Reporting entity
Entity Name: ____________
Fund Manager Organization Name (May be same as entity name): ____________
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EC1
Reporting entity
Entity Name: ____________
Fund Manager Organization Name (May be same as entity name): ____________
EC1
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EC2
Nature of ownership
Public entity
Specify ISIN: ____________
Private (non-listed) entity
Entity style classification
Debt
Core
Value added
Opportunistic
Open or closed end:
Open end
Closed end
Type of investment vehicle
Direct investment
Joint venture (JV)
Separate account
Special Purpose Vehicle
Other
-
________________________
Government entity
EC2
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EC3
Entity commencement date
Year of commencement (listed) or Year of establishment (non-listed)
________________________
EC3
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EC4
Reporting year
Calendar year
Fiscal year
Specify the starting month Month
EC4
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RC1
Reporting currency
Values are reported in Currency
RC1
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RC2
Economic size
Aggregate Gross Asset Value (GAV) (in millions): ____________
Aggregated Net Asset Value (NAV) (or invested capital) (in millions):
________________________
RC2
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RC3
Sector & geography
What is the sector focus of the entity?
Diversified
Data Infrastructure
Energy and Water Resources
Environmental Services
Network Utilities
Power Generation X-Renewables
Renewable Power
Social Infrastructure
Transport
Other: ____________
What is the regional focus of the entity?
Globally diversified
Africa
Americas
Asia
Europe
Oceania
RC3
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RC4
Nature of entity's business
What is the entity's core business?
Management of standing investment/operating assets
Development of new construction and major renovation projects
RC4
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RC5
Description of the fund
Provide a description of the entity (max 250 words): ____________
Can the entity upload (as supporting evidence) a logo(s) that represents the fund (for GRESB marketing purposes)?
By uploading a logo image, you give GRESB permission to credit the logo to the Reporting Entity specified in EC1, and to use the logo, both in print and digitally, for marketing and communication purposes only.
Yes
or URL____________
Indicate where in the evidence the relevant information can be found____
No
RC5
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RC6
Summary of entity assets
Did the entity own any asset investments?
Yes
No
Provide additional context for the answer provided (not validated, for reporting purposes only)
________________________
RC6
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LE1
ESG leadership commitments
Has the entity made a public commitment to ESG standards or principles?
Yes
General ESG commitments (multiple answers possible)
Commitments that are publicly evidenced and oblige the organization to take action (multiple answers possible).
Equator Principles
PRI
UN Global Compact
Other: ____________
Commitments that are publicly evidenced and do not oblige the organization to take action (multiple answers possible).
UN Environment Programme Finance Initiative
Support the goals
Other: ____________
Formal environmental issue-specific commitments (multiple answers possible)
Commitments that are publicly evidenced and oblige the organization to take action (multiple answers possible).
Business for nature
Climate Action in Financial Institutions Initiative
Climate Action 100+
Climate League 2030
EV100
Finance for Biodiversity
Global Launch of Partnership for Carbon Accounting Financials (PCAF)
IFC Operating Principles for Impact Management
IIGCC Paris Aligned Investment Initiative
Montreal Pledge
Partnership for Carbon Accounting Financials
Powering Past Coal Alliance (PPCA)
RE 100
Science Based Targets Initiative
Transform to Net Zero
UNFCCC Climate Neutral Now Pledge
UN Global Compact Our Only Future
UN-convened Net-Zero Asset Owner Alliance
WorldGBC’s Net Zero Carbon Buildings Commitment
Other: ____________
Commitments that are publicly evidenced and do not oblige the organization to take action (multiple answers possible).
Coalition for Climate Resilient Investment (CCRI)
Global Investor Coalition on Climate Change (including AIGCC, Ceres, IGCC, IIGCC)
Task Force on Climate-related Financial Disclosures
Other: ____________
Formal social issue-specific commitments (multiple answers possible)
Commitments that are publicly evidenced and oblige the organization to take action (multiple answers possible).
List commitment(s): ____________
Commitments that are publicly evidenced and do not oblige the organization to take action (multiple answers possible).
World Business Council for Sustainable Development's Call to Action
30% Club
Other: ____________
Formal governance issue-specific commitments (multiple answers possible)
Commitments that are publicly evidenced and oblige the organization to take action (multiple answers possible).
List commitment(s): ____________
Commitments that are publicly evidenced and do not oblige the organization to take action (multiple answers possible).
