the new icompli csrhub esg metrics brief

ESG METRICS BRIEF

www.icomplisustainability.com www.CSRHub.com

The New iCompli CSRHub ESG Metrics Brief

The ESG Metrics Brief provides concise and comprehensive feedback on

corporate sustainability performance. This unique benchmarking report

delivers quick, easily digestible information on over 120 environmental,

social and governance indicators. Whether you are a corporate

sustainability, procurement, or investor relations officer, the ESG Metrics

Brief will help you assess performance, identify potential brand and

reputation vulnerabilities, and make more informed decisions.

Using the ESG Metrics Brief, you can see how a company compares with its

peers on the CSRHub rating system as well as other leading public and

private sustainability scoring frameworks, including Bloomberg and CDP.

You can examine a company’s current performance on key indicators as

GHG, water, waste, injury rates, women in management, track a company’s

progress over time, and view industry averages.

All rights reserved to iCompli and CSRHub. This report cannot be copied or distributed. Date: 11/20/2015 Page: 1

http://www.icomplisustainability.com/

http://www.csrhub.com/

ESG METRICS BRIEF

F US Equity 1283 GICS

Industry Group

Automobiles &

Components# of Employees 197,000 P/E 9.84

Market Cap ($M) 57,803 Stock Price ($) 14.57 P/S 0.40

Revenue ($M) 144,077 YTD Return -2.22% P/B 2.10

EV/EBITDA 3.42

Div Yield 3.95

News Sentiment 0.26

Exp Future ß 0.99

S&P Rating BBB-

S&P Outlook STABLE

Moody's Rating Baa3

Moody's Outlook STABLE

Fitch Rating BBB-

Fitch Outlook POS

CSRHub

60Community

56Employees

67Environment

64Governance

53

FORD MOTOR CO

CSRHub RATINGSᵃ

OTHER RATINGS

11/20/2015Report DateFinancial Overviewᵇ

Automotive Sector94%

Financial Services Sector

6%

0%0%0%0%0%0%

Revenue by Productᵇ

Total Americas63%

Total Ford Europe and PAG

20%

Asia Pacific8%

Financial Services

6%Middle East &

Africa3%0%

0%0%0%0%0%0%0%

Revenue by Geographyᵇ

0.00

10.00

20.00

30.00

40.00

50.00

60.00

2007 2008 2009 2010 2011 2012 2013 2014

Bloomberg ESG Disclosure Scoreᵇ

Peer Median FORD MOTOR CO S&P 500 Median

0

2

4

6

8

10

CURRENT

ISS Governance QuickScoreᵇ (lower is better)

Peer Median FORD MOTOR CO

S&P 500 Median

0

10

20

30

40

50

60

70

80

90

CURRENT

Sustainalytics Scoreᵇ

Peer Median FORD MOTOR CO

S&P 500 Median

0.00

1.00

2.00

3.00

4.00

5.00

2010 2011 2012 2013

CDP Performance Scoreᵇ

Peer Average FORD MOTOR CO S&P 500 Average

40.00

50.00

60.00

70.00

80.00

90.00

100.00

2007 2008 2009 2010 2011 2012 2013

CDP Disclosure Scoreᵇ

Peer Average FORD MOTOR CO S&P 500 Average

0

10

20

30

40

50

60

70

CURRENT

Bloomberg ESG Scoresᵇ

Environmental Social Governance

35

40

45

50

55

60

65

Dec

-08

Ap

r-0

9

Au

g-0

9

Dec

-09

Ap

r-1

0

Au

g-1

0

Dec

-10

Ap

r-1

1

Au

g-1

1

Dec

-11

Ap

r-1

2

Au

g-1

2

Dec

-12

Ap

r-1

3

Au

g-1

3

Dec

-13

Ap

r-1

4

Au

g-1

4

Dec

-14

Ap

r-1

5

Au

g-1

5

CSRHub Rating

FORD MOTOR CO CSRHub Durable Goods Ind Group

0

100

200

300

400

500

CSRHub Overall Rating CSRHub Distribution FORD MOTOR CO


ESG METRICS BRIEF

64 63

Energy Consumption per Revenue 103.69 RX262

NOx Emissions per Revenue Th.mt/$M No Data (ES007*1000)/IS010

NOx Emissions Th. tonnes No Data ES007

Renewable Energy Consumption % No Data (ES015/ES014)*100

Renewable Energy Use (MWh) No Data ES015

SO2/SOx Emissions M. tonnes No Data F0949

SO2/SOx Emissions per Revenue mt./$M No Data (F0949*1,000,000)/IS010

Total Energy Consumption (MWh) 14,940 ES014

Total GHG Emissions per Revenue (mt/$M) 31.93 F0950

GHG Scope1 No Data ES076



CDP Performance Score 2013 2 ES634

CDP Climate Change Disc. Score 2013 81 ES515

CDP Percentage Data Verified Scope 1 No Data ES628



Water Use Per Revenue 174.21 RX266

Water Recycled (%) 3.98 ES017

Waste Generated per Revenue No Data RX382

Total Waste (Th Tones) No Data ES020

Waste Recycled (Th. Tones) No Data ES021

Waste Recycled % No Data

Biodiversity Policy Y ES088

Climate Change Policy Y ES071

Energy Efficiency Policy Y ES035

Environmental Supply Chain Management Y ES037

Green Building Policy Y ES038

New Products - Climate Change N ES042

Waste Reduction Policy Y ES039

Water Policy Y ES247

ES247

Coal Involvement N

Fracking Involved N

Nuclear Power Involved N

OceaNo Red List N

Pesticides & Pollutants N

Sustainable Forestry Supporter N

CSRHub Subcategory:

Energy & Climate Change

CSRHub Subcategory:

Environment Policy & Reporting

CSRHub Subcategory:

