**Does the entity have a process to monitor controversies, misconduct, penalties, incidents, accidents, or breaches against the codes of conduct/ethics?**
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## Assessment Instructions
Intent: What is the purpose of this indicator?
This indicator intends to identify whether the entity has a defined process in place to monitor and communicate any sustainability-related controversies, misconduct, penalties, incidents, accidents or breaches against the codes of conduct/ethics to its stakeholders. The entity’s external communication process is one aspect of management controls necessary to provide investors with transparency about regulatory risks and liabilities.
Recurring sustainability-related misconduct, penalties, incidents or accidents can increase the risk profile of the entity as they can translate into reputational, compliance, and financial risks.
Input: How do I complete this indicator?
**Select Yes or No:** If selecting 'Yes', select applicable sub-options.
**Open text box:** The content of this open text box is not used for scoring, but will be included in the Benchmark Report. Participants may use this open text box to provide additional detail on the process the entity follows to communicate sustainability-related misconduct to its stakeholders.
#### Terminology
**Accident**
> An unplanned, undesired event that results in damage or injury.
**Clients/customers**
> A customer is understood to include end-customers (consumer) as well as business-to-business customers.
**Code of conduct/ethics**
> An agreement on rules of behavior for the employees of the entity.
**Community/public**
> Persons or groups of people living and/or working in any areas that are economically, socially or environmentally impacted (positively or negatively) by the entity’s operations.
**Contractors**
> Persons or organizations working onsite or offsite on behalf of an entity. A contractor can contract their own workers directly, or contract sub-contractors or independent contractors.
**Controversy**
> Public allegation and/or litigation that could negatively impact the entity’s reputation.
**Employee(s)**
> Someone who works directly for the asset and receives compensation in the form of an hourly wage or annual salary for their work. This can be both onsite or offsite (such as in an administration office). Employers typically have to pay specific benefits such as contributions to pensions or taxes for employees. Employees may be either full time or part time and may operate on a short term contract.
**Sustainability fines and/or penalties**
> Sanctions resulting from an illegal act or non-compliant behavior, which directly harms the environment and/or stakeholders of the entity.
**Incident**
> An unplanned, undesired event with actual or potential adverse impacts.
**Investors/shareholders**
> The entity’s current investors and/or equity stake owners in the entity.
**Misconduct**
> Unacceptable or improper behavior, especially by an employee or organization.
**Penalty**
> A punishment imposed for breaking a law, rule, or contract.
**Special interest groups**
> Organization with a shared interest or characteristic (e.g. trade unions, non- governmental organizations).
**Suppliers**
> Organization upstream from the reporting entity (i.e., in the entity’s supply chain), which provides a product or service that is used in the development of the entity’s own products or services. Note that for the purposes of this assessment, 'suppliers' only refers to tier 1 suppliers with whom the entity has a direct commercial relationship.
Validation: What evidence is required?
No evidence required. Only the 'Other' answer is manually validated.
#### Other answer
Ensure that the ‘Other’ answer provided is not a duplicate or subset of another option selected. It is possible to report multiple ‘Other’ answers. If multiple ‘Other’ answers are accepted, only one will be counted towards scoring. Answers referring to evidence and/or other indicators will not be accepted.
Scoring Basics
## Scoring
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Scoring: How does GRESB score this indicator?
The scoring of this indicator is equal to the fraction assigned to the selected option, multiplied by the total score of the indicator.
#### **Other Answer**
The 'Other' answer is manually validated and assigned a score which is used as a multiplying factor, as per the table below:
| Validation status | Score |
| ----------------- | ----- |
| Accepted | 1/1 |
| Not Accepted | 0 |
| Duplicate | 0 |
**Diminishing increase in scoring:** This indicator is affected by the "diminishing increase in score" approach, where the fractional score achieved for each selection decreases as the number of selections increases.
Scoring Basics
***
References
[PRI Reporting Framework 2018, Direct Infrastructure Supplement, INF 19](https://www.unpri.org/Uploads/d/f/r/9.-INF-2018---final.pdf)
[DSAM Corporate Sustainability Assessment (CSA) - 3.4.1 Codes of Conduct](https://assessments.robecosam.com/survey/documents/SAM_CSA_Companion_2019.pdf)
[SAM Corporate Sustainability Assessment (CSA) - 3.4.4 Systems/Procedures](https://assessments.robecosam.com/survey/documents/SAM_CSA_Companion_2019.pdf)
[GRI Standards 2016 - 102-17: Mechanisms for advice and concerns about ethics](https://www.globalreporting.org/standards/gri-standards-download-center/)
[GRI Standards 2016 - 205-2: Communication and training about anti-corruption policies and procedures](https://www.globalreporting.org/standards/gri-standards-download-center/)
## Get Support: Solution Providers
GRESB Solution Providers are independent, third-party organizations within the GRESB Partner network that offer specialized products, tools, and services to support sustainability performance outside the GRESB Assessment process.
The organizations below deliver commercially available solutions designed to help drive improvement for this indicator. Engagement is managed directly between the reporting entity and the Solution Provider.
GRESB will continue to update this section as the GRESB Solution Provider network grows. Please check back regularly to find GRESB Solution Providers who can support your sustainability performance.
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