List commitment(s): ____________
Provide applicable evidence
or URL____________
Indicate where in the evidence the relevant information can be found____
No
Provide additional context for the answer provided (not validated, for reporting purposes only)
________________________
LE1
1.3 points , G
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LE2
Responsible investment strategy
Does the entity have a sustainable investment strategy?
Yes
The strategy incorporates the following approaches (multiple answers possible)
Corporate engagement and shareholder action
Impact/community investing
Integration of ESG factors
Positive/best-in-class screening
Negative/exclusionary screening
Norms-based screening
Sustainability themed investing
Describe the strategy and how it is being implemented (for reporting purposes only)(maximum 250 words)
________________________
The strategy is:
Publicly available
Provide applicable hyperlink or a separate publicly available evidence
or URL____________
Indicate where in the evidence the relevant information can be found____
Not publicly available
Provide applicable evidence
or URL____________
Indicate where in the evidence the relevant information can be found____
No
Provide additional context for the answer provided (not validated, for reporting purposes only)
________________________
LE2
1.65 points , G
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LE3
Individual responsible for ESG and climate-related objectives
Does the entity have one or more persons responsible for implementing ESG and/or climate-related objectives?
Yes
ESG
Dedicated employee for whom sustainability is the core responsibility
Provide the details for the most senior of these employees
Name: ____________
Job title: ____________
Employee for whom sustainability is among their responsibilities
Provide the details for the most senior of these employees
Name: ____________
Job title: ____________
External consultant/manager
Name of the main contact: ____________
Job title: ____________
Investment partners (co-investors/JV partners)
Name of the main contact: ____________
Job title: ____________
Climate-related risks and opportunities
Dedicated employee with core responsibility
Provide the details for the most senior of these employees:
Name: ____________
Job title: ____________
Employee where this is among their responsibilities
Provide the details for the most senior of these employees:
Name: ____________
Job title: ____________
External consultant/manager
Name: ____________
Job title: ____________
Investment partners (co-investors/JV partners)
Name: ____________
Job title: ____________
No
Provide additional context for the answer provided (not validated, for reporting purposes only)
________________________
LE3
1.3 points , G
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LE4
ESG senior decision maker
Does the entity have a senior decision-maker accountable for ESG issues and/or climate-related issues?
Yes
ESG
Provide the details for most senior decision-maker on ESG issues
Name: ____________
Job title: ____________
The individual's most senior role is as part of:
Board of directors
C-suite level staff
Fund/portfolio managers
Investment committee
Other: ____________
Climate-related risks and opportunities
Provide the details for the most senior decision-maker:
Name: ____________
Job title: ____________
The individual's most senior role is as part of:
Board of directors
C-suite level staff
Fund/portfolio managers
Investment committee
Other: ____________
No
Provide additional context for the answer provided (not validated, for reporting purposes only)
________________________
LE4
1.65 points , G
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LE5
Personnel ESG performance targets
Does the entity include ESG factors in the annual performance targets of personnel?
Yes
Does performance against these targets have predetermined consequences?
Yes
Financial consequences
Select the personnel to whom these factors apply (multiple answers possible)
All other employees
Asset managers
Board of directors
C-suite level staff
Dedicated staff on ESG issues
ESG managers
External managers or service providers
Fund/portfolio managers
Investment analysts
Investment committee
Investor relations
Other: ____________
Non-financial consequences
Select the personnel to whom these factors apply (multiple answers possible)
All other employees
Asset managers
Board of directors
C-suite level staff
Dedicated staff on ESG issues
ESG managers
External managers or service providers
Fund/portfolio managers
Investment analysts
Investment committee
Investor relations
Other: ____________
No
Provide applicable evidence
or URL____________
Indicate where in the evidence the relevant information can be found____
No
Provide additional context for the answer provided (not validated, for reporting purposes only)
________________________
LE5
1.65 points , G
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PO1
Policies on environmental issues
Does the entity have a policy or policies on environmental issues?
Yes
Provide applicable evidence
or URL____________
Indicate where in the evidence the relevant information can be found____
No
Provide additional context for the answer provided (not validated, for reporting purposes only)
________________________
PO1
1 point , E
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PO2
Policies on social issues
Does the entity have a policy or policies on social issues?
Yes
Provide applicable evidence
or URL____________
Indicate where in the evidence the relevant information can be found____
No
Provide additional context for the answer provided (not validated, for reporting purposes only)
________________________
PO2
1 point , S
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PO3
Policies on governance issues
Does the entity have a policy or policies on governance issues?
