Question
1.Does the company have and adhere to an environmental policy which sets out clear commitments and targets to improve th
2.Does the company's environmental policy have executive and/or board-level commitment, support, and endorsement?
3.Is the company's environmental policy regularly reviewed and updated accordingly?
4.Does the company have a functional environmental management system (EMS)?
5.Has the EMS been externally certified and if so to what standard e.g. ISO 14001?
6.Does the company provide employees and senior management with environmental induction/training where necessary?
7.Has the company implemented any significant projects/initiatives to improve environmental performance/standards/compl
8.Does the company conduct environmental risk and opportunity assessments of their activities?
9.Does the company have plans in place to respond to/manage any environmental and safety incidents such as oil/chemical sp
10.If the company is subject to seismic or other natural hazards at any of its locations, are emergency preparedness plans in p
1.Does the environmental policy cover climate change issues that could be relevant to the company?
2.Has the company conducted a baseline assessment of its carbon/GHG footprint?
3.Does the company regularly monitor GHG emissions (inclusive of non directly generated e.g. outsourced production & logisti
4.Has the company implemented any measures to reduce GHG emissions and its carbon footprint?
5. Is the company compliant with all required carbon and greenhouse gas (GHG) monitoring and reporting requirements?
6. Is the company compliant with legally mandated cap-and-trade schemes such as EU ETS, UK ETS, China National ETS?
7. Has the company conducted a climate change risk assessment to ascertain whether its operations could be at risk from curr
8. Has the company conducted a risk assessment to identify if any of its operations could be at risk from physical changes as
severe weather events) e.g. business disruption or damage to assets, supply chain and production?
1.The company does not have significant discharges to air as a direct result of is operations (note: 'Yes' confirms the company
2. The company does not have discharges of toxic emissions (note: 'Yes' confirms the absence of toxic emission discharges to a
3.Have plans been put in place to reduce or eliminate toxic emissions?
1.Have all hazardous/toxic chemicals or substances in its processes (note: 'Yes' confirms the absence of hazardous/toxic chem
2.Does the company have and follow procedures for the safe use, handling, storage and disposal of hazardous/toxic chemicals
3.There are no risks of soil contamination resulting from the activities of the company (note: 'Yes' confirms the absence of any
4. The company is unaware of any past or current soil or groundwater contamination issues at any of its locations or the nee
company is unaware of such issues or the need to conduct any investigations or remediation activity).
5.There have been no significant spills or leaks of hazardous/toxic chemicals or substances in the last three years (note: 'Yes' c
6.Have plans been put in place to reduce or replace hazardous/toxic chemicals and substances with more environmentally-frie
7.Has the company engaged with their suppliers to reduce or replace hazardous/toxic chemicals and substances with more en
8.Does the company assess contaminated land risks in the acquisition of new assets?
1.Does the company consider ESG principles in the sourcing of raw materials for production?
2. The company's production processes do not have an adverse impact on biodiversity - including deforestation, ecosystem
confirms no adverse impact on biodiversity).
3. The company's products, packaging, storage, supply, and use do not have an adverse impact on biodiversity - including de
degradation (note: 'Yes' confirms no adverse impact on biodiversity).
4.The company does not operate in an energy intensive sector (note: 'Yes' confirms the company does not operate in an energ
5.Are the company's primary energy sources from renewable resources?
6.Are there any plans in place to monitor energy consumption and reduce energy consumption, improve energy efficiency, an
7.Do the products offered have energy labelling/certifications where possible?
8.Has the company assessed opportunities to generate its own sources of energy/power at its locations?
9.The company operations are not water intensive (note: 'Yes' confirms the company's operations are not water intensive).
10.Have initiatives been put in place to monitor and reduce water consumption and improve efficiencies?
1.The company does not have significant discharges to land or water as a direct result of the business operations (note: 'Yes' c
2. The company's production processes do not generate significant quantities of waste or hazardous waste (note: 'Yes' confi
waste).
