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2018

Pre-Assessment

Assessment

Contents

Text missing!

Entity & Reporting Characteristics

Entity Characteristics

EC1

Reporting entity

Entity name: ____________

Fund Manager Organization Name (if applicable): ____________

EC2

Nature of ownership:

Listed entity

Please specify ISIN: ____________

Year of commencement: ____________

Legal status:

Property company

Real Estate Investment Trust (REIT)

Non-listed entity

Year of first closing: ____________

Entity style classification:

Core

Value Added

Opportunistic

Open or closed end:

Open end

Closed end

Finite or infinite structure:

Finite structure

Specify termination date: ____________

Infinite structure

Government entity

EC3

The reporting period is:

Calendar year

Fiscal year

Specify the starting month Month

Month

  • January
  • February
  • March
  • April
  • May
  • June
  • July
  • August
  • September
  • October
  • November
  • December

RC1.1

Describe the composition of the entity’s portfolio during the reporting period:

[PortfolioCompTable(Pre)]

RC1.2

Does the table above list the entity’s entire standing investment portfolio as per the reporting requirements described above?

Yes

Provide additional context for the reporting boundaries (maximum 250 words)

________________________

No

Provide additional context for the reporting boundaries (maximum 250 words)

________________________

RC2

Which countries/states are included in the entity’s standing investment portfolio?

[CountryGavTable]

*GAV either according to fair value or based on construction costs

*GAV either according to fair value or based on construction costs

Country

Management

Sustainability Objectives

2017 Indicator

MA1

Does the entity have specific ESG objectives?

Yes

The objectives relate to (multiple answers possible)

1⁄4
1⁄3

General sustainability

1⁄3

Environment

1⁄3

Social

1⁄3

Governance

1⁄3

Health and well-being

The objectives are

1⁄4
2⁄2

Fully integrated into the overall business strategy

1⁄2

Partially integrated into the overall business strategy

0⁄2

Not integrated into the overall business strategy

The objectives are

2⁄4

Publicly available

Please provide a hyperlink or a separate publicly available document

Upload or URL____________

Indicate where in the evidence the relevant information can be found____

0⁄4

Not publicly available

Upload

Indicate where in the evidence the relevant information can be found____

Communicate the objectives and explain how the objectives are integrated into the overall business strategy (maximum 250 words)

________________________

No

Q1

2 points , MP, G

MA2

Does the organization have one or more persons responsible for implementing the ESG objectives referenced in MA1?

Yes

Select the persons responsible (multiple answers possible)

1⁄2

Dedicated employee(s) for whom sustainability is the core responsibility

Provide the details for the most senior of these employees

Name: ____________

Job title: ____________

E-mail: ____________

LinkedIn profile (optional): ____________

1⁄2

Employee(s) for whom sustainability is among their responsibilities

Provide the details for the most senior of these employees

Name: ____________

Job title: ____________

E-mail: ____________

LinkedIn profile (optional): ____________

1⁄2

External consultants/manager

Name of the organization Service provider

Name of the main contact: ____________

Job title: ____________

E-mail: ____________

LinkedIn profile (optional): ____________

1⁄2

Investment partners (co-investors/JV partners)

Name of the main contact: ____________

Job title: ____________

E-mail: ____________

LinkedIn profile (optional): ____________

No

Not applicable

Q2

3 points , MP, G

Sustainability Decision Making

2017 Indicator

MA3

Does the organization have a sustainability taskforce or committee that is applicable to the entity?

Yes

Select the members of this taskforce or committee (multiple answers possible)

3⁄8

Asset managers

3⁄8

Board of Directors

2⁄8

External consultants

Name of the organization Service provider

2⁄8

Fund/portfolio managers

2⁄8

Property managers

2⁄8

Senior Management Team

2⁄8

Other: ____________

No

Q3

2 points , MP, G

MA4

Does the organization have a senior decision-maker accountable for the entity's sustainability strategy?

Yes

Provide the details for the most senior decision-maker on sustainability issues

Name: ____________

Job title: ____________

E-mail: ____________

LinkedIn profile (optional): ____________

The individual is part of

1

Board of Directors

1

Senior Management Team

1

Fund/portfolio managers

2⁄4

Investment Committee

1⁄4

Other: ____________

Please describe the process of informing the most senior decision-maker on the sustainability performance of the entity (maximum 250 words)

________________________

No

Q4 & Q5

1 point , MP, G

MA5

Does the organization include ESG factors in the annual performance targets of the employees responsible for this entity?

Yes

Does performance on these targets have predetermined consequences?

