ESG 2021

Sustainalytics’ ESG Risk Ratings Key Issues



There is a Self-Assessment item and sample following up Sustainalytics ESG ratings report key issues.


Environmental Policy

▢ Commitment to environmental protection 
▢ Commitment to create environmental awareness 
▢ Commitment to implement an environmental management system 
▢ Commitment to use natural resources or energy more efficiently 
▢ Commitment to reduce emissions, releases and waste 
▢ Commitment to monitor the company’s environmental performance 
▢ Commitment to report regularly on environmental issues 
▢ Commitment to consult with stakeholders on environmental issues 
▢ Approved by senior management or the board of directors 

Green Logistics Programmes 

▢ It is disclosed whether the company has a programme to improve the environmental 


▢ There is no evidence of environmental impact being considered at the design stage of new products 

Environmental Management System 

▢ The company has an EMS but its scope is limited 
▢ Managerial or board level responsibility for environmental issues 

▢ Identification of products, activities and services that have significant impacts on the Environment 

▢ Compliance with environmental regulation 

▢ Objectives, targets and deadlines 

▢ Internal and external communications on environmental management issues

▢ Monitoring and measurement 

▢ Environmental performance records 

▢ External environmental audits 

▢ Internal environmental audits 

▢ Corrective actions to stimulate continual improvement 

Environmental Management Systems(EMS) Certification
▢ Some of the company's activities have received external certification but the scope is unclear 

Carbon Intensity Trend 

▢Disclosure is insufficient to calculate the company's carbon intensity trend over the last 3 years

Carbon Intensity 
▢ Disclosure on carbon emissions is insufficient to determine performance relative to peers 

Product & Service Incidents 
▢ No evidence of relevant controversies 

Environmental Supply Chain Incidents
▢ No evidence of relevant controversies 沒有相關爭議的證據


Freedom of Association Policy

▢ The company has an adequate policy on freedom of association

Quality management system (QMS) Certifications

▢ Some of the company's sites have received external certification but the scope is unclear

Conflict Minerals Policy

▢ A formal, company-wide policy  

▢ Commitment to proactive elimination of conflict minerals from products and the supply chain 

▢ Commitment to conduct supply chain due diligence to assess risk exposure 

▢ Commitment not to source minerals from the DRC and adjoining countries 

Diversity Programmes 人力多元化計劃

▢ Managerial or board level responsibility for diversity initiatives

▢ Targeted recruitment 

▢ Training and guidance regarding diversity 

▢ Diversity initiatives that go beyond legal compliance 

▢ Employee affinity groups, diversity councils, or networking groups 

▢ Mentorship programmes 

▢ Initiatives supporting a diverse workforce diversity monitoring or audits 

Supply Chain Management

▢ Board-level responsibility for supply chain management 董事會等級的供應鏈管理職責
▢ Managerial responsibility for supply chain management 供應鏈管理的管理責任

▢ Systematic consideration of suppliers’ social performance during procurement 

▢ Targets and deadlines related to supply chain management 

▢ Compliance with social standards included in legally binding agreements with suppliers 

▢ Regular training programmes for suppliers on labour rights issues 定期為供應商提供有關勞工權利問題的培訓計劃

▢ Monitoring of supply chain non-compliance incidents or practices 監控供應鏈不合規事件或做法

▢ Engagement with non-compliant suppliers to reach compliance 與不合規的供應商合作以達到合規

▢ Formal channels for supply chain workers to raise concerns 提供供應鏈工人申訴的正式管道

▢ Regular internal supplier audits Regular external supplier audits 定期內部供應商審核定期外部供應商審核

▢ Reporting on audit results 

▢ Engagement with NGOs, labour groups or industry peers on social supply chain issues 

▢ Is applicable to second-tier suppliers 

Scope of Social Supplier Standards 

▢ Addresses health and safety 解決健康與安全問題
▢ Addresses minimum living wages 解決最低生活工資
▢ Addresses maximum working hours 解決最長工作時間
▢ Addresses freedom of association and the right to collective bargaining 解決結社自由和集體談判權
▢ Addresses child labour 解決童工問題
▢ Addresses acceptable living conditions 解決工人基本的生活條件
▢ Addresses non-discrimination 解決不歧視
▢ Addresses corporal punishment/disciplinary practices 解決體罰之具體解決方案
▢ Addresses forced labour 強迫勞動的解決方案

Lost-time incident rate (LTIR) Trend 

▢  Disclose data on its lost-time incident rate 揭露其工殤的數據

Social Supply Chain Incidents

▢  No evidence of relevant controversies 沒有相關爭議的證據

Customer Incidents 

▢  No evidence of relevant controversies 沒有相關爭議的證據

Employee Incidents 

▢  No evidence of relevant controversies 沒有相關爭議的證據


Whistleblower Programmes

▢ Proactively communicated to employees 
▢ Available to suppliers, customers and other third parties 
▢ An independent, reporting hotline available 
▢ Possibility for anonymous reporting and reports are treated confidentially 
▢ Non-retaliation policy 
▢ Structures in place to process whistleblower reports 
▢ Disclosure on the number of reports received, the types of misconduct and measures taken 
▢ Available in local languages 


ESG Governance

▢  A committee is responsible for overseeing ESG issues but its composition and/or degree of authority is not disclosed  


Global Compact Signatory  

▢  The company is not a signatory to the UN Global Compact 


Verification of ESG Reporting 

▢  Verification of ESG reporting is adequate 


ESG Reporting Standards 

▢  The company's ESG reporting is strong 


Business Ethics Incidents

▢  No evidence of relevant controversies 


Governance Incidents

▢  No evidence of relevant controversies 


Public Policy Incidents 

▢  No evidence of relevant controversies 

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