3.Does the company have and follow procedures for the responsible disposal of expired or unused raw materials?
4.Does the company have and follow procedures for the reduction, reuse, and recycling of waste?
1.Is the company fully compliant with all relevant environmental permits/licences/consents?
2. There have not been any environmental regulatory issues, breaches, non-compliances, enforcement actions, prosecution
breaches, or non-compliances in the last three years).
3.Has the company recognised adequate financial provisions in their annual accounts to address environmental issues, breach
1.Hazardous substances are not used in the production process (note: 'Yes' confirms the absence of hazardous substance use
2. The company is unaware of any potential disruption to the use of chemical/hazardous substances in the production proce
company is unaware of any potential disruption).
3.Is the company considering the use of more environmental-friendly and safer raw materials/chemicals in the production, pa
4.Are products/services offered designed to reduce their environmental impact throughout their lifecycle?
Environment, Social, Governance Checklist
Question Set Question
Worker Health & Safety
1. Does the company have and adhere to an
occupational health & safety (OHS) policy
which sets out clear commitments and targets
to improve worker health & safety?
2. Does the company's OHS policy have
executive and/or board-level commitment,
support, and endorsement?
3. Is the company's OHS policy regularly
reviewed and updated accordingly?
4. Does the company have a functional OHS
management system?
5. Has the OHS been externally certified and
if so to what standard e.g. ISO 45001, OHSAS
18001?
6. Does the company provide employees and
senior management with OHS
induction/training where necessary?
7. Do the company’s working conditions
show high regard for its employees’ health and
safety?
8. Does the company embrace a culture of
safety and has safety culture review been
conducted across the organisation?
9. Does the company have formal processes
for regularly undertaking workplace risk
assessments?
10. Does the company monitor and report
workplace incidents, accidents and near
misses?
11. The company has not had any significant
workplace incidents, accidents or near misses
in the last three years? (note: 'Yes' confirms the
absence of such incidents, accidents or near
misses in the past three years).
12. Has the company implemented any
significant projects/initiatives to improve OHS
performance/standards/compliance?
13. The company is unaware of any instance
where workers are or could have been exposed
to high incidence or high risk of diseases
related to their occupation (note: 'Yes' confirms
the company is unaware of such incidents).
14. The company is not presently, and has not
in the last three years been, subject to any
enforcement actions by regulators for breaches
of relevant OHS legislation (note: 'Yes' confirms
no such enforcement actions in the past three
years).
15. The company is not classified as a major
risk facility
Human Rights & Labour
Practices 1. Does the company have and adhere to a
policy which sets out clear commitments and
targets to support gender equality, racial
diversity and equal opportunity and
remuneration in the workforce?
2. Does the company have and adhere to a
policy which sets out clear commitments and
targets that cover discrimination and child,
forced or compulsory labour in its workforce
and its supply chain?
3. Does the company have and adhere to a
policy which sets out clear commitments and
targets that covers sexual harassment?
4. Does the company have and adhere to a
policy which sets out clear commitments and
targets to identify, assess and address human
rights, labour standards and modern slavery
risks in its operations and throughout its supply
chain?
5. Does the company have and adhere to a
policy which supports freedom of association,
the right to organise and collective bargaining
in its operations and throughout its supply
chain?
6. Do all employees have formal contracts of
employment?
7. Does the company abide by the 8
Fundamental Conventions of the International
Labour Organization (ILO) throughout its
operations and supply chains?
8. Is ongoing compliance with the ILO
Conventions a stated objective by the
company?
9. Does the company provide ESG training to
employees?
10. Is there a formal and functional grievance
mechanism for employees and contractors?
11. Are employees able to share their views
and concerns and are they heeded and
responded to?
12. Does the company promote employee
engagement and is there worker
representation at the company?
13. Does the company have insurance policies
in place for employees and industrial injury
claims?