1⁄2

Yes

Financial consequences

Non-financial consequences

0⁄2

No

Select the employees to whom these factors apply (multiple answers possible):

1⁄2
3⁄3

All employees

2⁄3

Board of Directors

2⁄3

Senior Management Team

2⁄3

Other: ____________

×

Upload

Indicate where in the evidence the relevant information can be found____

No

(Q6)

3 points , MP, G

Policy & Disclosure

ESG Policies

2017 Indicator

PD1

Does the organization have a policy/policies in place, applicable to the entity level, that address(es) environmental issues?

Yes

Select all environmental issues included (multiple answers possible)

1⁄4

Biodiversity and habitat

1⁄4

Climate/climate change adaptation

1⁄4

Energy consumption/management

1⁄4

Environmental attributes of building materials

1⁄4

GHG emissions/management

1⁄4

Resilience

1⁄4

Waste management

1⁄4

Water consumption/management

1⁄4

Other: ____________

×

Upload

Indicate where in the evidence the relevant information can be found____

No

Q8

3 points , MP, G

PD2

Does the organization have a policy/policies in place, applicable to the entity level, that address(es) social issues?

Yes

Select all social issues included (multiple answers possible)

1⁄4

Child labor

1⁄4

Diversity and equal opportunity

1⁄4

Forced or compulsory labor

1⁄4

Occupational safety (for employees)

1⁄4

Asset level safety (for tenants)

1⁄4

Labor-management relationships

1⁄4

Employee performance and career development

1⁄4

Stakeholder engagement

1⁄4

Worker rights

1⁄4

Other: ____________

×

Upload

Indicate where in the evidence the relevant information can be found____

No

(Q9, Q10, Q11)

2 points , MP, G

PD3

Does the organization have a policy/policies in place, applicable to the entity level, that address(es) governance issues?

Yes

Select all governance issues included (multiple answers possible)

1⁄4

Bribery and corruption

1⁄4

Data protection and privacy

1⁄4

Employee remuneration

1⁄4

Executive compensation

1⁄4

Fiduciary duty

1⁄4

Fraud

1⁄4

Political contributions

1⁄4

Shareholder rights

1⁄4

Whistleblower protection

1⁄4

Other: ____________

×

Upload

Indicate where in the evidence the relevant information can be found____

No

(Q9)

2 points , MP, G

PD4

Does the organization monitor diversity indicator(s) for its governance bodies (i.e. C-suite, Board of Directors, Management Committees)?

Yes

Select all diversity metrics (multiple answers possible)

Age group distribution

Board tenure

Diversity of socioeconomic background

Gender ratio

International background

Racial diversity

Provide additional context for the response (maximum 250 words)

________________________

No

NEW

Not scored , MP, G

Sustainability Disclosure

2017 Indicator

PD5.1

Does the organization disclose its ESG actions and/or performance?

Yes (multiple answers possible)

2⁄4
1⁄2

Section in Annual Report

Select the applicable reporting level

×
4⁄4

Entity

2⁄4

Investment manager

1⁄4

Group

×

Upload or URL____________

Indicate where in the evidence the relevant information can be found____

1⁄2

Aligned with Guideline name

3⁄4
2⁄3

Stand-alone sustainability report(s)

Select the applicable reporting level

×
4⁄4

Entity

2⁄4

Investment manager

1⁄4

Group

×

Upload or URL____________

Indicate where in the evidence the relevant information can be found____

1⁄3

Aligned with Guideline name

4⁄4
3⁄4

Integrated Report

*Integrated Report must be aligned with IIRC framework

Select the applicable reporting level

×
4⁄4

Entity

2⁄4

Investment manager

1⁄4

Group

×

Upload or URL____________

Indicate where in the evidence the relevant information can be found____

1⁄4

Aligned with Guideline name

1⁄4
1

Dedicated section on corporate website

Select the applicable reporting level

×
4⁄4

Entity

2⁄4

Investment manager

1⁄4

Group

×

URL____________

Indicate where in the evidence the relevant information can be found____

2⁄4
1⁄2

Section in entity reporting to investors

1⁄2

Aligned with Guideline name

×

Upload

Indicate where in the evidence the relevant information can be found____

2⁄4
1⁄2

Other: ____________

Select the applicable reporting level

×
4⁄4

Entity

2⁄4

Investment manager

1⁄4

Group

×

Upload or URL____________

Indicate where in the evidence the relevant information can be found____

1⁄2

Aligned with Guideline name

No

Q7.1

Guideline name

  • ANREV (endorsed INREV Sustainability Reporting Recommendations), 2014
  • APREA Sustainability Handbook, 2012
  • EPRA Best Practice Recommendations in Sustainability Reporting, 2017
  • GRI Standards, 2016
  • GRI Sustainability Reporting Guidelines, G4
  • IIRC International Integrated Reporting Framework, 2013
  • INREV Sustainability Guidelines, 2016
  • PRI Reporting Framework, 2016
  • Other: ____________

4 points , MP, G

PD5.2

Does the organization have an independent third party review of its ESG disclosure?