Resource Management

ENVIRONMENT CSRHub

Environment Rating 64

KPIsᵇ

Environmental Issuesᵃ

Environmental Policiesᵇ

Bloomberg Environmental

ESG Disclosure Scoreᵇ 47

66

0

1

2

3

4

5

6

7

8

2006 2007 2008 2009 2010 2011 2012 2013 2014

Renewable Energy Use %ᵇ

FORD MOTOR COS&P500 MedianPeer Median

0.00

10.00

20.00

30.00

40.00

50.00

2006 2007 2008 2009 2010 2011 2012 2013 2014

Bloomberg Env. Disc. Scoreᵇ

FORD MOTOR CO Env Disc Score

0

20

40

60

80

100

120

140

160

180

200

2006 2007 2008 2009 2010 2011 2012 2013 2014

Energy Intensityᵇ

FORD MOTOR CO S&P500 Median

Peer Median

0

2

4

6

8

10

12

14

16

18

2006 2007 2008 2009 2010 2011 2012 2013 2014

Waste Intensityᵇ


10

110

210

310

410

510

610

710

810

910

2006 2007 2008 2009 2010 2011 2012 2013 2014

Water Intensityᵇ


0

100

200

300

400

500

33

-36

36

-39

39

-42

42

-45

45

-48

48

-51

51

-54

54

-57

57

-60

60

-63

63

-66

66

-69

69

-72

72

-75

75

-78

78

-81

CSRHub Environment Ratingsᵃ

CSRHub Environment Ratings FORD MOTOR CO

30

35

40

45

50

55

60

65

70

CSRHub Environment Ratingᵃ


64

6059

Environment

CSRHub Environment Rating Comp.ᵃ

FORD MOTOR CO Durable Goods Sector USA


ESG METRICS BRIEF

52 51

Number of Contractors No Data ES258

Community Spending ($M) 46 ES055

Community Spending/Profit Before Tax (%) 1.05 RX310

Number of Customer Complaints No Data ES120

Number of Suppliers Audited No Data ES116

Number of Supplier Audits Conducted No Data ES117

Social Supply Chain Management 1 ES118

Number Supplier Facilities Audited No Data ES119

Sustain Sup Guidelines Encomp ESG Area Pub Disclsd 1 ES198

Sustainable Investment/Capital Expenditures No Data RX392

Political Donations/Profit Before Tax 0 RX311

Assurance Auditor No Data ES100

Consumer Data Protection Policy N ES370

Intellectual Property Rights Protection Policy N ES368

Quality Assurance and Recall Policy N ES369

Anti-Bribery Ethics Policy Y ES197

Business Ethics Policy Y ES069

Human Rights Policy Y ES059

Policy Against Child Labor Y ES332

Social Supply Chain Management Y ES118

Animal Test User Y

Burma Involved N ES247

Child Labor Involved N

Iran Involved N

Military Contractor N

NRA Anti Gun List N

Sudan Involved N

Tea Party Boycott List N

KPIsᵇ

Community CSRHub Community

Rating 56 Bloomberg Social ESG

Disclosure Scoreᵇ 49

Community Related Issuesᵃ

CSRHub Subcategory:

Community Dev & Philanthropy

CSRHub Subcategory:

Product 65 CSRHub Subcategory:

Human Rights & Supply Chain

Community Related Policiesᵇ

0.00

10.00

20.00

30.00

40.00

50.00

60.00

2006 2007 2008 2009 2010 2011 2012 2013 2014

Bloomberg Soc. Disc. Scoreᵇ ᶜ

FORD MOTOR CO Social Disc Score

0

100

200

300

400

500

600

24

-27

27

-30

30

-33

33

-36

36

-39

39

-42

42

-45

45

-48

48

-51

51

-54

54

-57

57

-60

60

-63

63

-66

66

-69

69

-72

72

-75

CSRHub Community Ratingᵃ

CSRHub Community Ratings FORD MOTOR CO

30

35

40

45

50

55

60

65

CSRHub Community Ratingᵃ


0

10

20

30

40

50

60

70

80

90

2006 2007 2008 2009 2010 2011 2012 2013 2014

Community Spending ($M)ᵇ

FORD MOTOR CO Peer Average S&P 500 Average

0.10

0.60

1.10

1.60

2.10

2.60

3.10

2006 2007 2008 2009 2010 2011 2012 2013 2014

Community Spending (% of Profit Before Tax)ᵇ

FORD MOTOR CO Peer Average S&P 500 Average

56 56

58

Environment

CSRHub Community Rating Comp.ᵃ



ESG METRICS BRIEF

65 68

Personnel Expenses ($M) No Data IS069

Employee Wages No Data FS037

Number of Employees 187,000 RR121

Personnel Cost per Employee ($) No Data No Data

Employee Turnover No Data ES044

Employee Training Cost No Data ES094

Women Employees % 26 ES047

Women in management % 18 ES046

Women in Management to Women in Worlforce Ratio#N/A Invalid Field ES046/ES047

Employees Unionised % No Data ES045

Defined benefit plan expenses 1057 IS176

Defined benefit plan expenses per employee No Data IS176/RR121

Fatalities - Contractors 4 ES052

Fatalities - Total 4 ES054

Lost Time Incident Rate 0.38 ES092

Total Recordable Incident Rate No Data ES121

Fatalities per 1000 Employees 0.0214 RX389

Lost Time Incident Rate - Contractors No Data ES260

Total Recordable Incident Rate - Contractors No Data ES261

% Total Fatalities - Contractors 4 ES052

% Minorities in Management No Data ES048

% Minorities in Workforce No Data ES049

% Disabled in Workforce No Data ES091

ES091

ES017

Employee Protection / Whistle Blower Y ES196

Equal Opportunity Policy Y ES058

Fair Remuneration Policy N ES070

Health and Safety Policy Y ES057

Training Policy Y ES068

Employee CSR Training N ES093

Social Supply Chain Management Y ES118

ES247

Gay & Lesbian Sensitive Y

Labor Unions Supporter N

Working Mother-Friendly N

KPIsᵇ

Employee Related Policiesᵇ

Employee Related Issuesᵃ

CSRHub Subcategory:

Compensation & Benefits

CSRHub Subcategory:

Diversity & Labor Rights 67 CSRHub Subcategory:

