RobecoSAM - Corporate Sustainability Assessment

DJSI Sustainability Assessment 2013 CELSIA SA ESP

RobecoSAM AG Josefstrasse 218 CH-8005 Zurich Phone +41 44 6531030 Fax +41 44 6531050 www.robecosam.co m [email protected] m

Company Name: CELSIA SA ESP Registration Data:

Main contact person: Monica Echeverri Garcia
(Person to be contacted in the case of questions)

Function/position: Sustainability Manager Department: Address: Crr 43A # 1ASur - 143

Piso 6 Town/city: Medellin Zip: 0000 Country: COLOMBIA Phone: +57 4 326 6600 Fax: +57 4 326 6600 E-mail: [email protected] Web: http://www.celsia.com

1 of 75, Copyright RobecoSAM AG, 2001 2013

DJSI Sustainability Assessment 2013

1 Economic Dimension
1.1 Corporate Governance
1.1.1 Checks & Balances: Board Structure Please indicate in the following table the number of executive and non-executive directors on the board of directors/supervisory board of your company. Please find additional clarification on onetier and two-tier systems in the information button. ONE-TIER SYSTEM. For companies with board of directors. Number of members Executive directors Non-executive directors (excl. independent directors) Independent directors Total board size TWO-TIER SYSTEM. For companies with supervisory board. SUPERVISORY BOARD Non-executive directors (excl. independent directors) Independent directors Employee representatives (if not applicable, please leave the field empty) MANAGEMENT BOARD/ EXECUTIVE MANAGEMENT Senior executives TOTAL SIZE OF BOTH BOARDS Not applicable. Please provide explanations in the comment box below. Not known 1.1.2 Checks&Balances: Non-executive Chairman/Lead Director Is the board of directors/supervisory board headed by a non-executive and independent chairman and/or an independent lead director? Chairman is non-executive and independent. Please specify for how many years this approach has been adopted: Number of members

__________

Role of CEO and chairman is split and former CEO/chairman (presently in a non-executive position) is now chairman

 Role of CEO and chairman is split and chairman is non-executive but not independent Role of CEO and chairman is split and former CEO/chairman is now chairman, but independent lead director is appointed. Please indicate name: Role of chairman and CEO is joint, but independent lead director is appointed. Please indicate name:

_________

__________

Role of chairman and CEO is joint or chairman is an executive director Not applicable. Please provide explanations in the comment box below. Not known 1.1.3 Checks&Balances: Responsibilities and Committees Please indicate in the table below the functions and associated committee names, for which the board of directors/supervisory board explicitly assumes formal responsibility. Function Responsibilities Name of committee Audit, accounting, risk management Selection and nomination of board members and top management Remuneration of board members and top management Corporate social responsibility, corporate citizenship, sustainable development All members are non executive directors All members are non executive directors All members are non executive directors Formal board responsibility

Not applicable. Please provide explanations in the comment box below. Not known 1.1.4 Transparency&Accountability: Corporate Governance Policy Please indicate if the board of directors/supervisory board has issued a formal corporate governance policy and if it is publicly available and covers the following aspects: Yes, formal corporate governance statement: Documented in: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ and/or website: ______

________

_____

Statement of compliance of the formal policy with current legislation Remuneration framework and performance evaluation of the members of board of directors/supervisory board, CEO and senior executives Independency statement of board of directors/supervisory board Attendance of board of directors/supervisory board meetings disclosed Biographies, CVs of board of directors/supervisory board disclosed

 Other mandates of board of directors/supervisory board members disclosed No formal corporate governance policy Not applicable. Please provide explanations in the comment box below. Not known 1.1.5 Checks&Balances: Diversity: Gender How many women are members on your company's board of directors/supervisory board? _ _ _ _ _ _ _ _ _ Not applicable. Please provide explanations in the comment box below. Not known 1.1.6 Checks&Balances: Board Effectiveness How does your company ensure the effectiveness of your board of directors/supervisory board and the alignment with the (long-term) interests of shareholders? Indicators/measures Number of meetings attended in percentage last business / fiscal year Average board meeting attendance: % of meetings of board of directors/supervisory board. Minimum of attendance for all members required, at least (in %) Number of other mandates of the board of directors / supervisory board members. Number of directors with 4 or less other mandates:

_________

_________

_ other _ _ _mandates _ _ _ _ _for all Number of directors _ _ _ restricted to: _ _ _ _ _ _ _________

Performance assessment of board of directors/ supervisory board members.

Regular self-assessment of board performance. Please specify or provide documents:

Regular independent assessment of board performance. Please specify or provide supporting documents:

__________
Not applicable. Please provide explanations in the comment box below. Not known 1.1.7 Checks&Balances: Audit Conflict of Interest

Please indicate in the following table the audit, audit related and non-audit related fees (e.g. for management consulting) paid to your company's auditing firm at corporate level in the last fiscal year. Please provide supporting documents or indicate website. If legislation in the country of incorporation does not require reporting on the break down of audit fees, you have the possibility to provide total audit fees and tick the corresponding box. Please note that you should always indicate broken down numbers if possible. Currency unit:

_________
Audit fees Audit-related fees Non-audit related fees (excluding tax services) Tax services Tax services approved by board. Other fees paid Amount: Comment:

We are not required by law to report on the breakdown of audit fees, and therefore only report total audit fees (if this breakdown is available, please fill out the table above): Currency unit:

__________ _________

Total audit fees (amount): Not applicable. Please provide explanations in the comment box below. Not known 1.1.8 Transparency of Senior Management Remuneration Does your company communicate the remuneration/compensation of your board of directors/supervisory board members and other highest paid senior directors/executives (e.g. CEO) externally? Yes, on an individual level for each board member and CEO and additional highest paid senior executives, please indicate weblink:

____________________ ___________________

Yes, on an individual level for each board member and CEO, please indicate weblink: Yes, on an aggregated level for non-executive directors AND on aggregated level for executive directors, please indicate weblink:

____________________ ___________________

Yes, on an aggregated level for the board/supervisory board, please indicate weblink: No, we do not communicate this information externally

 Not applicable. Please provide explanations in the comment box below. Not known 1.1.9 Disclosure of Median Compensation of All Employees & CEO Compensation Please provide the annual compensation for the chief executive officer and the median of the annual compensation of all other employees as well as the ratio between the two. Please comment on your approach towards increased transparency and disclosure of executive remuneration in the comment box below. Please indicate currency:

_________

The median of the total annual compensation of all employees, except the chief executive officer (or any equivalent position):

__________ _________

The total annual compensation of the chief executive officer, or any equivalent position: The ratio of the annual median employee compensation and the total annual CEO compensation:

__________

We plan to start disclosing these figures during 2013 Not applicable. Please provide explanations in the comment box below. Not known 1.1.10 MSA Corporate Governance In this section we include a performance score on the Corporate Sustainability Monitoring with the objective to verify the company's involvement and management of crisis situations that can have a damaging effect on reputation. The evaluation will be filled in by the responsible analyst of your industry. No additional information is required from your company. Please disregard the comment box.

1.2 Risk & Crisis Management

_________

1.2.1 Responsibility Risk & Crisis Management (incl. Water and Climate) Please indicate the name, position, reporting line and responsibilities of your chief risk officer or person responsible for this function at the group level. Name:_

__________________ Number of levels from the Board of Directors/executive_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ board: Reporting _ _ line: _________________
Includes responsibilities for water-related risks Includes responsibilities for climate change-related risks

__________________

Position:_

Not applicable. Please provide explanations in the comment box below. Not known

1.2.2 Analysis of Risks Do you use two- or multi-dimensional risk analysis tools (such as risk maps) in order to identify financial and business risk exposures ? Please provide supporting documents. Yes, we use risk maps as a risk analysis tool, only for financial risks Yes, we use risks maps as a risk analysis tool for financial and business risks. Please specify which business risks are included in the risk map.

___________________
Yes, we use other tools as risk analysis tools, only for financial risks please describe:

____________________ ___________________

Yes, we use other tools as risk analysis tools for financial and business risks - please describe: Not applicable. Please provide explanations in the comment box below. Not known 1.2.3 Risks Correlation Do you perform a correlation analysis of the key risks identified? Please provide supporting documents. Yes, we perform a correlation analysis, only for financial risks. Yes, we perform a correlation analysis for financial and business risks. Please specify which business risks are included in risk correlation analysis.

____________________

Not applicable. Please provide explanations in the comment box below. Not known 1.2.4 Sensitivity Analysis and Stress Testing (incl. Water and Climate) Does your company perform sensitivity analysis and stress testing on a group level? Please attach supporting documents or indicate the website. Yes, on changes in financial risks, such as exchange and interest rates Yes, on changes in carbon pricing Yes, on changes in water availability or water quality Yes, on other risks (e.g. operational risks, market risks, strategic business risks, compliance risks). Please specify:

___________________
No, we do not perform sensitivity analysis and stress testing at the group level Not applicable. Please provide explanations in the comment box below. Not known

1.2.5 Risk Response Strategy As part of your corporate risk response strategy which risks does your company retain, which are transferred, and which risks are avoided? Please provide some examples and attach supporting documents or indicate website. Risks retained (risk exposure is accepted without further mitigation):

___________________

Risks reduced/transferred (risk exposure is reduced/transferred to others or consequences are reduced):

____________________ _____________

Risks avoided (risk exposure will be eliminated entirely, e.g. through ceasing a business): ______ Not applicable. Please provide explanations in the comment box below. Not known 1.2.6 Crisis Preparedness Do you have any contingency plans for the key environmental risks identified? Please provide examples or supporting documents (sample document is sufficient, confidential information can be blanked out). Yes, please describe:

___________________

No, we do not have any contingency plans in place Not applicable. Please provide explanations in the comment box below. Not known 1.2.7 MSA Risk & Crisis Management In this section we include a performance score and on the Corporate Sustainability Monitoring with thea objective to verify the company's involvement management of crisis situations that can have damaging effect on reputation. The evaluation will be filled in by the responsible analyst of your industry. No additional information is required from your company. Please disregard the comment box. _ _ _ _ _ _ _ _ _ _

1.3 Codes of Conduct/Compliance/Corruption&Bribery

1.3.1 Codes of Conduct: Focus

Please indicate for which areas corporate codes of conduct have been defined at a group level (including subsidiaries). Please attach supporting documents. Corruption and bribery Discrimination Confidentiality of information Antitrust/anticompetitive practices Money-laundering and/or insider trading/dealing

 Environment, health and safety Whistleblowing No group-wide code of conduct Not applicable. Please provide explanations in the comment box below. Not known 1.3.2 Codes of Conduct: Systems/ Procedures What mechanisms are in place to assure effective implementation of your company's codes of conduct (e.g. compliance system)? Responsibilities, accountabilities and reporting lines are systemically defined in all divisions and group companies Dedicated help desks, focal points, ombudsman, hot lines Compliance linked to employee remuneration Employee performance appraisal systems integrates compliance/codes of conduct Disciplinary actions in case of breach, i.e. warning, dismissal, zero tolerance policy Compliance system is certified/audited/verified by third party, please specify:

___________________

No such systems/policies in place Not applicable. Please provide explanations in the comment box below. Not known 1.3.3 Corruption&Bribery: Scope of Policy Please indicate which of the following aspects are covered by your anti-corruption and bribery policy at a group level (including subsidiaries). Please attach supporting documents. Please ensure that the marked options are both covered by your company's policy and are clearly disclosed in the attached documents . Bribes in any form (including kickbacks) on any portion of contract payments or soft dollar practices Direct or indirect political contributions Political contributions publicly disclosed. Please attach supporting documents and/or indicate web address: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ Charitable contributions and sponsorship Charitable contributions and sponsorship publicly disclosed. Please attach supporting documents and/or indicate web address: No anti-corruption & bribery policy Not applicable. Please provide explanations in the comment box below. Not known