Yes

Select all applicable options (multiple answers possible, selections must match answers in PD5.1)

Section in Annual Report

2⁄2
1⁄4

Externally checked by Service provider

1⁄2

Externally verified by Service provider using Scheme name

1

Externally assured by Service provider using Scheme name

Stand-alone sustainability report

2⁄2
1⁄4

Externally checked by Service provider

1⁄2

Externally verified by Service provider using Scheme name

1

Externally assured by Service provider using Scheme name

Integrated Report

2⁄2
1⁄4

Externally checked by Service provider

1⁄2

Externally verified by Service provider using Scheme name

1

Externally assured by Service provider using Scheme name

Section in entity reporting to investors

2⁄2
1⁄4

Externally checked by Service provider

1⁄2

Externally verified by Service provider using Scheme name

1

Externally assured by Service provider using Scheme name

Other: ____________

2⁄2
1⁄4

Externally checked by Service provider

1⁄2

Externally verified by Service provider using Scheme name

1

Externally assured by Service provider using Scheme name

No

Not applicable

Q7.2

Scheme name

  • AA1000AS
  • Advanced technologies promotion Subsidy Scheme with Emission reduction Target (ASSET)
  • Airport Carbon Accreditation (ACA) des Airports Council International Europe
  • Alberta Specified Gas Emitters Regulation
  • ASAE3000
  • Attestation Standards established by the American Institute of Certified Public Accountants/AICPA (AT101)
  • Australia National Greenhouse and Energy Regulations (NGER Act)
  • California Mandatory GHG Reporting Regulations (also known as Californian Air Resources Board regulations)
  • Canadian Institute of Chartered Accountants (CICA) Handbook: Assurance Section 5025
  • Carbon Trust Standard
  • Chicago Climate Exchange verification standard
  • Compagnie Nationale des Commissaires aux Comptes (CNCC)
  • Corporate GHG Verification Guidelines from ERT
  • DNV Verisustain Protocol/ Verification Protocol for Sustainability Reporting
  • Earthcheck Certified
  • Enviro-Mark Solutions’ CEMARS (Certified Emissions Measurement And Reduction Scheme) standard
  • ERM GHG Performance Data Assurance Methodology
  • IDW AsS 821: IDW Assurance Standard: Generally Accepted Assurance Principles for the Audit or Review of Reports on Sustainability Issues
  • ISAE 3000
  • ISAE 3410, Assurance Engagements on Greenhouse Gas Statements
  • ISO14064-3
  • JVETS (Japanese Voluntary Emissions Trading Scheme) Guideline for verification
  • Korean GHG and energy target management system
  • NMX-SAA-14064-3-IMNC: Instituto Mexicano de Normalización y Certificación A.C
  • Compagnie Nationale des Commissaires aux Comptes (CNCC)
  • RevR 6 Bestyrkande av hållbarhetsredovisning (RevR 6 Assurance of Sustainability)
  • RevR6 Procedure for assurance of sustainability report from Far, the Swedish auditors professional body
  • Saitama Prefecture Target-Setting Emissions Trading Program
  • SGS Sustainability Report Assurance
  • Spanish Institute of Registered Auditors (ICJCE)
  • Standard 3410N Assurance engagements relating to sustainability reports of the Royal Netherlands Institute of Registered Accountants
  • State of Israel Ministry of Environmental Protection, VERIFICATION OF GREENHOUSE GAS EMISSIONS AND EMISSIONS REDUCTION IN ISRAEL GUIDANCE DOCUMENT FOR CONDUCTING VERIFICATIONS, Process A.
  • Swiss Climate CO2 label
  • Thai Greenhouse Gas Management Organisation (TGO) Greenhouse Gas (GHG) Verification Protocol
  • The Climate Registry's General Verification Protocol (also known as California Climate Action Registry (CCAR))
  • Tokyo Emissions Trading Scheme
  • Verification under the EU Emissions Trading Scheme (EU ETS) Directive and EU ETS related national implementation laws

2 points , MP, G

PD6.1

Does the entity have a process to communicate about ESG-related misconduct, penalties, incidents or accidents?