Training, Health & Safety

Employees CSRHub Employees



0.2

2.24.2

6.2

8.2

10.2

12.2

14.216.2

18.2

20.2

% Women in Management / % Women in Workforceᵇ

FORD MOTOR CO S&P500 Average

0

0.5

1

1.5

2

2.5

3

Number of employees per $M Revenueᵇ


0.00

0.01

0.02

0.03

0.04

0.05

0.06

0.07

0.08

Fatalities per 1000 Workersᵇ


0.01

0.11

0.21

0.31

0.41

0.51

0.61

0.71

0.81

Lost Time Incident Rateᵇ


30

35

40

45

50

55

60

65

70

Dec-08 Dec-09 Dec-10 Dec-11 Dec-12 Dec-13 Dec-14

CSRHub Employees Ratingᵃ


67

58 58

Employee

CSRHub Employees Rating Comp.ᵃ


0.00

10.00

20.00

30.00

40.00

50.00

60.00

2006 2007 2008 2009 2010 2011 2012 2013 2014

Bloomberg Soc. Disc. Scoreᵇ ᶜ

FORD MOTOR CO Social Disc Score

0

100

200

300

400

500

24

-27

33

-36

39

-42

42

-45

45

-48

48

-51

51

-54

54

-57

57

-60

60

-63

63

-66

66

-69

69

-72

72

-75

75

-78

CSRHub Employees Ratingᵃ

CSRHub Employee Ratings FORD MOTOR CO


ESG METRICS BRIEF

46 56

Size of the Board 15 ES061

Independent Directors % 80 ES063

Women Directors % 13.333 ES096

Non Executive Directors % 86.67 ES285

Director Avg Age 62.6 ES097

Board of Directors Age Range 20 ES296

CEO Duality 0 ES099

CEO Tenure 4 ES299

Size of Audit Committee 4 ES299

Independent Directors on Audit Committee % 100 ES301

Company Auditor PWC DS666

Years Auditor Employed No Data ES182

Total CEO Comp ($M) 40.64 CG001

CEO / Employee Pay Ratio No Data CG001/(FS037/RR121)

Executive Avg. Comp. 12.11 CG233

Executive Avg. Comp. ($)as % of Revenue 0.01% CG233/IS010

Equity Float (M) 3,752 DS377

Current Shares Outstanding Actual (M) 3,898 DS973

ES515

RX266

Verification type Y ES073

Classified Board System N ES183

Unitary or Two Tier Board System N ES193

Presiding Director Y ES169

Independent Chairperson N ES273

CSR/Sustainability Committee Y ES319

Non-Executive Director with Responsibility for CSR N ES320

Executive Compensation Linked to ESG N ES110

ESG Linked Compensation for Board N ES195

Committee has Responsibility for Climate Change Y ES592

UN Global Compact Signatory Y ES089

GRI Checked? N ES114

ES247

Diverse Board N

Governance CSRHub Governance



Governance Related Issuesᵃ

Employee Related Policiesᵇ

CSRHub Subcategory:

Board

CSRHub Subcategory:

Leadership Ethics 56 CSRHub Subcategory:

Transparency & Reporting

KPIsᵇ

0

50

100

150

200

27

-30

30

-33

33

-36

36

-39

39

-42

42

-45

45

-48

48

-51

51

-54

54

-57

57

-60

60

-63

63

-66

66

-69

69

-72

CSRHub Governance Ratings

CSRHub Governance Ratings FORD MOTOR CO

30

35

40

45

50

55

60

65

CSRHub Governance Ratingᵃ


53

51

49

Governance

CSRHub Governance Rating Comp.


55

60

65

70

75

2006 2007 2008 2009 2010 2011 2012 2013

Bloomberg Gov. Disc. Scoreᵇ

FORD MOTOR CO Governance Disc Score

0

10

20

30

40

50

Mill

ion

s

COE Compensationᵇ

FORD MOTOR CO

GICS Automobiles & Components Sector

Max of the Industry

-

2

4

6

8

10

12

14

Mill

ion

sAverage Executive Comp.ᵇ

FORD MOTOR CO


Max of the Industry

-

5

10

15

20

Num. of Board Directorsᵇ

FORD MOTOR CO


Max of the Industry

-

10

20

30

40

% Women on Boardᵇ

FORD MOTOR CO


Max of the Industry


ESG METRICS BRIEF

GENERAL MOTORS CO ᵃTESLA MOTORS INC

FIAT CHRYSLER AUTOMOBILES NV

ᵇ

ᶜ

Asset4 Know The Chain

Brand Finance 2013-14 MSCI ESG CarbonMetrics

Brand Finance 2014-15 Newsweek Top 500 Green Companies 2013

Best Workplace for Commuters 2013 Newsweek Top 500 Green Companies 2015

Best Workplace for Commuters 2014 Newsweek Top 500 Global Green Companies 2013

Better World Companies Newsweek Top 500 Global Green Companies 2015

CalPERS Proxy Voting 2012 RepRisk ESG Business Intelligence

Carbon Disclosure Project 2014 Full Data ReportWatch

Corporate Equality Index 2014 Reputation Quotient

Ceres SRI-Connect

The Center for Political Accountability 2011 Trucost

Div50 2013 Vigeo

Div50 2014 World Business Council for Sustainable Development

EDF Climate Corps 2014 Women's Business Enterprise National Council (WBENC)

EDF Climate Corps 2015 WEConnect International

Electronic Industry Citizenship Coalition iCompli ESG Metrics Brief

Environmental Investment Organisation

EIRIS

Ekobai B2B Directory

EPEAT

Equal Opportunity 2014

Equal Opportunity 2015

ET Global Index

Fair Labor Association

MSCI Impact Monitor

Glassdoor 50 Highest Rated CEOs 2013



Glassdoor.com Top 50 Best Places To Work 2014

Glassdoor.com Top 50 Best Places To Work 2015

Glassdoor

Governance Metrics International

Global Reporting Initiative 2012



Global RepTrak 2013 Reputation Institute



Human Rights Campaign 2014 List

Human Rights Campaign 2015 List

Investis IQ

MSCI ESG Intangible Value Assessment

IW Financial

Peers

CSRHub Sources Used to Generate These Ratings

FootnotesThis analysis is based on data

retrieved from CSRHub. CSRHub

scores for the Russel 3000

companies were used as the

benchmark.

This analysis is based on data

retrieved from Bloomberg.

Data Sources

CSRHub divides the "Social"

category in Bloomberg's ESG

reporting into "Community" and

"Employees." Therefore, we

have used the same Bloomberg's

Social ESG Disclosure score as the

comparator for each of CSRHub's

two categories.


ESG METRICS BRIEF

% Total Fatalities - Contractors

Animal Test User

Assurance Auditor

Biodiversity Policy

Board of Directors Age Range

Number of employees with disabilities at the company as a percentage of the total number of company employees.

Number of minorities employed in management positions at the company expressed as a percentage of the total group number of employees in management positions.