___________________

1.3.4 Codes of Conduct/Anti-Corruption&Bribery: Business Relationships Please indicate the percentage of coverage of your codes of conduct and anti-corruption and bribery policy relative to the total number of: Employees group-/worldwide: _________ Contractors/Suppliers/Service providers:

__________

Subsidiaries: _________ Joint ventures (includes stakes below 51%) :

__________

Not applicable. Please provide explanations in the comment box below. Not known 1.3.5 Codes of Conduct/Corruption&Bribery: Reporting on breaches Does your company publicly report on breaches (e.g. number of breaches, cases etc.) against your codes of conduct/ethics and anti-corruption and bribery policy? Please attach documents and/or web address. If your company did not have any breaches of your codes of conduct during the last fiscal year, please indicate where this is publicly reported. Yes, please refer to the reference(s) provided:

___________________

No, we do not publicly report on breaches Not applicable. Please provide explanations in the comment box below. Not known 1.3.6 MSA Codes of Conduct/Corruption In this section we include a performance score and on the Corporate Sustainability Monitoring with thea objective to verify the company's involvement management of crisis situations that can have damaging effect on reputation. The evaluation will be filled in by the responsible analyst of your industry. No additional information is required from your company. Please disregard the comment box. _ _ _ _ _ _ _ _ _ _

1.4 Antitrust Policy

1.4.1 Antitrust Policy

Please indicate which of the following aspects are covered by your company's antitrust policy. Please provide supporting documents. Price fixing Bid rigging Market allocation schemes Other, please specify:

___________________
No antitrust policy available Not applicable. Please provide explanations in the comment box below. Not known 1.4.2 Coverage of Antitrust Policy Please indicate the scope of coverage of your antitrust policy and under which conditions your policy applies. Coverage Who does your company's antitrust policy apply to? Employees Contractors Suppliers Applicability Under which conditions does your policy apply? Our company's antitrust policy applies to all parties indicated above, even in an environment/market where contradict local legislation. local antitrust laws may be less strict, given that this does not No antitrust policy available Not applicable. Please provide explanations in the comment box below. Not known 1.4.3 Reporting Does your company publicly report on breaches of its antitrust policy? Please provide supporting documents. Yes, please provide supporting document or indicate website:

____________________

No, we do not publicly report on antitrust breaches Not applicable. Please provide explanations in the comment box below. Not known 1.4.4 Antitrust Compliance Please indicate what measures are taken by your company to promote and ensure antitrust compliance. For each answer selected, please describe your company's approach in the comment boxes below. Encouraging and enabling employees to express their concerns regarding potential antitrust breaches (i.e. through dedicated helplines, company ombudsman, whistelblowing policies, etc.), please specify:

___________________

Internal training and education, please specify:

RobecoSAM - Corporate Sustainability Assessment

DJSI Sustainability Assessment 2013 CELSIA SA ESP

___________________
Applying and communicating antitrust regulations at a group/corporate-wide level, please specify:

____________________

Ensuring that a proper framework is in place for dealing with non-compliance by employees, contractors and suppliers (e.g. allowing a criminal prosecution to take place, immediate suspension of work-related duties, review of business relationships, etc.), please specify:

We do not have any measures in place to ensure/promote antitrust compliance Not applicable. Please provide explanations in the comment box below. Not known 1.4.5 Cases Antitrust

___________________

Please indicate the extent of fines paid in the last fiscal year with regard to antitrust/anticompetitive breaches and the number of currently pending antitrust cases against your company. Further, please indicate whether contingent liabilites have been made for these ongoing cases. Please provide comments in the comment box below. Past Cases In FY 2012 did your company pay any fines for anticompetitive business practices? Yes, in FY 2012 we paid fines totalling

______

% of revenues due to antitrust litigations No, in FY 2012 we were not involved in any antitrust investigations, were not convicted of ant-competitive behavior and did not pay any fines Ongoing Cases and Contingent Liabilities Is your company currently involved in any ongoing antitrust investigations? Yes, we currently have

______

ongoing antitrust investigations against us from FY 2012 Yes, the company is involved in ongoing antitrust investigations and has set aside contingent liabilites amounting to

______

% of revenues No, we have not set aside any provisions for ongoing antitrust litigations No, we are not involved in any ongoing antitrust investigations Not applicable. We did not pay any fines due to antitrust breaches in the past year and are curently not involved in any ongoing antitrust allegations. Not known 1.4.6 MSA Antitrust In this section we include a performance score on the Corporate Sustainability Monitoring with the objective to verify the company's involvement and management of crisis situations that can have a damaging effect on

RobecoSAM - Corporate Sustainability Assessment

DJSI Sustainability Assessment 2013 CELSIA SA ESP

reputation. The evaluation will be filled in by the responsible analyst of your industry. No additional information is required from your company. Please disregard the comment _ _box. _______

1.5 Customer Relationship Management

1.5.1 Satisfaction Measurement Does your company monitor and set quantitative targets to improve customer satisfaction and are targets and results communicated externally? Please attach documents and indicate the coverage for the data provided. Please refer to the information button for additional clarifications. For each row in the table, it is mandatory that the values provided are in the same unit. We measure customer satisfaction with the unit "% of total clients." Please complete the table below and attach supporting documentation. Customer Satisfactio n Unit FY 2009 FY 2010 FY 2011 FY 2012 What was your target for FY 2012?

Satisfie % of d total clients clients Data percentage of coverage (e.g. as % of revenues, customers, etc.) Results are communicated externally. Please attach supporting documentation. We use another approach or unit to measure satisfaction. Please specify, attach supporting documentation and complete the table below. Customer Unit FY 2009 FY 2010 FY 2011 FY 2012 What was Satisfactio your target for n FY 2012 ? Please specify approac h used Please specify unit

Data percentage of coverage (e.g. as % of revenues, employees, etc.) Results communicated externally, please attach supporting documentation Customer satisfaction is not monitored

 Not applicable. Please provide explanations in the comment box below. Not known 1.5.2 Customer Feedback Process What approaches does your company use for integrating customer feedback? Company-wide harmonized customer database, including marketing, order, fulfillment and customer service history Free 24 h / 7 days feedback possibilities via internet, phone or mail (please indicate where to

__ find):

_________________

Integration of feedback into product/services development Customers' complaints feedback to compliance officers and/or risk managers and/or communication officers Independent person or department in charge of solving customer complaints such as customer advocate or corporate ombudsman. Please indicate name:

___________________ _

We do not use any of these appoaches Not applicable. Please provide explanations in the comment box below. Not known 1.5.3 Analysis of Customer Value Are you able to segment customers according to the following criteria in you company's CRM database? Is your company's CRM database used by all eligible business units? Historical sale trends Products/services bought Geographical segmentation or similar Revenues the customers generated Different kind of customization Potential lifetime value to business Customer Lifestyle CRM Database used by all eligible busines units

We do not use a CRM database Not applicable. Please provide explanations in the comment box below. Not known 1.5.4 Online Services (Utilities) Please indicate the percentage of customers using the following:

 e-billing services:

_________

online metering information with detailed consumption history: _____

____

Not applicable. Please provide explanations in the comment box below. Not known 1.5.5 MSA CRM In this section we include a performance score on the Corporate Sustainability Monitoring with the objective to verify the company's involvement and management of crisis situations that can have a damaging effect on reputation. The evaluation will be filled in by the responsible analyst of your industry. No additional information is required from your company. Please disregard the comment box.

1.6 Supply Management

1.6.1 Awareness

Chain

_________

Please indicate if your company is undertaking a spend analysis of its supply chain as well as the scope of this analysis. Please also provide your definition of critical suppliers as well as the results of your mapping of these suppliers. Please provide supporting documents for each of the sections. Spend Analysis of the Supply Chain Does your company undertake a spend analysis of its supply chain? If yes, please provide a brief description and attach supporting documents:

___________________________________________ ____________________________________________ ____________________________

Please indicate what percentage of your total procurement spend is covered in the spend analysis conducted within the last three years:

_____

Critical Suppliers Has your company defined a formal process to identify critical suppliers (e.g. high volume suppliers, suppliers of critical components, non-substitutable suppliers)? If yes, please provide a brief description of the process, as well as your definition of critical suppliers, and attach supporting documents:

___________________________________________ ____________________________________________ _ ____________________________

Please indicate, in percentage and absolute numbers, how many critical suppliers you have identified as part of your tier 1 suppliers within the scope of the current spend analysis: Type of supplier Absolute number of Share of total procurement tier 1 suppliers spent (%) Critical Suppliers Total 100 %

Please provide an estimate of the percentage of your critical tier 1 suppliers for which your company a major client (i.e. your procurement orders represent > 30 % of the suppliers' represents annual turnover):

_____
Not applicable. Please provide explanations in the comment box below. Not known 1.6.2 Risk Exposure Please indicate if your company has a formalized process in place to identify risks in its supply chain as well as the scope and outcome of this process. Do you have a formalized process in place to identify sustainability risks in the supply chain? Please provide a brief description of the process and attach supporting documents:

____________________________________________ ___________________________________________

Please indicate the scope of the sustainability risk identification analysis, i.e. share of the total number of tier 1 suppliers (both critical and non-critical) covered by the risk analysis (%):

_____

Please indicate in the table below the share of your total number of tier 1 suppliers (both critical and non-critical) where a high level of sustainability risks has been identified in that particular category (economic, environmental and social risks respectively). Please also provide a definition or a description of what constitutes "high risk" for your company and indicate the nature of the most relevant risks identified in each category in the respective comment boxes. Economic risks Environmental risks Social risks High risk (%) Nature of risks identified

We can only quantify the percentage of suppliers with high sustainability risk on a consolidated basis, i.e. we do not break it down into the three dimensions above. Please indicate the percentage of high risk suppliers:

_____

as well as the nature of the most important risks identified:

______________

We do not have a systematic process to identify sustainability risks in the supply chain Not applicable. Please provide explanations in the comment box below. Not known 1.6.3 Risk Management Measures Please indicate which measures your company has taken in order to manage sustainability risks amongst your tier 1 suppliers. Please indicate the scope and attach supporting documents or specify where requested. REQUIREMENTS

Standard/Policy/Code of Conduct for suppliers - please attach supporting documents and indicate in which of the following areas your company has established standards for suppliers across all countries of operations: Issues covered Environmental standards for supplier's processes, products or services Fundamental human rights (e.g. forced or child labor, freedom of association) (ILO conventions) Working conditions (e.g. working hours, lay-off practices, remuneration) Occupational health and safety Business ethics (e.g. corruption, anti-competitive practices) Quality of management systems Environmental management system certified to ISO 14001, EMAS or equivalent management system with external independent audits Environmental performance data available Social performance data available Guidance regarding sub-contracting (i.e. requiring to replicate own standards down the supply chain) Collaborative initiatives - working together with NGOs and/or other companies on supply chain issues. Please provide an example of an initiative that you are formally supporting, including a web link and a description of which suppliers are targeted, the focus of the initiative and how your company is contributing to _ it:_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ Contract clauses - covering environmental, social and governance (ESG) factors. Please attach supporting documents and indicate the scope for 2012:

_____

% of total procurement spent ONGOING MONITORING OF SUPPLIERS Third-party CSR management system assessment tool - Please specify and indicate the number of suppliers that have been assessed within the last fiscal year as well as which will be assessed next fiscal year: Specification of tool Number of companies Number of companies to assessed in FY 2012 be assessed in 2013

Audits - Please indicate the scope (percentage and absolute numbers) of your audits of tier 1 suppliers during 2012. Please also indicate which percentage of high risk tier 1 suppliers (as defined by your company in the previous question) this represents. Please consider all audits conducted by internal or external audit functions that are independent of the purchasing/supply chain function of the company as well as independent of the supplier: _ _ _ _ _ % audited of total number of tier 1 suppliers