Yes

The entity would communicate misconduct, penalties, incidents or accidents to:

Investors

Public

Other stakeholders: ____________

Describe the process (maximum 250 words): ____________

No

NEW

Not scored , MP, G

PD6.2

Has the entity been involved in any ESG-related misconduct, penalties, incidents or accidents in the reporting year?

Yes

Specify the total number of cases imposed: ____________

Specify the total value of fines and/or penalties result from these cases

________________________

Provide additional context for the response (maximum 250 words)

________________________

No

Q14 & Q20

Not scored , MP, G

Risks & Opportunities

Governance

2017 Indicator

RO1

Does the organization have systems and procedures in place to facilitate effective implementation of the governance policy/policies in PD3?

Yes

Select all applicable options (multiple answers possible)

2⁄4

Investment due diligence process

Training related to governance risks for employees (multiple answers possible)

1⁄4

Regular follow-ups

1⁄4

When an employee joins the organization

2⁄4

Whistle-blower mechanism

2⁄4

Other: ____________

×

Upload

Indicate where in the evidence the relevant information can be found____

No

Not applicable

Q12

1 point , IM, G

RO2

Did the entity perform entity-level governance and/or social risk assessments within the last three years?

Yes

Select all issues included (multiple answers possible)

1⁄4

Bribery and corruption

1⁄4

Child labor

1⁄4

Diversity and equal opportunity

1⁄4

Executive compensation

1⁄4

Forced or compulsory labor

1⁄4

Labor-management relationships

1⁄4

Shareholder rights

1⁄4

Worker rights

1⁄4

Other: ____________

×

Upload

Indicate where in the evidence the relevant information can be found____

No

Q13

2 points , IM, G

Environmental & Social

2017 Indicator

RO3

Does the entity perform asset-level environmental and/or social risk assessments as a standard part of its due diligence process for new acquisitions?

Yes

Select all issues included (multiple answers possible)

1⁄8

Building safety and materials

1⁄8

Climate change adaptation

1⁄8

Contamination

1⁄8

Energy efficiency

1⁄8

Energy supply

1⁄8

Flooding

1⁄8

GHG emissions

1⁄8

Health and well-being

1⁄8

Indoor environmental quality

1⁄8

Natural hazards

1⁄8

Regulatory

1⁄8

Resilience

1⁄8

Socio-economic

1⁄8

Transportation

1⁄8

Water efficiency

1⁄8

Waste management

1⁄8

Water supply

1⁄8

Other: ____________

×

Upload

Indicate where in the evidence the relevant information can be found____

No

Not applicable

Q15.1

2 points , IM, E

Monitoring & EMS

Environmental Management Systems

2017 Indicator

ME1

Does the organization have an Environmental Management System (EMS) that applies to the entity level?

Yes

The EMS is aligned with a standard

5⁄6
1

ISO 14001

1

EMAS (EU Eco-Management and Audit Scheme)

1

Other: ____________

The EMS is externally certified by an independent third party

Name of the organization Service provider

6⁄6
1

ISO 14001

1

EMAS (EU Eco-Management and Audit Scheme)

1

Other: ____________

3⁄6

The EMS is not aligned with a standard nor certified externally

×

Upload

Indicate where in the evidence the relevant information can be found____

No

Q21.1 & Q21.2

3 points , MP, G

Stakeholder Engagement

Employees

2017 Indicator

SE1

Does the organization provide regular trainings for the employees responsible for the entity?

Yes

1⁄2

Percentage of employees who received professional training in 2017

________________________

1⁄2

Percentage of employees who received sustainability-specific training in 2017

________________________

Sustainability-specific training focuses on the following elements (multiple answers possible)

Training topics on environmental issues

Contamination

Greenhouse gas emissions

Energy

Natural hazards

Regulatory standards

Supply chain environmental impacts

Waste

Water

Other: ____________

Training topics on social issues

Community social and economic impacts

Safety

Community safety

Customer / tenant safety

Employee safety

Supply chain safety

Health and well-being

Community health and well-being

Customer / tenant health and well-being

Employee health and well-being

Supply chain health and well-being

Other: ____________

No

Q33

2 points , IM, S

SE2.1

Has the organization undertaken an employee satisfaction survey during the last three years?

Yes

The survey is undertaken (multiple answers possible)

Internally

2⁄3

Percentage of employees covered: ____________%

Survey response rate: ____________%

By an independent third party

3⁄3

Percentage of employees covered: ____________%

Name of the organization Service provider

Survey response rate: ____________%

The survey includes quantitative metrics

Yes

Metrics include

Net Promoter Score

Overall satisfaction score

Other: ____________

No

×

Upload

Indicate where in the evidence the relevant information can be found____

No

Q34.1

1.5 points , IM, S

SE2.2

Does the organization have a program in place to improve its employee satisfaction based on the outcomes of the survey referred to in SE2.1?