Minorities should be expressed as such by the company.

Glossary

Percentage of scope 2 reported emissions which have been verified/assured. Scope 2 emissions are indirect greenhouse gas (GHG) emissions that are caused by the company

through the consumption of imported heat, electricity, cooling, or steam. This field refers to the 2010 questionnaire, section 20.1A.

Indicates whether the company has established ethical guidelines and/or a compliance policy for its non-management/executive employees in the conduct of company business.

'N' indicates the company has not explicitly disclosed this policy in its most recent Annual or Company Responsibility Reports.

Reflects the comprehensiveness of a company's response in terms of the depth and breadth of its answers to the Carbon Disclosure Project (CDP) questionnaire. The score is

normalized to a 100-point scale. Not all company responses are scored. For example, groups of companies based on market capitalization are not scored. Generally, companies

scoring within a particular range suggest levels of commitment to, and experience of, carbon disclosure.

Percentage of scope 1 reported emissions which have been verified/assured. Scope 1 emissions are direct greenhouse gas (GHG) emissions from sources that are owned or

operated by the company. This field refers to the 2010 questionnaire, section 20.1A.

# of Employees

% Disabled in Workforce

% Minorities in Management

% Minorities in Workforce

Companies on this list have a policy of testing the safety of their products on animals. Some may consider this a positive way to ensure that products do not harm humans. Some

may consider this a negative, as it causes death an in some cases suffering, for animals. Sources used: Alex's Guide, Asset4,Better World Companies, Caring Consumer, IW

Financial,Understanding Animal Research.

Indicates whether the company has policies in place to prevent bribery of its employees, executives, and directors by others, and/or the prevention of involvement in any corrupt

business practices limiting open competition by deception, including but not limited to: cartels, collusion, fraud, embezzlement, nepotism, price fixing, and preferred patronage.

Auditor for the company's environmental, social and governance (ESG) data.

Indicates whether the company has implemented any initiatives to ensure the protection of biodiversity. This might include trees and vegetation as well as wildlife and

endangered species.

Number of directors on the company's audit committee; includes full time directors only, deputy members of the committee will not be counted.

The number of employees of the company as of the period end date. This field is based on the number of full time equivalents. If unavailable, then the number of full time

employees is used, excluding part time employees. If the period end number is not disclosed, the average number of employees may be used. This field cannot be overridden

historically. In order to access historical number of employees, please use RR121 Number of Employees.

Number of minorities employed at the company expressed as a percentage of the total group number of employees. Minorities should be expressed as such by the company.

Field is part of the Environmental, Social and Governance (ESG) group of fields.

Number of contractors who have died on a company site or on a company facility or as a result of a company's operations.

Classified board system or staggered board system allows for the division of directors into separate classes (often three) serving staggered terms, with only one class of directors

up for re-election at a given annual shareholder meeting. Terms for directors on classified boards vary, but one, three and five year terms are common. A classified board system

makes proxy fights and/or hostile takeover attempts more difficult as hostile bidders cannot gain control of the board in one annual meeting, but would need to win shareholder

votes in two consecutive shareholder meetings.

Indicates whether the company has outlined its intention to help reduce global emissions of the Greenhouse Gases that cause climate change through its ongoing operations

and/or the use of its products and services. Examples might include efforts to reduce Greenhouse Gas (GHG) emissions, efforts to improve energy efficiency, efforts to derive

energy from cleaner fuel sources, investment in product development to reduce emissions generated or energy consumed in the use of the company's products etc. "N" indicates

that the company has not explicitly disclosed any such efforts in its most recent Annual or Company Responsibility reports.

Percentage of scope 3 reported emissions which have been verified/assured. Scope 3 emissions are those from the company's supply chain operations, employee travel, and

other indirect sources. This field refers to the 2010 questionnaire, section 20.1A.

Reflects the level of company commitment to climate change mitigation, adaptation, and transparency. The score is calculated for companies scoring 50 points or above on the

CDP Disclosure Score (ES515, CDLI_SCORE). Bloomberg converts CDP Climate Performance Bands to numerical values as follows:

5 - Band A/A- (>85%) 4 - Band B (>60%) 3 - Band C (>40%) 2 - Band D (>20%) 1 - Band E (>0%)

Ratio of CEO compansation to employee compensation.

Indicates whether the company's Chief Executive Officer is also Chairman of the Board, as reported by the company. 'N' indicates the two roles are separate.

Age range of the members of the company board in years, calculated by subtracting the age of the youngest director on the company board from the age of the oldest director

on the company board, as of the date of the last filing. Where the company has a two-tier board, this field refers to the supervisory board.

The companies on this list are involved in Burma, either through subsidiaries located in the country or through trade or other commercial arrangements with it. Some consider

interaction with Burma to be negative, as it may support the Burmese regime. Others may consider interaction with Burma as positive, as it may increase interaction with

Burmese society and improve the welfare of its people. Sources used: Burma Campaign, Global Union.

Anti-Bribery Ethics Policy

CEO Duality

CEO Tenure

Classified Board System

Climate Change Policy

CDP Percentage Data Verified Scope 1



CDP Performance Score

CEO / Employee Pay Ratio

Burma Involved

Business Ethics Policy

CDP Climate Change Disc. Score


ESG METRICS BRIEF

Companies on this list are involved in the coal industry either via coal mining, production of coal mining-related equipment, coal-based power production, or engineering

services. Sources used: Coal Mining Engineer's List, Van Eck Global Coal, Power Shares Global Coal, Source Watch Carbon, U.S. Energy Information Administration Coal

Producers, Yahoo! Coal.

Consumer Data Protection Policy

Indicates if a board committee or other executive body has overall responsibility for climate change. The response is directly from the company's response to the Carbon

Disclosure Project (CDP) questionnaire.

Amount of money spent by the company on community-building activities, in millions.

Community spending as a percentage of pre-tax profit. To compare companies around the world, this ratio should be converted to a common currency. Ratio is calculated based

on data items disclosed in company filings. Will not return a value when pre-tax result is a loss. Calculated as:

(Community Spending / Pre-Tax Profit) * 100

Company's Auditor based on period end date.

Indicates whether the company has implemented any initiatives to ensure consumer data protection and privacy. Covered for companies listed in Hong Kong and Korea. This field

is part of the Environmental, Social and Governance (ESG) group of fields.