_____
tier 1 suppliers audited (absolute number)

_____

% of high risk tier 1 suppliers Please indicate which of the items below are part of a standard audit procedure (i.e. how audits are typically conducted) and attach supporting documents: On-site visits (pre-announced) On-site visits (unannounced or semi-announced) Interviews with management Interviews with employees (on-site) Interviews with employees (off-site) Corrective action plans for suppliers - Please attach a sample as supporting document and indicate the percentage of assessed or audited suppliers for which corrective action plans have been developed. Further, please indicate what percentage of suppliers with a corrective action plan has improved their ESG performance since the action plan was launched: _ _ _ _ _ % of assessed or audited tier 1 suppliers have a corrective action plan % of suppliers with corrective action plans have improved their ESG performance since the plan was launched CAPACITY-BUILDING & INCENTIVES Capacity building - Please provide a brief description of your main capacity-building initiatives and provide examples of the key activities your company undertakes on its own or in collaboration with other companies and/or industry collaborations (e.g. training & development activities, supplier awards, conferences, forums etc.). Please also provide supporting documents and/or web links:

_____

___________________
Incentives for suppliers - (e.g. sustainability training costs covered by company, longer term contracts, agreement to fill up production volume at suppliers facility etc.). Please specify:

____________________

Not applicable. Please provide explanations in the comment box below. Not known 1.6.4 ESG Integration in SCM Strategy Please indicate the main priorities of your company's general Supply Chain Management Strategy as well as the environmental, social and governance (ESG) objectives that have been identified in your company. Further, please indicate how ESG factors are integrated in your supplier selection decisions as well as the responsibilities for delivering on the ESG objectives and how the procurement staff is being incentivized to integrate ESG factors in everyday decisions. Supply Chain Strategy and Integration of ESG Objectives Please provide a brief description of the top five priorities of your companys general Supply Chain Management strategy and attach supporting documents. Please note that this should refer to the general approach that the company is taking in order to manage the supply chain with regards to aspects such as cost, time, quality and continuity of supply and not to a sustainable sourcing or a sustainable supply chain strategy.

___________________

Please indicate which formalized environmental, social and governance ( ESG) objectives have been identified for your Supply Chain Management strategy. Further, indicate how these are connected to the

overall Supply Chain Strategy by providing supporting documents. Please note that in this section you can refer to a sustainable sourcing strategy or a sustainable supply chain strategy as well as to objectives relating to ESG factors already integrated in the strategy above. Description of ESG objective Link to overall Supply Chain Strategy Key ESG objective 1 Key ESG objective 2

Integration of ESG Factors into Supplier Selection Please complete the table below, indicating how ESG factors impact your supplier selection and retention process. Please attach supporting documents and provide a brief description on the scale and approach for the minimum threshold. New & existing suppliers Minimum threshold required (i.e. qualitative or quantitative selection / retention criteria)

Does your company use a % (weight) of ESG in overall assessment (compared to other factors such as price, quality and delivery time) when assessing suppliers, as a tool to ensure integration of sustainability into supplier selection and retention decisions? If so, please provide an estimate of the average weight across supplier categories:

_____

and indicate for which supplier categories this weight factor is being applied:

___________________
Responsibilities Within the procurement function / department, who is the most senior person responsible for delivering on the ESG objectives identified in the strategy (specified above)?

____________________

Who is responsible at the operational level for driving the implementation of the ESG objectives? _ __________________ There is a reporting line (direct or dotted) between these two responsible staff members Incentives for Staff How does your company incentivize their procurement staff (in both centralized and decentralized procurement functions) to integrate ESG factors in everyday decisions? Please indicate below what percentage of prime contact procurement staff have: Access to ESG Suppliers database:

_____

 Training on ESG issues relevant to procurement processes and decisions:

_____
Team or individual ESG-related targets / KPIs reviewed in performance appraisal:

_____

ESG related targets / KPIs linked to remuneration:

_____

 Not applicable. Please provide explanations in the comment box below. Not known 1.6.5 Opportunities How is your company leveraging opportunities across its supply chain and how are these transferred into qualitative and quantitative business benefits? Please provide examples and supporting documents in the table below. Please provide two examples of sustainability initiatives in the supply chain that have delivered clear business benefits (in terms of either cost reduction, risks reduction or revenues growth) and indicate the benefits generated from these initiatives. Please attach supporting documents. Example 1 Description of example Qualitative benefits, please specify: Quantitative benefits, please indicate amount: Please specify:

Example 2

Please specify:

Not applicable. Please provide explanations in the comment box below. Not known 1.6.6 Transparency Which aspects of your supply chain management approach does your company publicly report on (on a consolidated basis)? Please attach supporting documents and/or website where the information can be found in the public domain. Standards for suppliers and/or sustainable purchasing policy

___________________

Risk awareness (e.g. risk mapping) Risk management measures

____________________ ___________________ ____________________

Key Performance Indicators (KPIs) for supply chain management (e.g. % of suppliers assessed or audited, scope 3 emissions and % of procurement with preferred suppliers for more examples on KPIs, please refer to the information button). Please indicate below which KPIs you are currently publically reporting on as well as where the information can be found: For the Supply Chain Management KPIs that your company is publically reporting on, please indicate below the level of details that are available in the public reporting for these KPIs:

 Breakdown of KPIs by topic or region KPIs tracked over time Targets and progress on targets, please indicate below for which KPIs you are publically reporting targets and where the information can be found:

___________________
We do not publically report on any of the aspects above Not applicable. Please provide explanations in the comment box below. Not known 1.6.7 MSA Supply Chain Management In this section we include a performance score and on the Corporate Sustainability Monitoring with thea objective to verify the company's involvement management of crisis situations that can have damaging effect on reputation. The evaluation will be filled in by the responsible analyst of your industry. No additional information is required from your company. Please disregard the comment box. _ _ _ _ _ _ _ _ _ _

1.7 Market Opportunities

1.7.1 Current Investment Budget Please indicate the percentage of the electricity and gas business budget (including potential acquisitions) for 2012 and projected (short term) allocated to the following areas. If your company has no exposure to gas / electricity generation & distribution, please select "not applicable" and provide an explanation in the comment box. Areas 2012 (% investment budget of electricity and gas business) Projected (in %) in short term Please indicate the target year (YYYY): No exposure to natural gas No exposure to renewable energy No exposure to distributed energy No demand side investment

Natural gas Renewable energy Distributed energy, not including transmission lines Demand-side efficiency (% investment budget)

None of our investment budget is allocated to the above mentioned options. Not applicable. Please provide explanations in the comment box below. Not known

1.7.2 Peak Demand Coverage What percentage of your peak demand (MW) is covered by load management and interruptible demand programs? If your company has no exposure to gas / electricity generation & distribution, please select "not applicable" and provide an explanation in the comment box.

_________

% of peak demand is covered by load management programs Not applicable. Please provide explanations in the comment box below. Not known 1.7.3 New Business Developments Please indicate revenues derived from energy related products and services (excluding retail and wholesale of electricity and gas) for the following years. Please also indicate what percentage this represents compared to total revenues generated by your electricity and gas business. If your company has no exposure to gas / electricity generation & distribution, please select "not applicable" and provide an explanation in the comment box. Revenues from energy related products and services Currency: FY 2009 FY 2010 FY 2011 FY 2012 Comment

Percentage of revenues from such products and services compared to total revenues from electricity and gas business in 2012: _ _ _ _ _ No energy related products and services offered Not applicable. Please provide explanations in the comment box below. Not known 1.7.4 DSM, Efficiency Energy

Please indicate the objectives of the Demand Side Management (DSM) of your electricity and gas businesses for residential/commercial and industrial customers. Please give examples of the methods used by your company to meet DSM targets and attach relevant documents and/or website.

We do not have industrial customers We do not have residential/ commercial customers We have industrial customers We have residential/ commercial customers Industrial Residential/Commerc Leverage Energy ial Efficiency Leverage Energy Load Optimization Efficiency (load shifting, valley filling, peak reduction) Load Optimization (load shifting, valley Fuel Switching filling, peak reduction) Fuel Switching

Not applicable. Please provide explanations in the comment box below. Not known 1.7.5 Green Electricity Please indicate your company's current and projected share of revenues (wholesale/retail) derived from certified or labeled Green Electricity (i.e. certified electricity for marketing purposes, generated from renewable sources such as wind, solar, hydro, wave, tidal, geothermal, biomass). Please provide supporting references for your certified/labeled Green Electricity product offering. If your company has no exposure to wholesale/ retail electricity sales, please select "not applicable" and provide an explanation in the comment box. FY 2012 Projected (Mid indicate to Long Term), please year: % electricity revenues from certified/labeled Green Electricity No wholesale/retail of certified or labeled Green Electricity Not applicable. Please provide explanations in the comment box below. Not known

1.8 Price Risk Management

1.8.1 Fuel and Electricity Contracts What proportion of your projected natural gas purchases are covered by fixed/variable contracts over the next three years (considering also own resources)? What proportion of projected electricity and gas sales to industrial/ commercial customers are covered by fixed/variable contracts over the next three years? If your company has no exposure to gas / electricity generation & distribution, please select "not applicable" and provide an explanation in the comment box.

 Proportion of natural gas purchases covered by contract and covered by own resources (%) Proportion of electricity sales to industrial/ commercial customers covered by contract (%) Proportion of gas sales to industrial/ commercial customers covered by contract (%)

2013e

2014e

2015e No electricity generation / no material fossil fuel purchases needed No material wholesale/ret ail of electricity

No material wholesale/ret ail of gas

Not applicable. Please provide explanations in the comment box below. Not known 1.8.2 Energy Procurement Attributes Please indicate the attributes of your energy procurement system and provide supporting documents. Use of futures, options and other derivatives Derivatives are used for hedging purposes only Procurement is centralized Energy procurement is coordinated within the corporation Energy procurement is integrated within risk management (i.e. financial hedging)

Not applicable. Please provide explanations in the comment box below. Not known 1.8.3 Trading vs. Generation Please indicate the following information for your company's operations in 2012. Proprietary Trading Electricity Generation Proprietary Trading trading Average Daily Value at Risk USD Unit GWh 2012 No proprietary

Proprietary Trading Electricity Generation Electricity generated

Unit GWh

2012 No electricity generated

Not applicable. Please provide explanations in the comment box below. Not known

1.9 Scorecards/Measurement Systems

1.9.1 Scorecard: Systems Please indicate the main purposes of your corporate scorecard/measurement systems (such as Balanced Scorecards or similar). To measure and integrate overall tangible and intangible corporate performance. To act as an integrated strategic planning and management tool, linking different levels of the company. To share process best practice across business units. To compare business unit performances (Key Performance Indicators). Scorecard/measurement system used at corporate level. Scorecard/measurement system used at business unit level. Scorecard/measurement systems to be implemented within _ _ _ _ _ _ the next months. No scorecard/measurement systems implemented. Not applicable. Please provide explanations in the comment box below. Not known 1.9.2 Scorecard: Perspectives What perspectives are integrated in your company's scorecards/measurement systems (Balanced Scorecard or similar) at a group/corporate level? Please provide supporting documents. Customer / Product perspective Governance / Stakeholder perspective Financial / Shareholder perspective Process / Internal perspective People (Employee) / Learning perspective Reputation perspective Environmental perspective Other, please specify: __

___

_______

 Scorecard/measurement system to be implemented within the next

___________________

months. Not applicable. Please provide explanations in the comment box below. Not known