Yes

Select all applicable options (multiple answers possible)

1⁄2

Development of action plan

1⁄2

Feedback sessions with Senior Management Team

1⁄2

Feedback sessions with separate teams/departments

1⁄2

Focus groups

1⁄2

Other: ____________

No

Not applicable

Q34.2

1 point , IM, S

SE3.1

Does the organization monitor employee health and well-being needs?

Yes

Select all applicable options (multiple answers possible)

Employee surveys on health and well-being

1⁄2

Percentage of employees: ____________%

Physical and/or mental health checks

1⁄2

Percentage of employees: ____________%

Other: ____________

1⁄2
1

Percentage of employees: ____________%

No

Not applicable

Q35.1

1 point , IM, S

SE3.2

Has the organization monitored conditions for and/or tracked indicators of employee safety during the last three years?

Yes

Select all applicable options (multiple answers possible)

Work station and/or workplace checks

1

Percentage of employees: ____________%

1

Absentee rate: ____________

1

Injury rate: ____________

1

Lost day rate: ____________

1

Other metrics: ____________

Rate of other metric(s): ____________

×

Explain the employee occupational safety indicators calculation method (maximum 250 words)

________________________

No

Q35.2

0.5 points , IM, S

Suppliers

2017 Indicator

SE4.1

Does the entity include ESG-specific requirements in procurement processes to drive sustainable procurement?

Yes

Select all issues covered by procurement processes (multiple answers possible)

2⁄3
1⁄4

Business ethics

1⁄4

Environmental process standards

1⁄4

Environmental product standards

1⁄4

Human rights

1⁄4

Human health-based product standards

1⁄4

Occupational safety

1⁄4

Health and well-being

1⁄4

ESG-specific requirements for sub-contractors

1⁄4

Other: ____________

Select the external parties to whom the requirements apply (multiple answers possible)

1⁄3
1⁄2

Contractors

1⁄2

Property/asset managers

1⁄2

Suppliers

1⁄2

Supply chain (beyond 1 tier suppliers and contractors)

1⁄2

Other: ____________

×

Upload

Indicate where in the evidence the relevant information can be found____

No

Not applicable

Q40

3 points , MP, G

SE4.2

Does the entity engage with its supply chains to ensure the specific ESG requirements in SE4.1 are met?

Yes

Describe the process (maximum 250 words): ____________

No

Not applicable

NEW

Not scored , MP, G

SE5.1

Does the organization monitor property/asset managers’ compliance with the ESG-specific requirements in place for this entity?

Yes

The organization monitors compliance of:

Internal property/asset managers

External property/asset managers

Both internal and external property/asset managers

Select all methods used (multiple answers possible)

3⁄8

Checks performed by independent third party

Name of the organization Service provider

3⁄8

Property/asset manager sustainability training

3⁄8

Property/asset manager self-assessments

3⁄8

Regular meetings and/or checks performed by the organization‘s employees

Require external property/asset managers‘ alignment with a professional standard

3⁄8

Standard: ____________

3⁄8

Other: ____________

×

Upload

Indicate where in the evidence the relevant information can be found____

No

Not applicable

Q41.1

2 points , IM, S

SE5.2

Does the organization monitor other direct external suppliers’ and/or service providers’ compliance with the ESG-specific requirements in place for this entity?

Yes

Select all methods used (multiple answers possible)

3⁄8

Checks performed by an independent third party

Name of the organization Service provider

3⁄8

Regular meetings and/or checks performed by the organization‘s employees

3⁄8

Regular meetings and/or checks performed by external property/asset managers

Require supplier/service providers‘ alignment with a professional standard

3⁄8

Standard: ____________

3⁄8

Supplier/service provider sustainability training

3⁄8

Supplier/service provider self-assessments

3⁄8

Other: ____________

No

Not applicable

Q41.2

2 points , IM, S

SE6

Is there a formal process for stakeholders to communicate grievances that applies to this entity?

Yes

Select all characteristics applicable to the process:

Dialogue based

Legitimate

Accessible

Improvement based

Predictable

Equitable

Rights compatible

Transparent

Safe

Other: ____________

Which stakeholders does the process apply to? (select all that apply)

Community

Contractors

Employees

External property/asset managers

Service providers

Suppliers

Supply chain (beyond tier 1 suppliers and contractors)

Tenants

Other: ____________

No

Not applicable

NEW

Not scored , MP, S