Glossary

CSR/Sustainability Committee

Current Shares Outstanding Actual (M)

Defined benefit plan expenses

Defined benefit plan expenses per employee

Committee has Responsibility for Climate

Change

Community Spending ($M)

Community Spending/Profit Before Tax

Company Auditor

Coal Involvement

Employee Training Cost

Employee Turnover

Employee Wages

Employees Unionised %

Energy Consumption per Revenue

Director Avg Age

Div Yield

Diverse Board

Employee CSR Training

Employee Protection / Whistle Blower

Energy Efficiency Policy

Environmental Supply Chain Management

Equal Opportunity Policy

Equity Float (M)

ESG Linked Compensation for Board

Indicates whether the company has a corporate social responsibility (CSR)/sustainability (or equivalent) committee that reports directly to the board. This field will not return "Y"

if the company only has a Health and Safety Committee.

Total current number of shares outstanding. This data may have been obtained from annual, semi-annual, and quarterly reports, Edgar filings, press releases, or stock exchanges.

The value is the rounded number of shares, displayed in millions.

The net amount of pension cost (income) that is recognized in the income statement. The components of pension cost (income) are the service cost, interest cost on the

projected benefit obligation, expected return on plan assets, amortization of unrecognized prior service cost, recognition of net gain or loss, and the amortization of the net

obligation or net asset existing at the date of initial application of FAS 87.

Amount of defined benefit plan expenses per employee.

Discloses whether the company conducts training courses for employees on Corporate Social Responsibility (CSR).

Indicates whether the company has systems and policies in place for the reporting of internal ethical compliance complaints without retaliation or retribution, including but not

limited to access to confidential third-party ethics hotlines or systems for confidential written complaints.

Amount the company spent on employee training during the reporting period. Field part of Environmental, Social or Governance (ESG) group of fields.

Number of employees that left the company within the past year expressed as a percentage of the average total number of employees. High employee turnover may indicate

that employees are unsatisfied with their work at the company or their compensation, or that conditions at the company are unsafe or unhealthy.

Operating cost of employee wages, salaries and benefits for the period (in millions). Found in Income Statement, Operating Expenses.

Average age of the members of the board. Field part of Environmental, Social or Governance (ESG) group of fields.

Indication of the income generated by a share of stock. It is calculated by dividing Trailing 12M Dividend Per Share (RR838, TRAIL_12M_DVD_PER_SH) for single share companies),

as disclosed on the income statement, by the Last Price (PR005, PX_LAST). For companies where the dividend frequency and thereporting frequency don't match, this field may

not be available. Use override fields Equity Fundamental Year (DS324, EQY_FUND_YEAR) and Fundamental Period (DS323, FUND_PER) to retrieve dividend yield based on annual

dividend and the last price on annual period end date. For multiple share companies, this fieldmay not be available. If Dividend Yield (RR888, DIVIDEND_YIELD) is not available

refer to Dividend Indicated Yld - Net (DV012, EQY_DVD_YLD_IND_NET) and Dividend Indicated Yld - Gross (DV013, EQY_DVD_YLD_IND).

This company's board of directors has a diverse range of racial, sexual, and cultural backgrounds. Sources used: Asset4, Women and Minorities on Fortune 500 Boards--Alliance

for Board Diversity.

Number of shares that are available to the public. This figure is calculated by subtracting the shares held by insiders and those deemed to be stagnant shareholders from the

shares outstanding. Stagnant holders include ESOP's, ESOT's, QUEST's, employee benefit trusts, corporations not actively managing money, venture capital companies and shares

held by governments. The number of shares is stated in millions.

Indicates whether board compensation is linked to Environmental, Social and Governance (ESG) goals.

Number of employees that are covered by collective bargaining agreements or belong to labor unions as a percentage of the total number of employees.

Energy intensity calculated as megawatt hours of energy consumed per million of sales revenue in the company's reporting currency. (Energy Consumption * 1000000) / Sale

Indicates whether the company has implemented any initiatives to make its use of energy more efficient. "N" indicates that the company has not explicitly disclosed any such

efforts in its most recent Annual or Company Responsibility reports.

Indicates whether the company has implemented any initiatives to reduce the environmental footprint of its supply chain. Environmental footprint reductions could be achieved

by reducing waste, by reducing resource use, by reducing environmental emissions, by insisting on the introduction of environmental management systems etc. in the supply

chain. "N" indicates that the company has not explicitly disclosed any such efforts in its most recent Annual or Company Responsibility reports.

Indicates whether the company has made a proactive commitment to ensure non-discrimination against any type of demographic group. This could be in the form of an equal

opportunities policy, as described by the company.


ESG METRICS BRIEF

Fitch Outlook

EV/EBITDA

Executive Avg. Comp.

Executive Avg. Comp. ($)as % of Revenue

Executive Compensation Linked to ESG

Exp Future ß

Glossary

Independent Chairperson

Independent Directors %

Independent Directors on Audit Committee %

Intellectual Property Rights Protection Policy

Indicates whether the company chairperson was independent as of the fiscal year end wherever available, otherwise as at date of latest filing. Independence is defined according

to the company's own criteria. Where the company has a two-tier board, this field refers to the chairperson of the supervisory board.

Independent directors as a percentage of total board membership.

Scope 1/Direct Greenhouse Gas (GHG) Emissions of the company, in thousands of metric tons. GHG are defined as those gases which contribute to the trapping of heat in the

Earth's atmosphere and they include Carbon Dioxide (CO2), Methane, and Nitrous Oxide. Scope 1 Emissions are those emitted from sources that are owned or controlled by the

reporting entity.

Scope2/Indirect Greenhouse Gas (GHG) Emissions of the company in thousands of metric tons. Greenhouse Gases are defined as those gases which contribute to the trapping of

heat in the Earth's atmosphere and they include Carbon Dioxide (CO2), Methane, and Nitrous Oxide. Scope 2 Emissions are those emitted that are a consequence of the activities

of the reporting entity, but occur at sources owned or controlled by another entity. The principle source of Indirect Emissions is emissions from purchased electricity, steam

and/or heating/cooling.

