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CONSIDERING AN ETHICAL DECISION TREE?

2016 SCCE COMPLIANCE AND ETHICS INSTITUTE

AGENDA

� Introduction

� Description

� Benefits

� Our process

� The results

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INTRODUCTION

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DUKE ENERGY

� Customers

� 7.3 million retail electric customers, representing population of approximately 23 million people

� 500,000 natural gas customers; proposed Piedmont Natural Gas acquisition would add 1.5 million natural gas customers

� Regulated Generation

� Over 50,000 MW

� Non-regulated Generation

� Duke Energy Renewables -wind/solar generation throughout US – 1,700 MW

� Workforce

� Approximately 29,000 employees

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WHAT IS AN ETHICAL DECISION TREE?

� A tree-like graph or model that outlines possible options and their consequences

� Typically prompt for yes or no answers

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WHY DID WE CREATE ONE?

� Our Code cannot cover every possible situation

� Feedback from employees requested a resource that was actionable

� Questions are general enough to be used in any situation

� Easy to keep handy and refer to when needed

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STEP 1: RESEARCH

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RESEARCH

Good ‘Ole Google� Searched for examples from other companies

� Codes of conduct

� Unable to review those on internal sites

� Reviewed existing ethical decision-making models

� Markkula Center for Applied Ethics at Santa Clara University

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RESEARCH

Compiled information on:� Questions

� Number

� Structure

� Tone

� Design

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From Cisco http://www.cisco.com/c/en/us/about/corporate-social-responsibility/ethics-office/decision-tree.html

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STEP 2: DECIDE ON QUESTIONS

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QUESTIONS

� Decided on 9 questions

� Chose “yes” as default answer� Answer of “no” or “unsure” meant you should not proceed and should seek

guidance

� Created additional content to provide context and directions

� Performed cultural review for applicability and translated into Spanish and Portuguese for international operations

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QUESTIONS

1. Is action required?

2. Is it legal?

3. Does it comply with company policy?

4. Does it support company culture and values?

5. Have I considered the impact to our employees, customers, and shareholders?

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QUESTIONS

6. Would I feel comfortable explaining my actions to my colleagues, supervisor, and family?

7. Could I defend my actions if they appeared in a newspaper or social media post?

8. Does it benefit Duke Energy as a whole, not just certain individuals?

9. If I am unclear about something, have I asked the right person for advice?

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STEP 3: DESIGN

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DESIGN

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STEP 3: LAUNCH

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LAUNCH

� Printed 500 to hand out at in-person trainings

� Distributed to executives and strategic partners

� Posted on internal E&C portal pages

� Mentioned in internal portal articles

� Management newsletter article

� Quick Take trainings

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LAUNCH

� Online Code training

� Included in revised Code (October)

� 5 Step Process Infographic

� Digital Signage

� Manager Toolkit

� Mobile app?

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STEP 4: MEASURE RESULTS

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MEASURE RESULTS

� Number one in portal traffic

� 1928 unique visitors vs. 710 to main E&C page in 2Q16

� Employees have indicated they referenced the tree when deciding whether to make a report to the EthicsLine

� Always receive positive feedback during in-person training

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SUMMARY

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CONCLUSION

� A decision tree can help your employees make a decision when other documents do not provide an answer

� Do your research

� Make sure questions are simple to follow and apply to your values and culture

� Use internal resources to create an eye-catching design

� Determine the best ways to disseminate your final product

� Identify ways to measure results in your organization

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QUESTIONS

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CONTACT INFORMATION

Samantha Kelen Greves

Senior Ethics Analyst

Duke Energy

samantha.greves@duke-energy.com

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