2 Environmental Dimension
2.1 Environmental Reporting
2.1.1 Quality of Environmental Reporting In this section we evaluate the content, context and coverage of the environmental reporting included in other reports or on your website (e.g. own publication, part of a sustainability/CSR report or part of annual report). Please answer the first question 'Environmental Reporting Materiality'. The remaining questions in this section will be assessed by the analyst responsible for your industry based on publically available information. 2.1.2 Environmental Reporting - Materiality Please indicate if your company is publically reporting on the following aspects and attach supporting documents or weblinks. Materiality framework Is your company publically reporting on the processes and tools used to identify and prioritize critical environmental issues within the sustainability strategy, including a consideration of impact on the companys business performance (i.e. materiality analysis/matrix, portfolio matrix/analysis, companys definition of materiality, description of the analytical framework)? We report on this in the Corporate Sustainability report. Please provide supporting document or weblinks and indicate page: We report on this in the main part of the Annual Report or equivalent financial reports (i.e. not in a separate CSR section of the Annual Report). Please provide supporting document or weblinks and indicate page:

_______

_______

Example of costsaving Is your company publically reporting on one or more concrete examples of how environmental initiatives have led to cost savings? Please indicate, if possible, both qualitative and quantitative examples. We report on this in the Corporate Sustainability report. Please provide supporting document or weblinks and indicate page: We report on this in the main part of the Annual Report or equivalent financial reports (i.e. not in a separate CSR section of the Annual Report). Please provide supporting document or weblinks and indicate page:

_______ _______

Example of revenue generation

Is your company publically reporting on one or more concrete examples of how environmental initiatives have generated additional revenues? Please indicate, if possible, both qualitative and quantitative examples. We report on this in the Corporate Sustainability report. Please provide supporting document or weblinks and indicate page: We report on this in the main part of the Annual Report or equivalent financial reports (i.e. not in a separate CSR section of the Annual Report). Please provide supporting document or weblinks and indicate page:

_______

_______

No such reporting publically available Not applicable. Please provide explanations in the comment box below. Not known 2.1.3 Environmental Reporting - Coverage 2.1.4 Environmental Reporting - Assurance 2.1.5 Environmental Reporting - Quantitative Data

2.2 Environmental Policy/Management System

2.2.1 Coverage of Corporate Requirements / Guidelines Please indicate for which aspects corporate environmental requirements or guidelines have been developed. Production operations / business facilities Selection / on-going evaluation of suppliers / service providers and contractors Development of new products and services Product distribution / logistics Management of waste Engineering / maintenance New projects Non-managed operations / licensees / third-party manufacturers / JV partners / outsourcing partners Due-diligence, mergers and acquisitions Other, please specify:

___________________

No corporate environmental requirements or guidelines have been developed Not applicable. Please provide explanations in the comment box below. Not known

2.2.2 EMS: Certification / Audit / Verification Please indicate how your Environmental Management System (EMS) is verified/audited/certified. Please also indicate the coverage of this verification for the selected standard; please note that the total coverage for all three alternatives should not exceed 100 % - if parts of the operations have multiple types of certification / verification, indicate the highest available one only. Please indicate what the coverage figures below are based on (e.g. % of operations, revenues,

_ _ _ _ _ _etc.): ___ employees,

Our EMS is verified through international standards (e.g. ISO 14001 JIS Q 14001, EMAS certification). Please specify and attach relevant examples of ceritification documents:

____________________
Coverage (%):

______

Third party verification/audit/certification by specialized companies. Please specify and attach relevant examples of external verification documents:

____________________
Coverage (%)

______
Verification/audit/certification by company-own specialists from headquarters. Please specify:

____________________
Coverage (%):

______

Not verified/audited/certified Not applicable. Please provide explanations in the comment box below. Not known 2.2.3 Near-Miss Reporting Is an environmental near-miss reporting system in place which leads to the development, sharing and implementation of preventive measures at all sites concerned? Near misses collected at all relevant sites Formal sharing of lessons learned and measures among all relevant sites owned or operated by our company Not all relevant sites have a near miss reporting system Not applicable. Please provide explanations in the comment box below. Not known 2.2.4 Frequency of Environmental Performance Reviews How frequently is divisional environmental performance formally reviewed at the corporate executive level (e.g. emissions, resource consumption, product/service performance)? Monthly

Quarterly Yearly Irregularly We do not formally review divisional environmental performance at the corporate executive level Not applicable. Please provide explanations in the comment box below. Not known

2.2.5 Public availability of EIA / SIA results Please indicate what parties have access to the results of Environmental/Social Impact Assessments (EIAs/SIAs). Accessible by affected parties/communities Available for interested parties. Please specify: _______ Available on public company website. Please indicate:

__

__________

Not applicable. Please provide explanations in the comment box below. Not known 2.2.6 Follow up EIA / SIA Is a formal system in place for ensuring that Environmental Impact Assessment/Social Impact Assessment recommendations are implemented and followed up on during project construction, commissioning and operation? If so, who is accountable for implementation and follow up within your organisation? Yes, persons accountable for implementation/follow up are: _________ No, we do not have a formal system in place Not applicable. Please provide explanations in the comment box below. Not known 2.2.7 MSA Environmental Management In this section we include a performance score and on the Corporate Sustainability Monitoring with thea objective to verify the company's involvement management of crisis situations that can have damaging effect on reputation. The evaluation will be filled in by the responsible analyst of your industry. No additional information is required from your company. Please disregard the comment box. _ _ _ _ _ _ _ _ _ _

2.3 Operational Eco-Efficiency

2.3.1 Denominator - MWh / Revenues Please provide your company's total MWh OR revenues for each financial year listed in the table below. Please provide only those figures Denominator Financial Year 2009 Financial Year 2010 Financial Year 2011 Financial Year 2012 MWh

Denominator 2012 Revenues

Financial Year 2009

Financial Year 2010

Financial Year 2011

Financial Year

Not applicable. Please provide explanations in the comment box below. Not known 2.3.2 EP - Direct Greenhouse Gas Emissions (Scope 1) Please provide your company's total direct greenhouse gas emissions (DGHG SCOPE 1) for the part of your company's operations for which you have a reliable and auditable data acquisition and aggregation system. Please refer to the information button for additional clarifications. For each row in the table, it is mandatory that the values provided are in the same unit. Also, please ensure that the "Denominator" question in this criterion has been correctly filled in. Direct GHG (Scope 1) Total direct GHG emissions (Scope 1) Data coverag Unit FY 2009 FY 2010 FY 2011 FY 2012 What was your target for FY

metric tonnes CO2 equivalent s percentag e of:

THIRD-PARTY VERIFICATION The above data has been verified by the following organization: ____

___________

____________

Not verified We do not track Not applicable. Please provide explanations in the comment box below. Not known 2.3.3 EP - Indirect Greenhouse Gas Emissions (Scope 2) Please provide your company's indirect greenhouse gas emissions from energy purchased (purchased and consumed, i.e. without energy trading) (IGHG SCOPE 2) for the part of your company's operations for which you have a reliable and auditable data acquisition and aggregation system. Please refer to the information button for additional clarifications. For each row in the table, it is mandatory that the values provided are in the same unit. Also, please ensure that the "Denominator" question in this criterion has been correctly filled in.

 IGHG 2 SCOPE Indirect greenhous e gas emissions from energy purchased and consumed (scope 2) Data coverage (e.g. as % of revenues, employees, etc.)

Unit metric tonnes of CO2 equivalents

FY 2009

FY 2010

FY 2011

FY 2012 What was your target for

percentag e of:

THIRD-PARTY VERIFICATION The above data has been verified by the following organization: ____

___

____________

Not verified We do not track indirect greenhouse gas emissions Not applicable. Please provide explanations in the comment box below. Not known 2.3.4 EP - Water Withdrawal Please provide your companys total water withdrawal (GRI EN8) including a breakdown of the three subitems (salt/brackish water, municipal water, water from other sources), as well as the amount of water discharged at equivalent quality as the raw water extracted. Please refer to the information button for additional information. For each row in the table, it is mandatory that the values provided are in the same unit. Also, please ensure that the "Denominator" question in this criterion has been correctly filled in.

 Unit Water Consumptio n

Financial Year 2009

Financial Year 2010

Financial Year 2011

Financial Year 2012

Please indicate what was your target for the FY 2012

Total Water Withdrawa l (GRI EN8, process and cooling water) (i.e. sum of 3 subitems below) > Subitem: Total salt / brackish water withdraw n > Subitem: Total municipal water supplies (or from other water utilities) > Subitem: Total water from all other sources Water returned to the source of extraction at similar or higher quality as raw water extracted Data Coverage (e.g. as % of revenues, employees, etc.)

Million cubic meters

Million cubic meters

Million cubic meters

Million cubic meters

Million cubic meters

percentage of THIRD PARTY VERIFICATION The above data has been verified by the following organization:

___________________

Not verified

We do not track water consumption Not applicable. Please provide explanations in the comment box below. Not known 2.3.5 EP Generation Waste

Please provide your company's total waste generated (not reused or recycled) for the part of your company's operations for which you have a reliable and auditable data acquisition and aggregation system. Please refer to the information button for additional clarifications. For each row in the table, it is mandatory that the values provided are in the same unit. Also, please ensure that the "Denominator" question in this criterion has been correctly filled in. Waste generatio n Total waste generated Data coverag Unit FY 2009 FY 2010 FY 2011 FY 2012 What was your target for FY

metric tonnes percentag e of:

THIRD-PARTY VERIFICATION The above data has been verified by the following organization: ____

___________

____________

Not verified We do not track Not applicable. Please provide explanations in the comment box below. Not known 2.3.6 EP - NOx Emissions Please provide your company's direct NOx emissions for the part of your company's operations for which you have a reliable and auditable data acquisition and aggregation system. Please refer to the information button for additional clarifications. For each row in the table, it is mandatory that the values provided are in the same unit. Also, please ensure that the "Denominator" question in this criterion has been correctly filled in. Direct NOx emissions Direct NOx emissions Data coverag Unit FY 2009 FY 2010 FY 2011 FY 2012 What was your target for FY

metric tonnes percentag e of:

 THIRD-PARTY VERIFICATION The above data has been verified by the following organization: ____

___________

____________

Not verified We do not track Not applicable. Please provide explanations in the comment box below. Not known 2.3.7 EP - SOx Emissions Please provide your company's direct SOx emissions for the part of your company's operations for which you have a reliable and auditable data acquisition and aggregation system. Please refer to the information button for additional clarifications. For each row in the table, it is mandatory that the values provided are in the same unit. Also, please ensure that the "Denominator" question in this criterion has been correctly filled in. Direct SOx emissions Direct SOx emissions Data coverag Unit metric tonnes percentag e of: FY 2009 FY 2010 FY 2011 FY 2012 What was your target for FY

THIRD-PARTY VERIFICATION The above data has been verified by the following organization: ____

___________

____________

Not verified We do not track Not applicable. Please provide explanations in the comment box below. Not known 2.3.8 EP - Ash and Gypsum Waste Please provide the percentage of your ash and gypsum waste composted, reused, recycled, or recovered for the part of your company's operations for which you have a reliable and auditable data acquisition and aggregation system. Please refer to the information button for additional clarifications. For each row in the table, it is mandatory that the values provided are in the same unit. If your company has no exposure to electricity production / distribution please select "not applicable" and provide an explanation in the comment box.

 Ash & Gypsu m Waste Ash and gypsum waste composte d, reused, recycled, or recovered

Unit

FY 2009

FY 2010

FY 2011

FY 2012

What was your target for FY

Data percentag coverage e of: (e.g. as % of revenues, employees, etc.)