Scope 3 Greenhouse Gas (GHG) Emissions of the company, in thousands of metric ton. Greenhouse Gases are defined as those gases which contribute to the trapping of heat in

the Earth's atmosphere and they include Carbon Dioxide (CO2), Methane, and Nitrous Oxide. Scope 3 emissions are all non-scope 2, indirect emissions, such as the extraction and

production of purchased materials and fuels, transport-related activities in vehicles not owned or controlled by the reporting entity, electricity-related activities (e.g.

Transmission & Distribution losses) not covered in Scope 2, outsourced activities, waste disposal, etc. Emissions reported as CO2 only will NOT be captured in this field. Emissions

reported as generic GHG emissions or CO2 equivalents (CO2e) will be captured in this field.

A text description indicating GICS industry group classification. GICS (Global Industry Classification Standard) is an industry classification standard developed by MSCI in

collaboration with Standard & Poors (S&P). The Global Industry Classification Standard consists of 10 sectors, 24 industry groups, 62 industries, and 132 sub-industries. The GICS

classification assigns an industry group name to each company according to its principal business activity.

Indicates whether the company has taken any steps towards using environmental technologies and/or environmental principles in the design and construction of its buildings.

"N" indicates that the company has not explicitly disclosed any such efforts in its most recent Annual or Company Responsibility reports.

Human Rights Policy

Current Enterprise Value / Trailing 12 Month EBITDA

Average total executive compensation paid to executives. Calculated as:

Total Compensation Paid to Executives / Number of Executives Included Compensation Paid During

Ratio of averate executive compensation to revenue.

Companies on this list have implemented policies that respond to the special needs of gay, lesbian, and transgender employees. These policies may include expanded health and

family leave policies, explicit rules regarding workplace discrimination, and management training programs. Sources used: IW Financial.

Indicates whether the company's application level or G4 General Standard Disclosures for "Materiality Matters" was checked by the Global Reporting Initiative (GRI).

Indicates whether the company has recognized its health and safety risks and responsibilities and is making any effort to improve the management of employee health and/or

employee safety. "N" indicates that the company has not explicitly disclosed any such efforts in its most recent Annual or Company Responsibility reports.

Indicates whether the company has implemented any initiatives to ensure the protection of the rights of all people it works with. "N" indicates that the company has not explicitly

disclosed any such efforts in its most recent Annual or Company Responsibility reports.

GHG Scope3

GICS Industry Group

Green Building Policy

GRI Checked?

Health and Safety Policy

Fitch Rating

Fracking Involved

Gay & Lesbian Sensitive

GHG Scope1

GHG Scope2

Fair Remuneration Policy

Fatalities - Contractors

Fatalities - Total

Fatalities per 1000 EmployeesTotal number of fatalities reported at the company, both employee and contractor, per thousand employees. Ratio is calculated based on data items disclosed in company filings.

Calculated as: Total Fatalities / Number of Employees

A FITCH Rating Outlook assesses the potential direction of a long-term credit rating over the intermediate to longer term.

Fitch long term IDR (Issuer Default Rating).

Companies on this list drill for natural gas in shale formations (called “shale plays”) using high-volume hydraulic fracturing, or “fracking” (sometimes spelled without the k). This

drilling technique is controversial, due to the lack of scientific understanding of the environmental risks (such as water contamination) and human health risks related to the

emissions released from the drilling process. These are Oil and Gas Extraction companies, otherwise called the "Exploration & Production" (E&P) business. However, this list also

includes companies that provide services related to Exploration & Production in the shale plays, such as gathering, processing transporting and storing natural gas. Sources

used: Mike Benard-founder of Spectra Energy Watch, FracFocus, FracFocus.ca, FracTracker, Government of New Brunswick, Ohio Government Department of Natural Resources

(ODNR), Pennsylvania Department of Environmental Protection, Marcellus Money, Marcellus Shale Coalition.

Indicates whether executive compensation is linked to Environmental, Social and Governance (ESG) goals.

Estimate of a security's future beta. This is an adjusted beta derived from the past six months of daily data, but modified by the assumption that a security's beta moves toward

the market average over time. The formula used to adjust beta is : Adjusted beta = (0.67) Raw Beta + (0.33) 1.0

Indicates if the company has demonstrated a group wide commitment to ensure payment of a fair (could be defined as minimum, living, or some other criteria) wage to all Group

employees, even in those countries that do not legally require a minimum wage.

Number of contractors who have died on a company site or on a company facility or as a result of a company's operations.

Total number of employees and contractors who have died on a company site, at a company facility, or as a result of a company's operations.

Independent directors as a percentage of total size of the company's audit committee. Independence is defined according to the company's own criteria.

Indicates whether the company has practices in place for observing and protecting intellectual property rights. Covered for companies listed in Hong Kong and Korea. This field is

part of the Environmental, Social and Governance (ESG) group of fields.

The companies on this list are involved in Iran, either through subsidiaries located in the country or through trade or other commercial arrangements with it. Sources used: AEI

IranTracker, California Iran Contracting Act,Protecting Florida’s Investments Act (PFIA), United Against Nuclear Iran (UANI).Iran Involved


ESG METRICS BRIEF

P/E

Nuclear Power Involved

Number of Contractors

Number of Customer Complaints

Number of Employees

Number of Supplier Audits Conducted

Non Executive Directors %

Non-Executive Director with Responsibility for

CSR

NOx Emissions per Revenue Th.mt/$M

NOx Emissions Th. tonnes

NRA Anti Gun List

Military Contractor

Moody's Outlook

Moody's Rating

New Products - Climate Change

News Sentiment

P/S

Personnel Cost per Employee ($)

Personnel Expenses ($M)

Pesticides & Pollutants

Number of Suppliers Audited

Number Supplier Facilities Audited

Oceana Red List

P/B

Total number of incidents involving contractors resulting in lost time from work, per 200,000 hours worked or per 100 full time equivalent (FTE) contracted employees. Per

contract employee disclosures are standardized assuming 2,000 hours worked per employee per year.

Current Shares Outstanding * Last Price

A supplier to an armed service or other agency or department that supports the military. Sources used: DOD List, IW Financial, SIPRI, Top 100 Military Friendly Employers.

A Moody's Rating Outlook assesses the potential direction of a short-term or long-term credit rating.

Moody's rating for a company's senior unsecured debt.

Employee membership in labor unions is encouraged and the approach to collective bargaining is fair and open. Sources used: Asset4, Better World

Companies, IW Financial, Vigeo.