14. Does the company have programs in place
to reduce employee turnover and improve
talent retention rates?
15. Does the company offer an employee
benefits program?
16. Do all employees meet minimum age
standards and regulations?
17. Do all employees meet minimum wage
standards and regulations?
18. Does the company ensure that sub-
contractors are treated fairly, ethically and in
accordance with local standards and
regulations?
19. Does the company employ migrant
workers and if so, do they ensure minimum
standards of human rights are adhered to?
20. If the company employs migrant workers,
are they able to work with associations or
NGO's that support the rights of migrant
workers e.g. Migrants’ Rights Network Network
(UK)?
21. Is the company compliant with all local
regulations where they operate in relation to
modern slavery e.g. the Modern Slavery Act
2015 in the UK?
Regulatory compliance - Social
1. The company has not been subject to any
enforcement action by regulatory authorities
for breaches of relevant employment, health &
safety legislation in the last three years (note:
'Yes' confirms the absence of such enforcement
actions in the past three years).
2. The company has not had any serious
social-related complaints, claims, enforcement
actions associated with employees or key
stakeholders such as customers or suppliers in
the last three years (note: 'Yes' confirms the
absence of any such complaints, claims, or
enforcement actions).
3. The company has not had any serious
human rights or labour-related complaints,
claims, enforcement actions in the last three
years (note: 'Yes' confirms the absence of such
complaints, claims or enforcement actions).
4. The company’s suppliers have not had any
serious human rights or labour-related
complaints, claims, enforcement actions in the
last three years (note: 'Yes' confirms the
absence of such complaints, claims or
enforcement actions).
Community Involvement 1. Does the company provide community
investments, sponsorships, or product
donations?
2. Are there any formal community relations
programs in place to promote company
involvement in the community
3. The company has not been involved in any
community or workforce unrest in the last
three years (note: 'Yes' confirms the absence of
such unrest).
4. The company has not been involved in any
negative NGO/media campaigns in the last
three years (note: 'Yes' confirms the absence of
such involvement).
5. Does the company have formal programs
in place to improve its social impact, internally
and in the broader community?
Consumer Safety & Product
Safety 1. Does the company have policies in place to
ensure the health and safety of consumers?
Consumer Safety & Product
Safety
2. Is the company compliant with any
product or sector specific regulations that it is
bound by e.g. food safety, pharma GMP, other?
3. Is the company compliant with
product/service information and fair
disclosure/labelling it is bound by?
4. The company has not been involved in any
incidents of non-compliance concerning
product or service information or fair
disclosure/labelling in the past three years
(note: 'Yes' confirms the absence of such
involvement).
5. Does the company take responsibility for
the environmental impacts of its products
throughout their lifecycle?
al, Governance Checklist
Answer Type
Yes / No / NA
Yes / No / NA
Yes / No / NA
Yes / No / NA
Yes / No / NA
Yes / No / NA
Yes / No / NA
Yes / No / NA
Yes / No / NA
Yes / No / NA
Yes / No / NA
Yes / No / NA
Yes / No / NA
Yes / No / NA
Yes / No / NA
Yes / No / NA
Yes / No / NA
Yes / No / NA
Yes / No / NA
Yes / No / NA
Yes / No / NA
Yes / No / NA
Yes / No / NA
Yes / No / NA
Yes / No / NA
Yes / No / NA
Yes / No / NA
Yes / No / NA
Yes / No / NA
Yes / No / NA
Yes / No / NA
Yes / No / NA
Yes / No / NA
Yes / No / NA
Yes / No / NA
Yes / No / NA
Yes / No / NA
Yes / No / NA
Yes / No / NA
Yes / No / NA
Yes / No / NA
Yes / No / NA
Yes / No / NA
Yes / No / NA
Yes / No / NA
Yes / No / NA
Yes / No / NA
Yes / No / NA
Yes / No / NA
Yes / No / NA
Answer
Select answer
Select answer
Select answer
Select answer
Select answer
Select answer
Select answer
Select answer
Select answer
Select answer
Select answer
Select answer
Select answer
Select answer
Select answer
Select answer
Select answer
Select answer
Select answer
Select answer
Select answer
Select answer
Select answer
Select answer
Select answer
Select answer
Select answer
Select answer
Select answer
Select answer
Select answer
Select answer
Select answer
Select answer
Select answer
Select answer
Select answer
Select answer
Select answer
Select answer
Select answer
Select answer
Select answer
Select answer
Select answer
Select answer
Select answer
Select answer
Select answer
Select answer
Subject
Board Structure, Independence &
Accountability
Ethics & Codes of Conduct
ESG Management Practices &
Processes
Supply Chain Management
Data Privacy, Security &
Management
Disclaimer
Question
1.Does the Board of Directors include executive and non-executive directors?