THIRD-PARTY VERIFICATION The above data has been verified by the following organization: ____

___

____________

Not verified We do not track dust emissions Not applicable. Please provide explanations in the comment box below. Not known 2.3.9 EP - Direct Mercury Emissions Please provide your company's direct mercury emissions for the part of your company's operations for which you have a reliable and auditable data acquisition and aggregation system. Please refer to the information button for additional clarifications. For each row in the table, it is mandatory that the values provided are in the same unit. Also, please ensure that the "Denominator" question in this criterion has been correctly filled in. If your company has no exposure to electricity production / distribution please select "not applicable" and provide an explanation in the comment box. Dust Emission s Unit FY 2009 FY 2010 FY 2011 FY 2012 What was your target for FY

Direct metric tonnes mercury emission s Data coverage (e.g. as percentag % e of: of revenues, employees, etc.) THIRD-PARTY VERIFICATION

 The above data has been verified by the following organization: ____

___

____________

Not verified We do not track mercury emissions Not applicable. Please provide explanations in the comment box below. Not known 2.3.10 EP - SF6 Emissions Please provide your company's direct sulfur hexafluoride (SF6) emissions for the part of your company's operations for which you have a reliable and auditable data acquisition and aggregation system. Please refer to the information button for additional clarifications. For each row in the table, it is mandatory that the values provided are in the same unit. Also, please ensure that the "Denominator" question in this criterion has been correctly filled in. If your company has no exposure to electricity production/ distribution please select "not applicable" and provide an explanation in the comment box. SF6 Emission s SF6 emission s Unit FY 2009 FY 2010 FY 2011 FY 2012 What was your target for FY

metric tonnes

Data percentag coverage e of: (e.g. as % of revenues, employees, etc.) THIRD-PARTY VERIFICATION The above data has been verified by the following organization: ____

___

____________

Not verified We do not track dust emissions Not applicable. Please provide explanations in the comment box below. Not known

2.4 Biodiversity
2.4.1 Approach Towards Biodiversity: Policy / Strategy Please indicate the strategy / policy your company has implemented with regards to biodiversity. If not stated otherwise, tick only if the statement is true for at least half of the sites owned or operated by your company. Please attach supporting documents.

 BIODIVERSITY STRATEGY/POLICY Business case for biodiversity developed, i.e. a line of argument on how biodiversity issues impact the financial bottom line (company performance) has been established Exposure to biodiversity related risks is known and these risks have been assessed at

_________ _________

% of sites owned or operated by our company and b % of sites owned or operated by our company classified by the company as being exposed to biodiversity related risks Local stakeholders such as local communities or conservation organizations are involved in developing the company's site-specific biodiversity strategy Biodiversity base line surveys and protection measures are fully incorporated into the management and operating procedures for the exploration and site development & construction phase The company has a commitment not to explore/mine/drill in World Heritage areas and IUCN Category I-IV protected areas The company ensures that its activities will not lead to the extinction of IUCN listed endangered species The company is aiming at a net positive impact on biodiversity Biodiversity related liabilities are adequately addressed when it comes to sale or closure of operating sites Risks from indirect impacts on biodiversity are (in many cases together with local governments and other third parties) addressed before starting new or changing existing operations None of the above statement is true for at least half of the sites (owned or operated) of our company The company has no exposure to biodiversity related risk or opportunities. Please comment in the comment box. Not applicable. Please provide explanations in the comment box below. Not known 2.4.2 Approach Towards Biodiversity: Assurance Please indicate the assurance processes your company has implemented with regards to biodiversity. If not stated otherwise, tick only if the statement is true for at least half of the sites owned or operated by your company. Please attach supporting documents. ASSURANCE Biodiversity management (including all of risk evaluation, site selection, impact assessment, management and monitoring) implementation is included in internal or external assurance process Operations owned or operated by our company are assessed for their impact on biodiversity every time an event such as permit change or expansion project warrants a review of the operations' impact on biodiversity Stakeholders at the local level are involved in monitoring the business' significant risks/impacts on biodiversity The company tries to make sure that Joint Ventures implement the company's biodiversity management approach as a minimum standard

 None of the above statement is true for at least half of the sites (owned or operated) of our company The company has no exposure to biodiversity related risk or opportunities. Please comment in the comment box. Not applicable. Please provide explanations in the comment box below. Not known 2.4.3 Approach Reporting Towards Biodiversity:

Please indicate the level of reporting your company is doing with regards to biodiversity. If not stated otherwise, tick only if the statement is true for at least half of the sites owned or operated by your company. Please attach supporting documents. REPORTING The company publicly reports on its biodiversity strategy, its biodiversity targets and its achievements with respect to these targets Material biodiversity risks are publicly reported None of the above statement is true for at least half of the sites (owned or operated) of our company The company has no exposure to biodiversity related risk or opportunities. Please comment in the comment box. Not applicable. Please provide explanations in the comment box below. Not known 2.4.4 Impact Operations of Proposed

How do you assess the impact of proposed projects on biodiversity? Please provide supporting documents. Integration into Environmental Impact Assessment (EIA) Stakeholder consultation Verification with designated habitats under IUCN Others, please specify:

___________________

We do not assess the impact of proposed projects on biodversity Not applicable. Please provide explanations in the comment box below. Not known 2.4.5 Impact of Current Operations Does your company monitor and assess the impact of existing operations or investments on biodiversity? Please provide supporting documents. Yes, we monitor and assess the impact of our current operations or investments and make the results publicly available

Yes, we monitor and assesss the impact of our current operations or investments but do not publicly report on the results No, we do not monitor and assess the impact of our current operations or investments on biodiversity Not applicable. Please provide explanations in the comment box below. Not known 2.4.6 Responsibility Is a formal system in place ensuring that recommendations derived from biodiversity impact assessments are implemented and followed up during project construction and operation? If so, who is accountable for implementation and follow-up within your organization? Yes, a formal system is in place and the accountable persons for implementation/follow-up are:

___________________
No formal system in place Not applicable. Please provide explanations in the comment box below. Not known 2.4.7 MSA Biodiversity In this section we include a performance score and on the Corporate Sustainability Monitoring with thea objective to verify the company's involvement management of crisis situations that can have damaging effect on reputation. The evaluation will be filled in by the responsible analyst of your industry. No additional information is required from your company. Please disregard the comment box. _ _ _ _ _ _ _ _ _ _

2.5 Climate Strategy

2.5.1 Climate Strategy - CDP Alignment The following questions were developed in alignment with the Carbon Disclosure Project (CDP) methodology as part of a collaboration between RobecoSAM and CDP. If you have submitted a response to CDP for the most recent reporting year, please indicate this here and attach your CDP questionnaire. Please ensure that the responses provided to the following questions are aligned with your responses to the CDP questionnaire. Please note that this is for alignment purposes only and that this question will not be scored, hence the questions can be answered regardless of whether or not your company provides a submission to CDP. Please note that the questions are based on the CDP framework, but not go into the same level of detail and do not cover all CDP questions. In addition, some aspects of the criterion are based on the RobecoSAM methodology. This means that we ask you to answer the questions asked in the questionnaire and that the CDP submission can be used as a basis for this, but that we do not require all the comments and details which were provided to CDP. We have submitted a CDP response for the most recent reporting year We have not submitted a CDP response for the most recent reporting year 2.5.2 Climate Change Governance Where is the highest level of direct responsibility for climate change within your company? Individual / sub-set of the board of directors or other committee appointed by the board

Senior manager / officer, i.e. the highest person in the organization with direct responsibility for climate change is on the senior management team, but not on the board Other manager/ officer No individual or committee with overall responsibility for climate change Not applicable. Please provide explanations in the comment box below. Not known 2.5.3 Climate Change Management Incentives Does your company provide incentives for the management of climate change issues, including attainment of targets? Yes, we do provide incentives for the management of climate change issues. Please specify type of award: Monetary reward, please

_ _ _ _ _specify: ______________ ____________________ ___________________

Recognition (non-monetary), please specify: Other non-monetary reward. Please specify: No, we do not provide incentives for the management of climate change issues Not applicable. Please provide explanations in the comment box below. Not known 2.5.4 Climate Change Strategy What best describes your risk management procedures with regard to climate change risks and opportunities? Please attach supporting documents. Integrated into multi-disciplinary company wide risk management processes, i.e. a documented process where climate change risks and opportunities are integrated into the companys centralized enterprise risk management program covering all types / sources of risks and opportunities A specific climate change risk management process, i.e. a documented process which considers climate change risks and opportunities separate from other business risks and opportunities There are no documented processes for assessing and managing risk and opportunities from climate change Not applicable. Please provide explanations in the comment box below. Not known 2.5.5 Climate Change Products Does the use of your company's goods and / or services directly enable greenhouse gas (GHG) emissions to be avoided or reduced?

Yes, our products enable GHG emissions to be avoided or reduced. Please briefly specify and indicate the share of revenues from such goods and services:

___________________
Share of revenues (% of total sales):

______

No, the use of our products does not directly enable GHG emissions to be avoided or reduced Not applicable. Please provide explanations in the comment box below. Not known 2.5.6 Climate Strategy Impacts For your combined emissions reduction activities that were active in the latest reporting year, please provide the total amount of anticipated annual CO2 and cost savings from these initiatives. Please specify currency:

________

Total estimated annual CO2 savings:

________ ________

Total annual investment required: Total anticipated annual cost savings:

________

________

Average pay-back period:

We do not calculate these figures Not applicable. Please provide explanations in the comment box below. Not known 2.5.7 Financial Risks of Climate Change Have you identified any climate change risks (current or future) that have potential to generate a substantive change in your business operations, revenue or expenditures? Please indicate the currency used:

________

Yes, we have identified climate change related risks with potential impact. Please estimate the financial impact for the most significant risk from each category: Risks driven by changes in regulation: Brief description of the most significant risk and methods used to manage this risk:

____________________ _______

Estimated financial implications of the risk before taking action:

Average estimated time frame (in how many years):

_______ _______

Estimated costs of these actions: Risks driven by change in physical climate parameters or other climate-change related developments _ _description _ _ _ _ _ of __ _ most _ _ _significant _ _ _ _ _risk and methods used to manage this risk: Brief the _ Estimated financial implication of the risk before taking action:

_______

Average estimated time frame (in how many years):

_______ _______

Estimated costs of these actions: We have conducted an analysis of our climate change risk, but our company is not exposed to climate change risks that have the potential to generate a substantive change in business operations, revenue, or expenditure. Please specify:

_ have ___ __ _____ _ _ an __ ___ We not conducted such analysis _ Not applicable. Please provide explanations in the comment box below. Not known
2.5.8 Financial Opportunities Arising from Climate Change Have you identified any climate change related opportunities (current or future) that have the potential to generate a substantive positive change in your business operations, revenue, expenditure (i.e. opportunities driven by changes in regulation, physical, or other climate-change related developments)? Please indicate the currency used:

________

Yes, we have identified climate change related opportunities. Please briefly describe the most significant resulting from climate change on your business operations, revenue growth, opportunity or expenditures:

___________________ _______

Please estimate the annual financial positive implications of this opportunity: Estimated time frame (in how many years):

_______ _______

Please estimate the current annual costs associated with developing this opportunity: We do not consider climate change related opportunities (current or future) to be relevant to our business, please explain why: We have not conducted an analysis of our climate change opportunities Not applicable. Please provide explanations in the comment box below.

___________________

 Not known 2.5.9 EXPOSURE: Carbon Targets Please indicate your company's corporate targets to reduce greenhouse gas emissions. Please provide either absolute or relative targets (or both if available). Absolute targets Relative targets Targets set No targets set Not known Baseline Year Scope of the emissions for which the target is defined Scope 1 Sum of Scope 1 and Scope 2 Not known Emission of base line year in tons of CO2e Value of intensity measure of the base line year (please use the comment box below to indicate the definition of the intensity measure used) Target year Reduction Target as percentage of baseline value Target was set in year We do not have any targets for GHG emissions Not applicable. Please provide explanations in the comment box below. Not known 2.5.10 EXPOSURE: Upstream Scope 3: GHG Scope 1 Sum of Scope 1 and Scope 2 Not known Targets set No targets set Not known

As part of Scope 3 in the GHG Protocol, please indicate how your company considers GHG emissions for your company's supply chain (upstream), customers (downstream) and support services. Please provide supporting documents for each of the three perspectives.