Yes
Provide applicable evidence
or URL____________
Indicate where in the evidence the relevant information can be found____
No
Provide additional context for the answer provided (not validated, for reporting purposes only)
________________________
PO3
1 point , G
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RP1
ESG Reporting
Does the entity disclose its ESG actions and/or performance?
Yes
Select all applicable options (multiple answers possible)
Integrated Report*
*Integrated Report must be aligned with the IIRC framework
Select the applicable reporting level
Group
Investment manager or business unit
Entity
Is this disclosure third-party reviewed?
Yes
Externally checked
Externally verified
using Scheme name
Externally assured
using Scheme name
No
Provide applicable evidence
or URL____________
Indicate where in the evidence the relevant information can be found____
Stand-alone sustainability report(s)
Select the applicable reporting level
Group
Investment manager or business unit
Entity
Aligned with third-party standard Guideline name
Is this disclosure third-party reviewed?
Yes
Externally checked
Externally verified
using Scheme name
Externally assured
using Scheme name
No
Provide applicable evidence
or URL____________
Indicate where in the evidence the relevant information can be found____
Section in Annual Report
Select the applicable reporting level
Group
Investment manager or business unit
Entity
Aligned with third-party standard Guideline name
Is this disclosure third-party reviewed?
Yes
Externally checked
Externally verified
using Scheme name
Externally assured
using Scheme name
No
Provide applicable evidence
or URL____________
Indicate where in the evidence the relevant information can be found____
Dedicated section on website
Select the applicable reporting level
Group
Investment manager or business unit
Entity
URL____________
Indicate where in the evidence the relevant information can be found____
Entity reporting to investors
Frequency of reporting: ____________
Aligned with third-party standard Guideline name
Is this disclosure third-party reviewed?
Yes
Externally checked
Externally verified
using Scheme name
Externally assured
using Scheme name
No
Provide applicable evidence
or URL____________
Indicate where in the evidence the relevant information can be found____
Other: ____________
Select the applicable reporting level
Group
Investment manager or business unit
Entity
Aligned with third-party standard Guideline name
Is this disclosure third-party reviewed?
Yes
Externally checked
Externally verified
using Scheme name
Externally assured
using Scheme name
No
Provide applicable evidence
or URL____________
Indicate where in the evidence the relevant information can be found____
No
Provide additional context for the answer provided (not validated, for reporting purposes only)
________________________
RP1
3.3 points , G
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RP2.1
ESG incident monitoring
Does the entity have a process to monitor and communicate ESG-related misconduct, penalties, incidents, accidents or breaches against the codes of conduct/ethics?
Yes
The process includes external communication of misconduct, penalties, incidents or accidents to (multiple answers possible):
Clients/customers
Community/public
Contractors
Employees
Investors/shareholders
Regulators/government
Special interest groups
Suppliers
Other stakeholders: ____________
Describe the communication process (for reporting purposes only) (maximum 250 words)
________________________
No
Provide additional context for the answer provided (not validated, for reporting purposes only)
________________________
* The information in RP2.1 and RP2.2 may be used as criteria for the recognition of 2021 Sector Leaders
RP2.1
1.65 points , G
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RP2.2
ESG incident ocurrences
Has the entity been involved in any ESG-related misconduct, penalties, incidents, accidents breaches against the codes of conduct/ethics in the reporting period?
(For reporting purposes only)
Yes
Specify the total number of cases that 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)
________________________
* The information in RP2.1 and RP2.2 may be used as criteria for the recognition of 2021 Sector Leaders
RP2.2
Not scored , G
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RM1.1
ESG due diligence for new acquisitions
Does the entity have a process to formally address ESG risks and/or opportunities in its pre-investment processes?
Yes
Select elements of the pre-investment process (multiple answers possible)
ESG risks and opportunities are identified (relating to the material issues) are identified
ESG risks are analysed
ESG risks are evaluated and treated
ESG risks and opportunities are considered and can impact the investment decision
Provide applicable evidence
or URL____________
Indicate where in the evidence the relevant information can be found____
No
Provide additional context for the answer provided (not validated, for reporting purposes only)
________________________
RM1.1
6.6 points , G
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RM1.2
ESG risks and opportunities in investment monitoring processes/asset management
Does the entity formally address ESG risks and/or opportunities in its investment monitoring processes/asset management?