2.Is the Chairman of the Board independent?
3.Does the company have a diverse board and a policy for ensuring diversity of board members?
4.Does the company avoid conflicts of interest in their choice of board members?
5.Are company shareholders consulted in relation to Board composition?
6. Is there a remuneration committee and is executive compensation consistent with the company's code of ethics/conduct
value statements?
7.Has the company established an ESG committee/steering committee at board level to monitor ESG performance?
8.Does the ESG committee/steering committee meet regularly and is it chaired by a senior executive or board member?
9.Is a board member assigned dedicated responsibility for ESG/sustainability/CSR matters within the company?
10.Are ESG issues and ESG improvement opportunities regularly discussed at board level?
11. Does company leadership respond to and interact with its shareholders and are company shareholders allowed to vote on
important ESG issues?
12.Does the Board of Directors communicate with management about governance and ESG issues raised?
13.Does the company practice responsible disclosure, transparency, and accountability to all stakeholders?
14. Does the company use accurate and transparent accounting methods and are the company's tax strategies and accountin
standards consistent with the company's code of ethics/conduct or value statements?
15.Does the company include information about actual and potential material climate risks in its financial statements?
16. Are the company's annual reports 'Paris-aligned' to properly reflect the impact on assets, liabilities, profits, and losses of
getting to net zero emissions by 2050?
17. Does the company publicly report ESG performance in accordance with any of the leading sustainability framework and
standard-setting organizations e.g. the Carbon Disclosure Project (CDP), the Climate Disclosure Standards Board (CDSB), the G
Reporting Initiative (GRI), the International Integrated Reporting Council (IIRC), or the Sustainability Accounting Standards Boa
(SASB)?
1. Does the company have and abide by a code of ethics/conduct or values statement to guide company conduct with hone
and integrity?
2. Does the company's code of ethics/conduct or values statement have executive and/or board-level commitment, support
and endorsement?
3.Is the company's code of ethics/conduct or values statement regularly reviewed and updated accordingly?
4.Is the company's code of ethics/conduct or value statement available on their website?
5.Does the code of ethics/conduct or value statement address fraud, bribery, and corruption?
6.Does the company actively safeguard against illegal practices?
7. Does the company have a gifts/corporate entertaining policy that is consistent with its code of ethics/conduct or values
statement?
8.Does the company have a whistle-blowing policy and program that is accessible, independently managed, and anonymous?
9. The company is not involved in any illegal practices and there have been no such issues in the past three years e.g. corrup
fraud, bribery (note: 'Yes' confirms the absence of any past or present illegal activities).
10. The company is not involved in any issues in relation to unfair labour practices, human rights abuses or other malpractice
there have been no such issues in the past three years? (note: 'Yes' confirms the absence of any past or present labour, human
rights, malpractice issues).
11. The company does not make financial or in-kind political contributions to obtain favorable treatment (note: 'Yes' confirms
absence of any such contributions).
12. There have been no corporate governance or ethical-related employee claims, breaches, enforcements, or litigation relati
to issues such as unfair labour practices or human rights abuses in the last three years (note: 'Yes' confirms the absence of suc
governance or ethical issues).
