RP2.2: ESG Incident Occurrences

Intent

This indicator intends to ensure the communication of any ESG-related misconduct, penalties, incidents, accidents breaches against the codes of conduct/ethics to the reporting entity’s investor. Recurring misconducts and penalties can increase the risk profile of the portfolio as they impose financial, management and regulatory burdens on the entity.

Requirements

Select Yes or No: If selecting Yes, select applicable sub-options.

Has the entity been involved in any significant ESG-related controversies, misconduct, penalties, incidents or accidents during the reporting period? (The response to this indicator will be reviewed as part of sector leader requirements)

• Yes
  • Specify the total number of cases which occurred: ____________

  • Specify the total value of fines and/or penalties incurred during the reporting period (must align with currency selected in RC1)

    ________________________

  • Specify the total number of currently pending investigations: ____________

  • Provide additional context for the response, focusing on the three most serious incidents

    ________________________

• No
  • Provide additional context for the answer provided (not validated, for reporting purposes only)

    ________________________

Note: The information in RP2.1 and RP2.2 may be used as criteria for the recognition of 2020 Sector Leaders

2020 changes: Added ‘Specify the total number of currently pending investigationsʼ.

Open text box: The content of this open text box is not used for scoring, but will be included in the Benchmark Report. Participants may use this open text box to communicate on how the entity has resolved or intends to resolve the above issue(s).

Validation

This indicator is not subject to automatic or manual validation.

See Appendix 4 of the reference guide for additional information about GRESB Validation.

Scoring

This indicator is not scored and is used for reporting purposes only.

*The information in RP2.1 and RP2.2 may be used as criteria for the recognition of 2020 Sector Leaders.

Terminology

ESG fines and/or penalties: Sanctions resulting from an illegal act or non-compliant behavior, which directly harms the environment and/or stakeholders of the entity.

References

Alignment with External Frameworks

DJSI CSA 2019 - 3.4.6 Corruption and Bribery Cases

DJSI CSA 2019 - 3.4.7 Reporting on Breaches

GRI Standards 2016 - 205-3: Confirmed incidents of corruption and actions taken

GRI Standards 2016 - 307: Environmental Compliance

GRI Standards 2016 - 419: Socioeconomic Compliance

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