Yes
Elements of the investment process including ESG factors:
Integrate ESG risks and/or opportunities into business plans
Describe how and which ESG risks and/or opportunities are treated or mitigated, and which tools are used: (maximum 250 words)
________________________
Regular review of ESG risks and/or opportunities
Describe how and which ESG risks and/or opportunities are regularly reviewed, and which tools are used: (maximum 250 words)
________________________
Externally report or communicate ESG risks and/or opportunities
Describe how and which ESG risks and/or opportunities are reported or communicated externally, and which tools are used: (maximum 250 words)
________________________
Who are the risks and/or opportunities communicated to:
Community/public
Investors
Regulators/government
Special interest groups
No
Provide additional context for the answer provided (not validated, for reporting purposes only)
________________________
RM1.2
6.6 points , G
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RM2
Resilience of strategy to climate-related risks
Does the entity’s strategy incorporate resilience to climate-related risks?
Yes
Describe how the entity incorporates resilience to climate-related risks in its strategy.
________________________
Does the process of evaluating the resilience of the entity’s strategy involve the use of scenario analysis?
Yes
Select the scenarios that are used (multiple answers possible)
Transition scenarios
IEA SDS
IEA B2DS
IEA NZE2050
IPR FPS
NGFS Current Policies
NGFS Nationally determined contributions
NGFS Immediate 2C scenario with CDR
NGFS Immediate 2C scenario with limited CDR
NGFS Immediate 1.5C scenario with CDR
NGFS Delayed 2C scenario with limited CDR
NGFS Delayed 2C scenario with CDR
NGFS Immediate 1.5C scenario with limited CDR
SBTi
TPI
Other
____________
Physical scenarios
RCP2.6
RCP4.5
RCP6.0
RCP8.5
Other
____________
No
No
Provide additional context for the answer provided (not validated, for reporting purposes only)
________________________
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RM3.1
Transition risk identification
Does the entity have a systematic process for identifying material transition risks?
Yes
Select the elements covered in the risk identification process (multiple answers possible)
Policy and legal
Has the process identified any risks in this area?
Yes
Select the risk(s) to which the entity is exposed (multiple answers possible)
Increasing price of GHG emissions
Enhancing emissions-reporting obligations
Mandates on and regulation of existing products and services
Exposure to litigation
Other
____________
No
Technology
Has the process identified any risks in this area?
Yes
Select the risk(s) to which the entity is exposed (multiple answers possible)
Substitution of existing products and services with lower emissions options
Unsuccessful investment in new technologies
Costs to transition to lower emissions technology
Other
____________
No
Market
Has the process identified any risks in this area?
Yes
Select the risk(s) to which the entity is exposed (multiple answers possible)
Changing customer behavior
Uncertainty in market signals
Increased cost of raw materials
Other
____________
No
Reputation
Has the process identified any risks in this area?
Yes
Select the risk(s) to which the entity is exposed (multiple answers possible)
Shifts in consumer preferences
Stigmatization of sector
Increased stakeholder concern or negative stakeholder feedback
Other
____________
No
Describe how the delineation of risk identification was made.
________________________
No
Provide additional context for the answer provided (not validated, for reporting purposes only)
________________________
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RM3.2
Transition risk impact assessment
Does the entity have a systematic process to assess the impact of material risks on the business and/or financials of the entity?
Yes
Select the elements covered in the impact assessment process (multiple answers possible)
Policy and legal
Has the process concluded that there were any material impacts to the entity in this area?
Yes
Indicate which impacts are deemed material to the entity (multiple answers possible)
Increased operating costs
Write-offs, asset impairment and early retirement of existing assets due to policy changes
Increased costs and/or reduced demand for products and services resulting from fines and judgments
Other
____________
No
Technology
Has the process concluded that there were any material impacts to the entity in this area?
Yes
Indicate which impacts are deemed material to the entity (multiple answers possible)
Write-offs and early retirement of existing assets
Reduced demand for products and services
Research and development (R&D) expenditures in new and alternative technologies
Capital investments in technology development
Costs to adopt/deploy new practices and processes
Other
____________
No
Market
Has the process concluded that there were any material impacts to the entity in this area?
Yes
Indicate which impacts are deemed material to the entity (multiple answers possible)
Reduced demand for goods and services due to shift in consumer preferences
Increased production costs due to changing input prices and output requirements
Abrupt and unexpected shifts in energy costs
Change in revenue mix and sources, resulting in decreased revenues
Re-pricing of assets
Other
____________
No
Reputation
Has the process concluded that there were any material impacts to the entity in this area?