13. The company does not participate in public policy development or lobbying activities that could compromise their code o
ethics/conduct or values statement (note: 'Yes' confirms the absence of such public policy or lobbying activity).
14. The Board of Directors is not aware of any anti-trust issues e.g. price fixing, collusion, etc. (note: 'Yes' confirms the absenc
knowledge of any anti-trust issues).
15. There are no present or potential lawsuits that could compromise the company's adherence to its code of ethics/conduct
values statements (note: 'Yes' confirms the absence of such present or potential lawsuits).
1. Does the company have and adhere to an ESG policy which sets out clear commitments and targets to improve ESG
performance and management of key ESG risks and opportunities?
2.Does the company's ESG policy have executive and/or board-level commitment, support, and endorsement?
3.Is the company's ESG policy regularly reviewed and updated accordingly?
4.Does the company have a process to regularly evaluate what key ESG issues are relevant to the business?
5.Does the company have a documented ESG risk register?
6.Does the company have a functional and documented ESG improvement program?
7.Have ESG KPIs been established?
8.Are there systems in place for monitoring and reporting ESG KPIs and issues to senior management and the Board of Directo
9.Has the company assigned a designated reference person for day-to-day ESG matters who is specifically trained in ESG?
10.Does the company's code of ethics/conduct or value statements embrace ESG issues and principles?
11. Does the Company publish an ESG, Corporate Social Responsibility (CSR) or Sustainability report on its website and in its
annual accounts?
12. Is the company a member of and/or abide by the guidelines embraced by the Principals for Responsible Investment (PRI),
Global Compact or the Institutional Investors Group on Climate Change, or any other relevant organisation?
13.Has the company conducted an ESG risk assessment of media, stakeholders, and other public sources external to the comp
1.Does the company work with and select suppliers that hold the same values as it claims to hold?
2.Are ESG criteria included in the selection and monitoring of key suppliers?
3. If suppliers are in emerging markets with high social, human labour, environmental risks, are these suppliers incorporated
the company's ESG risk assessments and ESG activities?
4.Does the company have a responsible purchasing policy or code of ethics/conduct for suppliers?
5. Does the company have a process in place to conduct anti-bribery, anti-corruption due diligence on new suppliers, contra
etc.?
6.Do all suppliers abide by the 8 Fundamental Conventions of the International Labour Organization (ILO)?
7. The company is unaware of any potential disruption to the supply of chemical/hazardous substances used in the producti
process due to regulatory phase-out e.g. REACH regulation (note: 'Yes' confirms the company is unaware of any potential supp
chain disruption).
8.Does the company conduct supply chain risk assessments that include procurement, suppliers, and logistics?
1. Does the company have and adhere to policies which set out clear commitments and targets to improve data protection,
privacy, and security?
2. Do the company's data protection, privacy and security policies have executive and/or board-level commitment, support,
endorsement?
3.Are the company's data protection, privacy and security policies regularly reviewed and updated accordingly?
4.Does the company have a functional data protection, privacy and security management system e.g. ISO 27001?
5. Has the data protection, privacy and security management system been externally certified and if so to what standard e.g
27001?
6. The company is unaware of any breaches in cyber security within the last three years (note: 'Yes' confirms the company is
unaware of such breached).
7. The company is unaware of any substantiated complaints regarding breaches of customer privacy or loss of customer dat
the last three years (note: "Yes' confirms the absence of such complaints).
This checklist provides general information and is meant as an example checklist only. This is not to be considered advice, nor
treated as such. The information provided herein is provided without any representations or warranties – express or implied a
Certainty Software Inc. makes no representations or warranties in relation to this checklist.
1. Does the board member
include independent and non-
independent directors for
oversight and supervisory
purpose?
2. Does the company has
disclosure of remuneration?
3. Does the company has a
substainability department head
for esg reporting/disclosure
