amounts
may not be cashed out or converted to any other taxable or nontaxable benefit.

(c) Reimbursement of Grace Period Expenses. Covered Health Care Expenses incurred during
a Grace Period and determined to be reimbursable by the Plan Administrator will be
reimbursed and charged first against any available Prior Program Year Health Care
Spending Account Amounts and then against any amounts that are available to reimburse
Covered Health Care Expenses incurred during the current Program Year. All claims
for reimbursement under the Program will be paid in the order in which they are approved
by the Plan Administrator. Once paid, a claim will not be reprocessed or otherwise
recharacterized so as to pay it (or treat it as paid) from amounts attributable to a
different Program Year.

(d) Run-Out Period and Forfeitures. Claims for reimbursement of Covered Health Care
Expenses incurred during a Program Year or its related Grace Period must be submitted no
later than the April 30 following the close of the Program Year in order to be
reimbursed from Prior Program Year Health Care Spending Account Amounts. Any Prior
Program Year Health Care Spending Account Amounts that remain after all the
reimbursements have been made for a Program Year and its related Grace Period shall
not be carried over to reimburse the Program Participant for expenses
incurred after the Grace Period ends except as provided under Section 5.6(b).
The Program Participant shall forfeit all rights with respect to such amounts and such
amounts shall be applied as provided under Section 5.6(b).”

5. Effective as of January 1, 2006, Article V of the Dynegy Inc. Dependent Care Spending Account
Program For Employees Covered Under A Collective Bargaining Agreement, a Constituent Benefit
Program under the Plan, is hereby amended by adding new Section 5.7 to provide as follows:

“5.7 Grace Period For Program Benefits. Notwithstanding any provision of the Program
to the contrary, amounts remaining credited to a Program Participant’s Dependent Care
Spending Account at the close of a Program Year may be used to reimburse Covered Employment
Related Expenses incurred during the period beginning immediately after the close of such
Program Year and ending two
months and fifteen days after the close of such Program Year (the “Grace Period”) under the
following conditions:

(a) Applicability. In order for an individual to be reimbursed for Covered Employment
Related Expenses during a Grace Period from amounts credited to a Program Participant’s
Dependent Care Spending Account at the close of the Program Year to which such Grace Period
relates (“Prior Program Year Dependent Care Spending Account Amounts”), such individual must
be a Program Participant who has a Participation Agreement in effect on the last day of the
Program Year.

 

-17-

 

(b) No
Cash-Out or Conversion. Prior Program Year Dependent Care Spending Account Amounts
may not be cashed out or converted to any other taxable or nontaxable benefit.

(c) Reimbursement of Grace Period Expenses. Covered Employment Related Expenses incurred
during a Grace Period and determined to be reimbursable by the Plan Administrator will be
reimbursed and charged first against any available Prior Program Year Dependent Care Spending
Account Amounts and then against any amounts that are available to reimburse
Covered Employment Related Expenses incurred during the current Program Year. All
claims for reimbursement under the Program will be paid in the order in which they are
approved by the Plan Administrator. Once paid, a claim will not be reprocessed or otherwise
recharacterized so as to pay it (or treat it as paid) from amounts attributable to a
different Program Year.

(d) Run-Out Period and Forfeitures. Claims for reimbursement of Covered Employment Related
Expenses incurred during a Program Year or its related Grace Period must be submitted no
later than the April 30 following the close of the Program Year in order to be reimbursed
from Prior Program Year Dependent Care Spending Account Amounts. Any Prior Program
Year Dependent Care Spending Account Amounts that remain after all the
reimbursements have been made for a Program Year and its related Grace Period shall not
be carried over to reimburse the Program Participant for expenses incurred after the Grace
Period ends. The Program Participant shall forfeit all rights with respect to such amounts
and shall be
subject to the Program’s provisions regarding forfeitures in Section 5.6.”

6. As amended hereby, the Plan is specifically ratified and reaffirmed.

 

-18-

 

IN WITNESS WHEREOF, the undersigned has caused this Fifth Amendment to the Plan to be
executed this 18th day of May 2006, to be effective as provided above.

	 	 	 	 	 
	 	DYNEGY INC.

 	 
	 	By:  	/s/
[ILLEGIBLE]
 	 
	 	 	Title: Chairman, BPC	 

 

-19-

 

	 	 	 	 	 

Appendix C

Dynegy Inc. Comprehensive Welfare Benefits Plan

Employees and Other Individuals to be Given Access to PHI

	1.	 	Individuals employed by or providing services to the division of the Employer’s
Human Resources Department that deals with the administration and
processing of benefit claims under the Health Components;

	 
	2.	 	The Benefit Plans Committee;

	 
	3.	 	The Privacy Officer;

	 
	4.	 	The Contact Person;

	 
	5.	 	Personnel in the Employer’s payroll and information systems departments who
may receive information as to whether an individual is enrolled in the Plan or
has disenrolled;

	 
	6.	 	Effective as of April 20, 2005, the Security Officer.

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