 Perspective Suppliers (emissions from purchased products and services, excluding energy purchased which falls under Scope 2). Yes, we qualitatively consider emissions Yes, we quantitatively consider emissions Yes, we qualitatively and quantitatively consider emissions No, we do not consider these emissions Not known for suppliers If yes, please specify and add supporting documents: Customers (emissions incurred by the use of your company's products). Yes, we qualitatively consider emissions Yes, we quantitatively consider emissions Yes, we qualitatively and quantitatively consider emissions No, we do not consider these emissions Not known for customers If yes, please specify and add supporting documents: Support services (emissions from e.g. business travel, external logistics). Yes, we qualitatively consider emissions Yes, we quantitatively consider emissions Yes, we qualitatively and quantitatively consider emissions. No, we do not consider these emissions Not known for support services If yes, please specify and add supporting documents:

We do not consider Scope 3 emissions Not applicable. Please provide explanations in the comment box below. Not known 2.5.11 CO2 Emissions from Operations Covered under the EU Trading Scheme Please complete the following table for emissions for facilities covered under the EU ETS.

 Reporting year Allowance s allocated

Allowance s purchased

Verified emissions (metric tonnes)

Total net gain from participation in ETS (please provide negative figure if a net cost)

2012

We do not have facilities covered by the ETS Not applicable. Please provide explanations in the comment box below. Not known

2.6 Electricity Generation

2.6.1 Generation Mix Please indicate the generation mix of your company's electricity generation operations (in % of total MW installed capacity). Please also provide the projected generation mix for a specified midlong term horizon. Generation Source 2012 Mid-Long Term Projections Please indicate for which year these figures are estimated: Coal Not applicable Oil Not Not applicable Other renewable (solar, wave, etc.), please specify: Total MW installed capacity Not applicable. Please provide explanations in the comment box below. Not known Not applicable Not Not Not applicable applicable Natural applicable applicable Nuclear Gas Hydro Wind

2.6.2 Nuclear Power Plant Performance Indicators (UCF) Please indicate the following nuclear power plant performance indicators. Indicator 2010 2011 Unit Capability Factor Forced Loss Rate No nuclear power generation. Not applicable. Please provide explanations in the comment box below. Not known 2.6.3 Efficiency of Generation Please indicate the average thermal efficiency of your company's power plants (electric and thermal output to energy input weighted by generation capacity of each plant) and explain the trend. Also, please indicate the average age of each type of plant in your portfolio. Efficiency coal plants (% or BTU/kWh) Efficiency open-/ combinedcycle gas plants (% or BTU/kWh) 2010 2011 2012 Trend explanatio n Average age of plants Not applicabl e Not applicabl e

2012

Not applicable. Please provide explanations in the comment box below. Not known 2.6.4 Plants' Availability Please indicate the average availability factor of your gas and coal plants (considering forced and planned/ scheduled outages) for the year 2012. Please give a comment, if repowering had a substantial impact on the factor. Number of units Avg. Availability Factor [%] Coal plants Gas plants Not applicable. Please provide explanations in the comment box below. No coal plants operated No gas plants operated

 Not known

2.7 Transmission & Distribution

2.7.1 Electricity Transmission and Distribution Losses Please indicate the average technical and non-technical losses of your company's electricity transmission and distribution systems (incl. lines and substation losses). Please indicate the method used for assessing the lossess in the comment box provided below. If your company has no exposure to gas / electricity generation & distribution, please select "not applicable" and provide an explanation in the comment box. Transmission 2010 2011 2012 Network Length (in km) Distribution Transmissio n losses (in %) Distribution losses (in %) Please indicate the number of customers served by your distribution No transmissio n of electricity No distribution of electricity

_____ network:

____

Not applicable. Please provide explanations in the comment box below. Not known 2.7.2 Electricity Transmission and Distribution Reliability Please indicate the average reliability of your electricity transmission and distribution systems. If your company has no exposure to gas / electricity generation & distribution, please select "not applicable" and provide an explanation in the comment box. 2010 Transmission reliability (up time in %) Distribution reliability (up time in %) Not applicable. Please provide explanations in the comment box below. Not known 2.7.3 Gas Leakage Rate Please indicate the leakage rate (as % of gas throughput) in your transportation, distribution and storage infrastructure over the period 2010-2012. Include fugitive emissions, and emissions due to maintenance and accidents. Please indicate the method used to assess the leakage rates in the comment box provided below. 2011 2012 No transmission of electricity No distribution of electricity

 Transportation (% leakages) Distribution ( % leakages) Storage (% leakages)

2010

2011

2012 No gas transportatio n assets No gas distributio n assets No gas storage assets

No major exposure to gas businesses Not applicable. Please provide explanations in the comment box below. Not known

2.8 Water Related Risks

2.8.1 Exposure by Water Stressed Areas When considering physical water scarcity issues at a local level, please indicate what percentage of your companys production plants / sites are located in water-stressed area and what percentage of cost of goods sold (COGS) these amounted to in the last fiscal year. NB: This question will not be assessed in isolation, but in combination with other questions in Water-related Risks. % of production plants in last FY: % of Cost of goods sold (COGS) in last FY: Amongst the production plants / sites currently located in water-stressed areas, please indicate your companys top fresh water consumers (in this case, fresh water consumption = fresh water withdrawn (surface water + ground water + municipal supply) minus water discharged and returned to its source at similar or higher quality than it has been withdrawn) in last FY: Water intensity Plant Name Location Water Use (m3/ COGS USD) (area, (m3/y) (see info box) country) Plant / Site #1 Plant / Site #2 Plant / Site #3 in water-stressed areas (<1700 m3/(person*year))

According to our assessment and the above definition of water-stressed area, we currently have no productions plants / sites located in water-stressed areas

 Not applicable. Please provide explanations in the comment box below. Not known 2.8.2 Water Quality by Production Plants Please indicate your companys 3 most sensitive production plants / sites in terms of water quality (i.e. where water intake treatment and/or water discharge treatment is critical) and the respective key water quality parameters used (e.g TSS, TOC, TKN) Plant Name Location (area,country) Intake Please tick and indicate main water quality parameter Discharge Please tick and indicate main water quality parameter

Plant #1 Plant #2 Plant #3

According to our assessment, we currently have no production plants / sites which are sensitive with regard to water quality (neither on water intake nor water discharge) Not applicable. Please provide explanations in the comment box below Not known 2.8.3 Tools / Processes / Systems / Standards / Frameworks used Which tools / processes / management systems / standards / frameworks does your company use to achieve the following objectives: Objective standards / Name of tools / management systems / framework s

Report and aggregation at corporate level: Manage water risk in the supply chain: Track and calculate plant / site water intensity: Determine virtual water content of products: Determine virtual water exchange mapping:

Objective standards /

Name of tools / management systems / framework s

Systematically track and map plant water usage: (e.g. WBCSD Water Tool) Define water stress: Map water stress: Project future water stress: Provide external data verification: Contribute to collaborative initiatives: (e.g. signatory of the CEO Water Mandate) Other objectives related to water risks, please describe: We do not use any particular tools / management systems / standards / frameworks to reach any of the above objectives We plan to start using some tools / management systems in 2013 Not applicable. Please provide explanations in the comment box below. Not known 2.8.4 Risk Management - Quantity & Quality How does your company manage risks with regard to the available quantity and quality of water relevant for your operations? At corporate level, we have the overview of the following measures (please tick only if the statement is valid for the majority of your production plants / sites located in water-stressed areas and provide supporting documents). If you do not have any production plants in water-stressed areas, please indicate which type of risk management measures have generally been taken with regards to water related risks at your company. Corporate water management policy and plan in place, please specify:

____________________ ___________________

Systematic tracking and monitoring of availability at local level, please specify: Estimates of future changes in water availability on a local level, please specify:

____________________ ___________________

Scenario analysis with potential impact on operations, please specify: We have already taken some measures but for less than majority of our productions plants / sites in water- stressed areas We do not manage this at group level Not applicable. Please provide explanations in the comment box below.

 Not known 2.8.5 Risk Management - Regulatory Changes and Pricing Structure How does your company manage water-related risks in terms of regulatory changes and potential changes in price structure (e.g. water tariffs, withdrawal restrictions, discharge standards and discharge tariffs)? At the corporate level, we track and monitor the following (please tick only if the statement is valid for the majority of your production plants / sites located in water-stressed areas and provide supporting documents). If you do not have any production plants in water-stressed areas, please indicate which type of risk management measures have generally been taken with regards to water related risks at your company. Regulatory changes at the local level, please specify:

___________________

Estimates of future potential regulatory changes on a local level, please specify:

____________________ ___________________

Scenario analysis with potential impact of regulatory or tariff changes on operations at local level, please specify: We have already taken some measures but for less than majority of our production plants / sites in water- stressed areas We do not manage this at group level Not applicable. Please provide explanations in the comment box below. Not known 2.8.6 Risk Management - Stakeholder Conflicts How does your company manage stakeholder conflicts concerning water resources? Please tick only if the statement is valid for the majority of your production plants / sites located in waterstressed areas and provide supporting documents. If you do not have any production plants in water-stressed areas, please indicate which type of risk management measures have generally been taken with regards to water related risks at your company. Systematic tracking and monitoring of existing stakeholder conflicts, please specify:

____________________ _ _ _ _ _ _ _ _ _ _ _ specify: ________

Estimates of future potential stakeholder conflicts, please

Scenario analysis with potential impact of stakeholder conflicts on operations, please specify:

____________________ ___________________

Active engagement with key stakeholders (local communities, NGOs, government bodies, large water users, etc.), please specify: Participation in integrated watershed management initiative in locations with key operations, please specify:

____________________

We have already taken some measures but not for the majority of our production plants / sites in water- stressed areas

51 of 75, Copyright RobecoSAM AG, 2001 2013

 We do not manage this at group level Not applicable. Please provide explanations in the comment box below. Not known 2.8.7 Suppliers' Exposure to Water Risks Does your company know how exposed your critical tier 1 suppliers are to water-related risks? If so, please indicate how your supply chain exposure was determined. Yes, please comment:

___________________

No, but we plan to start measuring the supply chain exposure in 2013 Not applicable. Please provide explanations in the comment box below Not known 2.8.8 Suppliers' Water Risks Management Do you collaborate with critical tier 1 suppliers located in water-stressed areas to minimize the following types of risks? If so, please indicate what measures are being taken. Measures Risks related to the quantity and quality of water Risks related to regulatory changes or changes in pricing structures Risks related to stakeholder conflicts We plan to start in 2013 Not applicable. Please provide explanations in the comment box below Not known 2.8.9 Target and Progress For the top 3 water-consuming plants currently located in water-stressed areas, what waterrelated targets have been established at plant level and what measures are being taken to achieve these targets? Please see the information button for the definition of fresh water consumption. Base line year Fresh water consumption of baseline line Unit of data Year (YYYY) m3 Plant #1 Plant #2 Plant #3

52 of 75, Copyright RobecoSAM AG, 2001 2013

Target year Reduction Target

Unit of data Year (YYYY) % of baseline value

Plant #1

Plant #2

Plant #3

Fresh water m3 consumption in last FY Measures taken Other target(s)

We plan to start in 2013 Not applicable. Please provide explanations in the comment box below. Not known

3 Social Dimension
3.1 Social Reporting
3.1.1 Quality of Social Reporting In this section we evaluate the content, context and coverage of the social reporting included in other reports or on your website (e.g. own publication, part of a sustainability/CSR report or part of annual report). Please answer the first question "Social Reporting - Materiality". The remaining questions in this section will be assessed by the analyst responsible for your industry based on publically available information. 3.1.2 Social Reporting - Materiality Please indicate if your company is publically reporting on the following aspects and attach supporting documents or weblinks. Materiality framework Is your company publically reporting on the processes and tools used to identify and prioritize critical social issues within the sustainability strategy, including a consideration of impact on the companys business performance (i.e. materiality analysis/matrix, portfolio matrix/analysis, companys definition of materiality, description of the analytical framework)? We report on this in the Corporate Sustainability report. Please provide supporting document or weblinks and indicate page: We report on this in the main part of the Annual Report or equivalent financial reports (i.e. not in a separate CSR section of the Annual Report). Please provide supporting document or weblinks and indicate page:

_______

53 of 75, Copyright RobecoSAM AG, 2001 2013

_______
Example of costsaving Is your company publically reporting on one or more concrete examples of how social initiatives have led to cost savings? Please indicate, if possible, both qualitative and quantitative examples. We report on this in the Corporate Sustainability report. Please provide supporting document or weblinks and indicate page:

_______

We report on this in the main part of the Annual Report or equivalent financial reports (i.e. not in a separate CSR section of the Annual Report). Please provide supporting document or weblinks and indicate page: Example of revenue generation Is your company publically reporting on one or more concrete examples of how social initiatives have generated attitional revenues? Please indicate, if possible, both qualitative and quantitative examples. We report on this in the Corporate Sustainability report. Please provide supporting document or weblinks and indicate page:

_______

_______

We report on this in the main part of the Annual Report or equivalent financial reports (i.e. not in a separate CSR section of the Annual Report). Please provide supporting document or weblinks and indicate page: No such reporting publically available Not applicable. Please provide explanations in the comment box below. Not known 3.1.3 Social Coverage 3.1.4 Social Assurance Reporting Reporting -

_______

3.1.5 Social Reporting - Quantitative Data

3.2 Labor Practice Indicators and Human Rights

3.2.1 KPIs Labor

Please complete the table and indicate which of the following performance/management indicators your company uses regarding the following labor relations related issues? Please provide figures covering the entire scope of the company and attach supporting documents.