Total number of incidents resulting in lost time from work, per 200,000 hours worked or per 100 full time equivalent employees, assuming employees work 40 hours per week

and 50 weeks per year.

GlossaryLabor Unions Supporter

Lost Time Incident Rate

Lost Time Incident Rate - Contractors

Market Cap ($M)

Total amount of nitrogen oxide (NOx) emitted by the company, in thousands of metric tons.

The National Rifle Association (NRA) publishes a list of companies it believes have an anti-gun ownership stance. The list includes companies who prohibit carrying guns on their

premises or in their parking lots and companies who have donated to causes the NRA considers anti-gun. Sources used: NRA.

These companies are involved either in generating nuclear power or in creating equipment or providing services to companies who generate nuclear power. Sources

used: EIA, IW Financial.

Number of employees of a third-party company retained for specific consulting or operational purposes at this company's facilities.

Number of customer complaints reported by the company related to its products or services. Incidents reported may include, but are not limited to, disruptions or dissatisfaction

with services provided, or defective, unsafe, or otherwise faulty products.

Indicates whether the company has developed and/or launched products during the current period only which address future impacts of climate change and/or which mitigate

customers' contributions to climate change by reduced Green House Gas (GHG) emissions.

Measure of the financial sentiment on a particular company from the perspective of a holder of that equity. This is measured by calculating sentiment on recent news stories on

the company and normalized using a proprietary Bloomberg algorithm. The measure is between -1, indicating most negative sentiment, to 1, indicating most positive sentiment,

with 0 indicating either neutral sentiment or balanced negative and positive sentiment.

Percentage of the board of directors that is comprised of non-executive directors, as of the fiscal year end wherever available, otherwise as of the date of the latest filing.

Includes outside directors in those markets where applicable. Where the company has a two-tier board, this field refers to shareholder representatives on the supervisory board.

Field is part of the Environmental, Social and Governance (ESG) group of fields.

Indicates whether there is a non-executive director on the board with responsibility for corporate social responsibility (CSR)/sustainability. This field will not return "Y" if there is

a non-executive director on the board with responsibility for health and safety only. Where the company has a two-tier board, this field refers to the supervisory board.

Total amount of nitrogen oxide (NOx) emitted by the company per each million dollars of revenue.

Ratio of the stock price to the book value per share. Calculated as: Price to Book Ratio = Last Price / Book Value Per Share

Ratio of the price of a stock and the company's earnings per share.

The price to sales ratio is the ratio of a stock's last price divided by sales per share. Average shares outstanding is used when calculating sales per share.

Amount of personnel cost per each employee.

Includes wages and salaries, social security, pension, profit-sharing expenses and other benefits related to personnel.

Number of people employed by the company, based on the number of full time equivalents. If unavailable, then the number of full time employees is used, excluding part time

employees.

Total number of supplier audits conducted. Supplier audits can be conducted by company or by third party. Audits include first time and repeat audits. Audits are concerned

specifically with the management of environmental and social risks. Examples would include working conditions, evidence of child labor, pollution management etc. This field is

available for companies in the technology, industrials, consumer discretionary and consumer staples sectors.

Number of suppliers audited. Suppliers can be audited by the company or by third party. Audits include first-time and repeat audits. Audits are concerned specifically with the

management of environmental and social risks. Examples would include working conditions, evidence of child labor, pollution management etc. This field is available for

companies in the technology, industrials, consumer discretionary and consumer staples sectors.

Number of supplier facilities audited. Suppliers can be audited by company or by third party. Audits include first-time and repeat audits. Audits are concerned specifically with

the management of environmental and social risks. Examples would include working conditions, evidence of child labor, pollution management etc. This field is available for

companies in the technology, industrials, consumer discretionary and consumer staples sectors.

Retail food outlets who test their seafood products for mercury and post the results appear on the Oceana's green list. Those who do not comply with Oceana's testing and

reporting guidelines are put on its red list. Sources used: Oceana.

Companies on this list are known to create or use pesticides or to emit polluting chemicals. Sources used: Asset4, IW Financial, PERI.


ESG METRICS BRIEF

Size of Audit Committee

Political Donations/Profit Before Tax

Presiding Director

Quality Assurance and Recall Policy

Renewable Energy Consumption %

Renewable Energy Use (MWh)

Policy Against Child Labor

Percentage of renewable energy used in terms of total energy consumption.

Amount of energy consumed that was generated by a renewable energy source, in thousands of megawatt hours (MWh). This includes REC (Renewable Energy Certificates)

amounts company purchased as well.

Sales/Revenue/Turnover: Total of operating revenues less various adjustments to Gross Sales.

Adjustments: Returns, discounts, allowances, excise taxes, insurance charges, sales taxes, and value added taxes (VAT).

Includes revenues from financial subsidiaries in industrial companies if the consolidation includes those subsidiaries throughout the report. Excludes inter-company revenue.

Excludes revenues from discontinued operations. Includes subsidies from federal or local government in certain industries (i.e. transportation or utilities)

A S&P's Rating Outlook assesses the potential direction of a long-term credit rating over the intermediate to longer term.

Rating assigned by Standard & Poor's to the long term obligations of the issuer if repaid in the local currency of the issuer.

Indicates whether the company has implemented any initiatives to ensure the prevention of child labor in all parts of its business. "N" indicates that the company has not

explicitly disclosed any such efforts in its most recent annual or company responsibility reports.

Political donations as a percentage of pre-tax profit. To compare companies around the world, this ratio should be converted to a common currency. Ratio is calculated based

on data items disclosed in company filings. Will not return a value when pre-tax result is a loss. Calculated as: (Political Donations / Pre-Tax Profit) * 100

Indicates whether the company has a presiding director in its board of directors.

Indicates whether the company has quality assurance process and recall procedures in place.

Glossary

Revenue ($M)

S&P Outlook

S&P Rating

Total Energy Consumption Figure in thousands of megawatt hours (MWh). This field might include energy directly consumed through combustion in owned or controlled boilers,

furnaces, vehicles, or through chemical production in owned or controlled process equipment. It also includes energy consumed as electricity.