Yes
Indicate which impacts are deemed material to the entity (multiple answers possible)
Reduced revenue from decreased demand for goods/services
Reduced revenue from decreased production capacity
Reduced revenue from negative impacts on workforce management and planning
Reduction in capital availability
Other
____________
No
Describe how the delineation of risk identification was made.
________________________
No
Provide additional context for the answer provided (not validated, for reporting purposes only)
________________________
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RM3.3
Physical Risk Identification
Does the entity have a systematic process for identifying material physical risks?
Yes
Select the elements covered in the risk identification process (multiple answers possible)
Acute hazards
Has the process identified any acute hazards to which the entity is exposed?
Yes
Indicate to what factor(s) the entity is exposed (multiple answers possible)
Extratropical storm
Flash flood
Hail
River flood
Storm surge
Tropical cyclone
Other
____________
No
Chronic stressors
Has the process identified any acute hazards to which the entity is exposed?
Yes
Indicate to what factor(s) the entity is exposed (multiple answers possible)
Drought stress
Fire weather stress
Heat stress
Precipitation stress
Rising mean temperatures
Rising sea levels
Other
____________
No
Describe how the delineation of risk identification was made.
________________________
No
Provide additional context for the answer provided (not validated, for reporting purposes only)
________________________
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RM3.4
Physical risk impact assessment
Does the entity have a systematic process for the assessment of impact from material physical climate risks on the business and/or financials of the entity?
Yes
Select the elements covered in the impact assessment process (multiple answers possible)
Direct impacts
Has the process concluded that there are material impacts to the entity?
Yes
Indicate which impacts are deemed material to the entity (multiple answers possible)
Increased capital costs
Other
____________
No
Indirect impacts
Has the process concluded that there are material impacts to the entity?
Yes
Indicate which impacts are deemed material to the entity (multiple answers possible)
Increased insurance premiums and potential for reduced availability of insurance on assets in “high-risk” locations
Increased operating costs
Reduced revenue and higher costs from negative impacts on workforce
Reduced revenue from decreased production capacity
Reduced revenues from lower sales/output
Write-offs and early retirement of existing assets
Other
____________
No
Describe how the delineation of risk identification was made.
________________________
No
Provide additional context for the answer provided (not validated, for reporting purposes only)
________________________
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SE1
Employee engagement program
Does the entity have an employee engagement program?
Yes
Select all applicable options (multiple answers possible)
Development of action plan
Feedback sessions with Senior Management Team
Feedback sessions with separate teams/departments
Focus groups
Implementation
Planning and preparation for engagement
Program review and evaluation
Training
Other: ____________
No
Provide additional context for the answer provided (not validated, for reporting purposes only)
________________________
SE1
Not scored , S
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SE2
Employee training
Does the entity provide training and development for employees?
Yes
Percentage of employees who received professional training in the reporting year
________________________
Percentage of employees who received ESG-related training in the reporting year
________________________
ESG-related training focuses on the following elements (multiple answers possible)
Environmental issues
Social issues
Governance issues
No
Provide additional context for the answer provided (not validated, for reporting purposes only)
________________________
SE2
Not scored , S
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SE3
Employee satisfaction monitoring
Has the entity undertaken an employee satisfaction survey during the last three years?
Yes
The survey is undertaken (multiple answers possible)
Internally
Percentage of employees covered: ____________%
Survey response rate: ____________%
By an independent third party
Percentage of employees covered: ____________%
Survey response rate: ____________%
The survey includes quantitative metrics
Yes
Metrics include
Net Promoter Score
Overall satisfaction score
Other: ____________
No
No
Provide additional context for the answer provided (not validated, for reporting purposes only)
________________________
SE3
Not scored , S
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SE4
Inclusion & diversity
Does the entity report on inclusion and diversity?
Yes
Diversity of the entity’s governance bodies
Select all diversity metrics (multiple answers possible)
Age group distribution
Board tenure
Gender pay gap
Gender ratio
Percentage of employees that identify as:
Women: ____________%
Men: ____________%
International background
Racial diversity
Socioeconomic background
Diversity of the organization's employees
Select all diversity metrics (multiple answers possible)
Age group distribution
Percentage of employees that are:
Under 30 years old: ____________%
Between 30 and 50 years old: ____________%
Over 50 years old: ____________%
Gender pay gap
Gender ratio
Percentage of employees that identify as:
Women: ____________%
Men: ____________%
International background
Racial diversity
Socioeconomic background
No
Provide additional context for the answer provided (not validated, for reporting purposes only)
________________________
SE4
1.3 points , S
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