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Social Indicators

Management Approach We believe that our success is directly linked to the communities we serve.
G 3.1
INDICATOR

G4
INDICATOR

TOPIC RESPONSE
EU19   Stakeholder participation in energy planning and infrastructure development

We use a variety of collaborative processes and events to help plan and implement energy-related projects.

An example is our ongoing work to proactively manage water resources through engagement with a wide range of stakeholders. See Water: A limited resource in our Sustainability Report for a discussion of our collaborative approach to water and watershed management.

Some of our affiliations are listed on our website, but there are many more at regional, state and local levels.

Also, please see indicator EU10 for a brief discussion of our integrated resource planning process.

EU20   Management of displacement impacts We avoid displacement of anyone to the extent feasible by careful planning during the siting phases of major projects. If displacement is unavoidable, we make fair compensation for any property transaction.
EU21   Contingency planning for emergencies and recovery plans We have internal teams responsible for emergency preparedness and response. Operations groups engage in emergency and disaster response drills and planning. See more on our many programs to ensure safety and emergency preparedness.
Community
SO1 G4-SO1 Programs to assess and manage operational impacts on communities We engage a wide variety of stakeholders from the communities we serve. See Engaging stakeholders.

Environmental and social impact studies are conducted for major new facilities as part of regulatory approval processes. See also EC8 and EC9.
EU22   Number of people displaced Displacement is very rare. See EU20 above.
Corruption
SO2 G4-SO3 Percent and number of business units analyzed for corruption risk All business units are subject to corruption risk analyses.
SO3 G4-SO4 Percent of employees trained in anti-corruption policies and procedures All employees receive periodic training in anti-corruption policies and procedures through the Code of Business Ethics (CoBE) training. Newly hired employees are required to complete the CoBE training within 30 days of being hired.

Employees who are likely to be involved in business dealings with foreign officials, oversee third parties acting on behalf of the company in a foreign country or who travel to foreign countries on company business; receive comprehensive training on Foreign Corrupt Practices Act compliance and other anti-bribery provisions.
SO4 G4-SO5 Actions taken in response to corruption incidents

Employees or managers, who do not comply with our Code of Business Ethics, are subject to corrective action, up to and including termination of employment. We report employee turnover, including the number of employee dismissals, in our Sustainability Report but we do not report the specific reasons leading to those dismissals. An analysis of incidents relating to employee misconduct is presented at each Board of Directors' Audit Committee meeting. This analysis compares the number of incidents to the prior period, reviews incidents by allegation type and examines incidents by business segment.

Duke Energy’s EthicsLine is an independent service for employees and others to seek guidance on ethical, legal or policy issues or to report suspected misconduct. The following table shows annualized Duke Energy statistics for 2013, and comparisons to other companies using similar reporting tools. Approximately 23% of the reports received in 2013 were substantiated.

Duke Energy
EthicsLine/Web Submissions
Benchmarks
Helpline/Web Submissions
Utility Industry All Industries
Annualized Median Range Median Range
Reports per 100 Employees 1.2 1.6 0.4 - 4.8 1.2 0.4 - 6
Public Policy
SO5   Public policy positions and participation in public policy development and lobbying We post executive viewpoints on our external website and discuss political involvement in our Sustainability Report.
SO6 G4-SO6 Total value of financial and in-kind contributions for political purposes Please see Engaged In Political Participation in our Sustainability Report. More information on our political contributions is on our Political Participation webpage.
Anti-Competitive Behavior
SO7 G4-SO7 Number of legal actions for non-competitive behavior See our Form 10-K filed with the Securities and Exchange Commission, on pages 142 and 144 at for information about the status of litigation.
Compliance
SO8 G4-SO8 Significant fines paid for non-compliance with regulations See the Securities and Exchange Commission Form 10-K, beginning on page 141 for information about the status of various litigation, fines and penalties. Also see the table entitled Environmental Regulatory Citations in the Environmental Performance Metrics section of our Sustainability Report.