Ratio of Total greenhouse gas (GHG) if available, else total carbon dioxide (CO2) intensity calculated as metric tonnes of greenhouse gases, if available, else CO2 emitted to sales

revenue in the company's reporting currency. This field provides for comparability across companies that report either GHGs or CO2, but not both.Calculated from either of the

following fields in the priority shown: Total GHG Emissions/Sales, or Total CO2 Emissions /Sales

Indicates whether the company has implemented any initiatives to reduce the social risks in its supply chain. Social risks might include poor working conditions, the use of child

or forced labor, lack of a living, fair or minimum wage etc. "N" indicates that the company has not explicitly disclosed any such efforts in its most recent Annual or Company

Responsibility reports.




The last price at which the security traded. The price is not adjusted for splits. If no currency is chosen, last price will display in the company's fundamental currency. Indices:

For indices, there are no splits. If no currency is chosen, the last price will display in the index's pricing currency.

Companies on this list have significant operations in Sudan. Sources used:Jewish World Watch, Darfur Involved by Investors Against Genocide.

Indicates whether a supplier's guidelines, that encompass all Environmental, Social and Governance (ESG) areas, are publicly disclosed.

Number of directors on the company's audit committee; includes full time directors only, deputy members of the committee will not be counted.

Number of Directors on the company's board, as reported by the company. Full time Directors only. Deputy members of the Board will not be counted. Europe: Where the

company has a Supervisory Board and a Management Board, this is the number of Directors on the Supervisory Board.

Sulphur dioxide (SO2) emissions, if available, otherwise sulphur oxides (SOx) emissions in millions of metric tonnes. This field provides for comparability across companies that

report either SO2 or SOx, but not both.

Sulphur dioxide (SO2) emissions, if available, otherwise sulphur oxides (SOx) emissions in metric tonnes per every million dollars of revenue.




Total Recordable Incident Rate

Total Recordable Incident Rate - Contractors

Total number of recordable incidents (TRIR), per 200,000 hours worked or per 100 full time equivalent employees, assuming employees work 40 hours per week and 50 weeks

per year.

Total number of recordable incidents involving contractors, per 200,000 hours worked or per 100 full time equivalent (FTE) contracted employees. Per contract employee

disclosures are standardized assuming 2,000 hours worked per employee per year.

Size of the Board

SO2/SOx Emissions M. tonnes

SO2/SOx Emissions per Revenue mt./$M

Social Supply Chain Management



Stock Price ($)

Sudan Involved

Sustain Sup Guidelines Encomp ESG Area Pub

Disclsd

Sustainable Investment/Capital Expenditures

Tea Party Boycott List

Total CEO Comp ($M)

Total Energy Consumption (MWh)

Total GHG Emissions per Revenue (mt/$M)

Amount of money spent by the company on environmental and social projects as a multiple of capital expenditures for the reporting period. Ratio is calculated based on data

items disclosed in company filings. Calculated as: Investments in Operational Sustainability / Capital Expenditures

The Tea Party publishes a list of companies on its web site that it believes its members should boycott. The reasons for inclusion on this list vary, and include the perception that

the company supports causes such as health care or increases in government regulation or the fact that a company accepted money for a government bailout. Sources used: Tea

Party.

Total amount of compensation the company paid to the Chief Executive Officer (CEO) or the equivalent as determined by Bloomberg. It may include more than one CEO's pay if

there were interim or previous CEOs that served during the fiscal year.


ESG METRICS BRIEF

For more information please contact:

Karl Pfalzgraf Cynthia Figge

[email protected] [email protected]

Sonay Aykan Bahar Gidwani

[email protected] [email protected]

Total Waste (Th Tones)

Training Policy

UN Global Compact Signatory

Working Mother-Friendly

Years Auditor Employed

Waste Reduction Policy

Water Policy

Water Recycled (%)

Water Use Per Revenue

Women Directors %

Unitary or Two Tier Board System

Verification type

Waste Generated per Revenue

Waste Recycled %

Waste Recycled (Th. Tones)

Glossary

Ratio of women in management versus women in workforce.

The company supports working mothers through its policies on family leave, day care, health care, job sharing, etc. Sources used: Asset4, IW Financial,NAFE, Vigeo, Working

Multicultural Women Working Multicultural Women 2010, Working Multicultural Women 2011, Working Mother 2009,Working Mother 2010, Working Mother 2011.

Indicates the number of years the auditor has been employed.

Year to date total return as of date of last close price. Start date is the last business day in the year prior to the year of ending date (as of date). Dividends are reinvested. Net

dividend is used in calculation for UK and Australian equities and funds. Gross dividend is used for all other securities. YTD Return

Total amount of waste the company discards, both hazardous and non-hazardous, in thousands of metric tons.

Indicates whether the company has implemented any initiatives to train new and existing employees on career development, education or skills. Training initiatives should apply

to all employee levels, not just to those employees at management level. 'N' indicates that the company has not explicitly disclosed any such efforts in its most recent annual or

Company Responsibility Reports.

Indicates whether the company is a signatory of the United Nations Global Compact (UNGC).

Indicates whether the company's board has a Unitary (1) or Two Tier (2) system. Marked 2 when board system has separate boards for Supervisory/Commissioner board and

Management board.

Indicates whether the company's environmental policies and data were subject to an independent assessment for the reporting period.

Waste generated per sales calculated as metric tons of waste, both hazardous and non-hazardous, per million of sales revenue in the company's reporting currency. Ratio is

calculated based on data items disclosed in company filings. Calculated as:

Total Waste / Sales

Total amount of water the company recycles, in thousands of metric tons.

Total amount of waste the company recycles, in thousands of metric tons.

Indicates whether the company has implemented any initiatives to reduce the waste generated during the course of its operations. "N" indicates that the company has not

explicitly disclosed any such efforts in its most recent Annual or Company Responsibility report

Indicates whether the organization has undertaken any initiatives to reduce the quantity of water used or to improve the efficiency of its processes, and whether the company is

considering the potential water stress to its areas of operation.

Percentage of water usage from recycled sources.

Water intensity calculated as cubic meters of water consumed per million of sales revenue in the company's reporting currency. Ratio is calculated based on items disclosed in

company filings. Calculated as:

(Total Water Use * 1000000) / Sales

Percentage of Women on the Board of Directors, as reported by the company. Europe: Where the company has a Supervisory Board and a Management Board, this is the

Percentage of Women on the Supervisory Board.

Number of women employed at the company expressed as a percentage of the total number of company employees.

Percentage of women employed in management positions at the company.

Women Employees %

Women in management %

Women in Management to Women in

Worlforce Ratio


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