54 of 75, Copyright RobecoSAM AG, 2001 2013

 Issue Non-Discrimination / Diversity (ILO convention No. 111)

Management / performance indicators Female share of total workforce (%)

_________
Females in management positions (% of total management workforce):

__________

Females in junior management positions, i.e. first line management (as % of total junior management positions): Females in top management positions, i.e. maximum two levels away from the CEO (or comparable position) (as % of total top management positions):

_________

__________

Breakdown of workforce based on minority, culture or similar No such indicators used Equal Remuneration female/male (ILO convention No. 100) Executive level: Average female salary (base salary only):

_________
Average male salary (base salary only) :

_________

Management level: Average female salary (base salary only):

__________ _________

Average male salary (base salary only): Average female remuneration (base salary + other cash incentives such as bonus):

_________
Average male remuneration (base salary + other cash incentives such as bonus):

_________
Non-management level: Average female salary (base salary only) :

__________ _________

Average male salary (base salary only) :

No such indicators used

55 of 75, Copyright RobecoSAM AG, 2001 2013

Issue Freedom of Association (ILO convention No. 87; No. 98)

Management / performance indicators Employees represented by an independent trade union or covered by collective bargaining agreements (%): Number of consultations/negotiations with trade unions over organizational changes (e.g. restructuring, outsourcing):

_________

__________

No such indicators used Layoffs (based on ILO's A GuideTo Worker Displacement) Number of employees laid off in the last fiscal year: Number of consultations/negotiations with employees over organizational changes (e.g. restructuring, outsourcing):

_________

__________

No such indicators used Not applicable. Please provide explanations in the comment box below. Not known 3.2.2 Business and Human Rights Please indicate in the question below if your company has publicly committed to supporting the Universal Declarations of Human Rights and if your company is familiar with the UN Framework and Guiding Principles on Business and Human Rights (the Ruggie framework) and its potential implications for your business. Please provide supporting documents where relevant. Our company has publicly committed to support the Universal Declarations of Human Rights. Please provide a web link: Our company is aware of the UN Framework and Guiding Principles on Business and Human Rights (the Ruggie framework). Please describe: An assessment of the implications of the UN Framework and Guiding Principles on Business and Human Rights (the Ruggie framework) on our company's business has been made, please provide supporting documents: Based on this assessment, which of your business activities could be in need of additional due dilligence regarding Human Rights? Please specify:

_________

____________________ ___________________

Based on this assessment, which Human Rights are in need of additional due dilligence within the sphere of influence of your business activities? Please specify:

We have not publicly committed to support of the Universal Declaration of Human Rights and are not aware of the Ruggie Framework Not applicable. Please provide explanations in the comment box below. Not known 3.2.3 MSA Labor Practices Indicators In this section we include a performance score on the Corporate Sustainability Monitoring with the objective to verify the company's involvement and management of crisis situations that can have a damaging effect on reputation. The evaluation will be filled in by the responsible analyst of your industry. No additional information is required from your company. Please disregard the comment box.

3.3 Human Capital Development

_________

3.3.1 Human Resource Skill Mapping and Developing Process Please indicate the level of implementation of your company's formalized skill mapping and developing process. Please indicate the coverage for each employee category. Yes implemented for: Employee Category Executive/Top management Middle/General management First line management/Supervisor Specialists groups Other employees, please specify: No formalized skill mapping and developing process implemented Not applicable. Please provide explanations in the comment box below. Not known 3.3.2 Human Capital Performance Indicators Please indicate which performance indicators your company uses to measure the execution of your skill mapping and developing strategy. Please provide specific documents on performance indicators. Non-financial indicators/ratios (e.g. number of hours spent in trainings, companyspecific skills categorization), please specify: Coverage in %

___________________ _

Cost-based indicators/ratios (e.g. training cost per employee), please specify:

___________________

Value-based human resource indicators (e.g. ROI - Return on investment per employee, EVA Economic value added per employee), please specify:

___________________
Other HR performance indicators, p lease specify:

___________________ _

Not applicable. Please provide explanations in the comment box below. Not known 3.3.3 Personal and Organizational Learning and Development Please indicate the tools and processes widely adopted by your company to manage organizational learning and knowledge management. Formal knowledge/learning networks with regular meetings and staff support Intranet-based knowledge repositories/databases Intranet based interactive knowledge platforms integrated into daily work processes Peer group KPI comparisons across business units Systematically accessible descriptions of best practice processes Company university or a comparable external education facility Employee idea management system integrated No such tools and processes used Not applicable. Please provide explanations in the comment box below. Not known

3.4 Talent Attraction & Retention

3.4.1 Coverage of Employees through Predefined Performance Appraisal Process For each employee category, please indicate the percentage of employees covered by a predefined and standardized performance appraisal process. Employee Category Coverage in % Executive/Top management Middle/General management First line management / supervisor Specialist groups Other employees, please specify No predefined and standardized performance appraisal process Not applicable. Please provide explanations in the comment box below. Not known

3.4.2 Percentage of Performance Related Compensation for each Employee Category What is the share of performance-related compensation for each employee category as a percentage of total compensation (excluding pension plans and fringe benefits) that your company paid out in the last year? Please note that you can also provide the target percentage for each category for the previous year. Employee Category Percentage of total compensation Executive/Top management: Middle/General management: First line management/Supervisor: Specialist groups: Other employees, please specify: No performance related compensation Not applicable. Please provide explanations in the comment box below. Not known 3.4.3 Balance of Variable Compensation Based on Corporate and Individual Performance For each employee category, please indicate the percentage of variable compensation that is based on corporate and/or individual performance. The sum of the percentages in each employee category (row) must equal 100%. Employee Category Share of variable Share of variable compensation based on compensation based on individual performance [%] corporate performance [%] Executive/Top Management Middle/General Management First Line management / Supervisors Specialist Groups Other employees, please specify: No performance related compensation Not applicable. Please provide explanations in the comment box below. Not known 3.4.4 Corporate Indicators for Performance-Related Compensation Please indicate your company's pre-defined corporate indicators relevant for the variable compensation of Executive / Top Management and specify them in the corresponding text box. Internal Financial Success Metrics (e.g. cashflow, EBIT, revenues)

____________________

 External Financial Success Metrics (e.g. share price, Tobins Q)

___________________

External Perception Metrics (e.g. reputational risks, customer satisfaction, feedback from stakeholder engagement)

____________________ ___________________

Environmental metrics (e.g. corporate emission reduction) Social figures (e.g. corporate health & safety figure)

____________________

No pre-defined corporate indicators relevant for performance related compensation Not applicable. Please provide explanations in the comment box below. Not known 3.4.5 Type of Individual Performance Appraisal Please indicate the type and employee coverage of individual performance appraisals, which are used for individual performance-related compensation. Management by Objectives: Systematic use of agreed measurable targets by line superior __ ____

___

% of all employees

Multidimensional performance appraisal (e.g. 360 degree feedback) ____ employees

_____

% of all % of all

Formal comparative ranking of employees within one employee _ ____ category employees Not applicable. Please provide explanations in the comment box below. Not known 3.4.6 Payout Type of Total Performance-Related Compensation

____

Please indicate the type and its percentage share of total performance-related compensation (excluding pension plans and fringe benefits) which your company paid out/granted for the last year. The sum of all types of performance-related pay equals 100%. Payout Type Percentage (Sum must equal 100%) Annual cash bonus Shares/share options immediately available or with a locking period of less than 4 years Shares/share options with a locking period of minimum 4 years Other pay-out types immediately available or with a locking period of less than 4 years, please specify:

Payout Type Percentage (Sum must equal 100%) Other pay-out types with a locking period of minimum 4 years, please specify: No performance related compensation Not applicable. Please provide explanations in the comment box below. Not known 3.4.7 Employee Turnover Rate Please indicate your company's total and voluntary turnover rates for the last four years as a percentage of total number of employees in the table below. Total employee turnover rate Voluntary employee turnover rate We do not track employee turnover Not applicable, please provide explanations in the comment box below. Not known 3.4.8 Trend of Employee Satisfaction Please indicate in the following table the satisfaction level of your employees based on your company's employee satisfaction surveys. Please also indicate the coverage of these surveys and if this measurement can be broken down according to gender. For each row in the table, it is mandatory that the values provided are in the same unit. Employee satisfactio n Employee satisfactio n Data coverag e Unit % % of total employee s FY 2009 FY 2010 FY 2011 FY 2012 What was your target for FY FY 2009 FY 2010 FY 2011 FY 2012

We are able break down the results of the employee satisfaction surveys based on gender. Please attach supporting documents. We do not track Not applicable. Please provide explanations in the comment box below. Not known

3.4.9 MSA Talent Attraction & Retention In this section we include a performance score on the Corporate Sustainability Monitoring with the objective to verify the company's involvement and management of crisis situations that can have a damaging effect on reputation. The evaluation will be filled in by the responsible analyst of your industry. No additional information is required from your company. Please disregard the comment box.

3.5 Corporate Citizenship and Philanthropy

3.5.1 Group-wide Strategy

_________

Does your company have a group-wide strategy that provides guidance to your corporate citizenship / philanthropic activities? Yes, please specify and provide supporting documents:

___________________

Please indicate the three main priorities as outlined in your group-wide corporate citizenship / philanthropy strategy specified above. For each priority, please provide a short description of how the priority is aligned with your business drivers and attach supporting references. Priorities Description of alignment Reference between priority and your business drivers Priority 1

Priority 2

Priority 3

We do not have a group-wide strategy for our corporate citizenship activities We plan to develop a group-wide strategy in 2013 Not applicable. Please provide explanations in the comment box below. Not known

3.5.2 Type of Philanthropic Activities For the last fiscal year, please indicate on a consolidated group-wide basis what percentage of your corporate citizenship / philanthropic contributions falls within each category. Please refer to the information button for definitions and explanations on the categories. Category Charitable Donations Community Investments Percentage of Total Costs

Category Commercial Initiatives Total must equal

Percentage of Total Costs 100%

We plan to start reporting our philanthropic activities according to these categories in 2013 We do not report our philanthropic activities according to these categories Not applicable. Please provide explanations in the comment box below. Not known

3.5.3 Input For the last fiscal year, please estimate the total monetary value (at cost) of your companys corporate citizenship / philanthropic contributions for each of the following categories. Please note that marketing and advertising budgets should be excluded from the calculation. Please refer to the information button for further guidance and definitions. Please specify currency:

_ _ _ contributions ________________ Cash

Type of Contribution

Total amount (in local currency)

Time: employee volunteering during paid working hours In-kind giving: product or services donations, projects/ partnerships or similar Management overheads Not applicable. Please provide explanations in the comment box below. Not known 3.5.4 Measuring Benefits Does your company have a group-wide system in place to systematically measure the benefits of your companys voluntary contributions in order to assess whether you have met your objectives for your corporate citizenship / philanthropic activities? If so, please indicate which KPIs your company uses to measure the benefits of your contributions and provide supporting documents. Please refer to the information button for more information and examples of KPIs. Please note that the business and social/environmental KPIs on each row do not need to be linked to the same corporate citizenship activity. Please clearly describe the benefit KPIs as well as the activity in the provided text boxes. Business Benefit KPIs Social / Environmental Benefit KPIs

Business Benefit KPIs

Social / Environmental Benefit KPIs

We plan to develop KPIs to measure the benefits of our corporate citizenship/ philanthropic activities by the end of 2013 We do not have a group-wide system in place to systematically measure the benefits of the companys voluntary contributions Not applicable. Please provide explanations in the comment box below. Not known

3.6 Occupational Health and Safety

3.6.1 OHS Governance: Work-Related Risks Identification How does your company's OHS management system identify and track work-related risks? Regular risk identification and assessment at business level (e.g. tracking incidents). Please specify how frequently this risk assessment is reviewed: A Semi-annually Annually Consolidation of identified work-related risks (e.g. incidents, near misses) at corporate level as management tool Information system/database available containing work-related risks (e.g. incidents, accidents) and documentation on work-related risks and prevention measures, updated at least annually Requirement to track near misses in the system Coverage (%) in terms of business units/regions, please specify:

__________

Our OHS management system does not identify or track any of the above-mentioned risks Not applicable. Please provide an explanation in the comment box below. Not known 3.6.2 OHS Governance: Work-Related Risks Management System How does your company ensure effective management (e.g. assessment, mitigation and prevention) of work- related risks? Prioritization and action plans with quantified targets for business unit managers Discussion of work-related risks documentation between human resources and managers business units on a regular basis, as well as between OHS department and excecutive management / board of directors at least on a quarterly basis Review of work-related incidents against targets

 Internal inspections, consultations by OHS specialists Independent external verification of health, safety and well-being: please provide name and standards (such as OHSAS 18000) used:

___________________

Targets embedded in performance appraisal and remuneration of management, e.g. responsible line managers, responsible member of executive management and CEO No such measures in place Not applicable. Please provide an explanation in the comment box below. Not known 3.6.3 OHS Governance: Work-Related Risks Education How does your company ensure training to prevent work-related risks and/or occupational health hazards across the organization? Internal or external seminars, training on potential work-related risks/occupational health hazards. Documentation or information systems available , e.g. brochures on potential work-related risks/ occupational health hazards and dissemination of work-related risks information via intranet. Emergency training. Personal protective equipment (PPE) provided. Tracking of hours spent on education/training. Quantified targets of education/training. Link to tangibles: measures resulting in reduced number of work-related risks Coverage (%) in terms of business unites/regions, please specify:

___________________ _

No such measures Not applicable. Please provide an explanation in the comment box below. Not known 3.6.4 Lost-Time Injuries Frequency Rate (LTIFR) - Contractors Please provide your company's For each row in the table, it is mandatory that the values provided are in the same unit. If you only track LTIFR on a consolidated basis, without distingushing between contractors and employees, please use the employee question to report the consolidated number. LTIFR Unit FY FY 2010 FY 2011 FY 2012 What was you target for FY

Contractors n/million work h

LTIFR

Unit

FY

FY 2010

FY 2011

FY 2012

What was you target for FY

Data percentag coverage e of: (e.g. as % of revenues, employees, etc.) THIRD-PARTY VERIFICATION The above data has been verified by the following organization:

___________________

Not verified We do not track LTIFR for contractors Not applicable. Please provide explanations in the comment box below. Not known 3.6.5 Lost-Time Injuries Frequency Rate(LTIFR) - Employees Please provide your company's Please refer to the information button for additional clarifications. For each row in the table, it is mandatory that the values provided are in the same unit. If you only track LTIFR on a consolidated basis, without distingushing between contractors and employees, please use this question to report the consolidated number. LTIFR Employees Unit n/million work h FY 2009 FY 2010 FY 2011 FY 2012 What was your target for FY

Data coverage percentag (e.g. as e of: % of revenues, employees, etc.) THIRD-PARTY VERIFICATION The above data has been verified by the following organization:

___________________

Not verified We do not track LTIFR for employees Not applicable. Please provide explanations in the comment box below. Not known

3.6.6 Fatalities (total no) Employees & Contractors Please complete the following table with the number of fatalities for employees and contractors. Fatalities Unit FY 2009 FY 2010 FY 2011 FY 2012 Please explain trend

Employees (workrelated fatalities) Contractors (workrelated fatalities) Not applicable. Please provide explanations in the comment box below. Not known 3.6.7 Health, Safety & Well-being Does your company provide special training and/or measures to foster employees' health and well-being in the following areas? Work-related stress management measures, such as information, training, flexible working arrangements. Please ___ ________________ comment: Non-work-related stress management measures, such as information, training, flexible working arrangements. Please comment:

____________________

Fitness facilities or contribution to external fitness programs Healthy and safe working environment. Please describe what aspects are included in your approach (e.g. temperature): ergonomical workplace, illumination, noise, indoor airquality, humidity,

___________________
Health/nutrition Flexible working schemes for employees. Please describe what aspects are included in your approach (e.g. flexible working hours, working from home):

____________________ ___________________

Child care. Please describe what aspects are included in your approach (e.g. facilities, contribution or flexible working arrangements): Elderly care. Please describe what aspects are included in your approach (e.g. flexible working arrangements):

____________________ _____

Coverage in terms of business units/regions, please specify (in %): No special training and/or measures taken Not applicable. Please provide an explanation in the comment box below.

 Not known 3.6.8 Health Management How does your company ensure effective health management? Please provide supporting documents. Health and well-being programs offered Group-wide health and well-being policies with objectives established Responsibility for health management centralized Health management performance tracked

No such measures in place Not applicable. Please provide an explanation in the comment box below. Not known 3.6.9 Near-Miss Reporting System Is an OHS-related near-miss reporting system in place which leads to the development, sharing and implementation of preventive measures at site level? Near misses collected at all relevant sites Formal sharing of lessons learnt and measures among all relevant sites owned or operated by our company Some (but not all) relevant sites have a near-miss reporting system No near-miss reporting system in place Not applicable. Please provide an explanation in the comment box below. Not known

3.6.10 Occupational Diseases Please tick the appropriate options with regards to the prevention and measurement of occupational diseases at corporate level. We utilize a standard approach for anticipating occupational health hazards during the design stage We employ professionals competent in recognizing occupational health hazards We follow industry best practice around quantifying employee exposure to occupational health hazards (i.e. measuring workplace environment, measuring absorption-by the body, and early detection of symptoms) We measure new cases of occupational disease at the corporate level on a yearly basis These measures cover at least 80% of all employees None of the above-listed measures are used Not applicable. Please provide an explanation in the comment box below.

 Not known 3.6.11 MSA OHS In this section we include a performance score on the Corporate Sustainability Monitoring with the objective to verify the company's involvement and management of crisis situations that can have a damaging effect on reputation. The evaluation will be filled in by the responsible analyst of your industry. No additional information is required from your company. Please disregard the comment box.

3.7 Stakeholder Engagement

3.7.1 Stakeholder Engagement - Governance

_________

Please indicate for the Policy/Procedure, Ownership and Accountability sections below the structures in place to govern Stakeholder Engagement at group level. POLICY / PROCEDURE Do you have a policy or procedure to ensure that the corporate Stakeholder Engagement strategy is applied consistently across all operations? Please attach supporting documents or provide weblinks if information is publically available. No, we do not have a policy or procedure for Stakeholder Engagement Yes, the Stakeholder Engagement policy/procedure is applied at SOME local operations but not available in the public domain. Please attach internal policy/procedure document. Yes, the Stakeholder Engagement policy/procedure is applied at ALL local operations but not available in the public domain. Please attach internal policy/procedure document. Yes, the Stakeholder Engagement policy/procedure is applied at SOME local operations and publicly disclosed. Please provide a web link: Yes, the Stakeholder Engagement policy/procedure is applied at ALL local operations and publicly disclosed. Please provide a web link:

___________________

____________________

If you have such a policy/procedure in place, please indicate which of the following aspects are covered: Scope of policy/procedure Objective of Stakeholder Engagement Guidance for identifying stakeholders Guidance for prioritizing stakeholders Guidance for deciding on the method of engagement (e.g. dialogue, consultation, interactive website, etc.) Guidance for ensuring the stakeholders have sufficient capacity to engage with you (e.g. when and how to introduce capacity building measures) Guidance for handling Stakeholder Engagement risks (e.g. disruptive stakeholders, participation fatigue, etc.)

 Guidance for communicating the results of your Stakeholder Engagement OWNERSHIP Indicate the name and the number of levels separating the function ultimately responsible for Stakeholder Engagement at group level from the CEO. Name:

___________________
Number of levels from the CEO:

_________

Please indicate the frequency of briefings on Stakeholder Engagement to the Board of Directors At least quarterly At least semi-annually At least annually On an ad-hoc basis Never ACCOUNTABILITY Do you provide a grievance mechanism for local stakeholders to directly report to the department responsible for Stakeholder Engagement at group level in case the local communication channels do not function (e.g. hotline, dedicated email)? Please provide a web link:

____________________

We do not have any group-wide stakeholder engagement governance structure in place Not applicable. Please provide explanations in the comment box. Not known 3.7.2 Stakeholder Engagement - Implementation Please indicate the operational responsibilities as well as some examples of how your company's stakeholder engagement strategy is executed in the respective sections below. OPERATIONAL RESPONSIBILITY & CAPACITY Which function is typically responsible for overseeing Stakeholder Engagement at your local

_____ operations?

______________

Local implementation of the group-wide Stakeholder Engagement policy/procedure is part of the annual performance review of the local operations top managers, please specify:

____________________ ___________________

Top local managers receive training on capacity building and methods of engagement as specified in the Stakeholder Engagement policy/procedure. Please specify: EXECUTION Stakeholder profiles and a stakeholder maps are used as tools on the local level. Please provide examples of both profiles and maps from a representative local operation At the representative local operation indicated above, how do you characterize stakeholders as high- priority stakeholders? Please specify in the comment box below.

___________________
Please indicate two high-priority stakeholders according to your characterization as described above:

____________________ ___________________

Please briefly describe an interactive engagement (e.g. dialogue, partnership) with one of the high-priority stakeholders indicated above. Attach supporting reference (e.g. notes of town hall meeting): Not applicable. Please provide explanations in the comment box. Not known 3.7.3 Stakeholder Engagement - Review Please indicate in the Measuring and Lessons Learnt sections below how your company is measuring the outcome of your stakeholder engagement activities as well as how lessons learnt are incorporated into business processes. MEASURING Please indicate performance indicators (quantitative or qualitative) which are typically used to measure and report the success of your local Stakeholder Engagement activities back to the department responsible for Stakeholder Engagement at group level: Key Performance Indicator 1, please specify:

___________________ _

Key Performance Indicator 2, please specify:

___________________

LESSONS LEARNT Please briefly describe a concrete example where local Stakeholder Engagement has not been successful or has lead to a negative outcome:

____________________

How are lessons learnt from good and bad Stakeholder Engagement experiences systematically disseminated across the group? Dedicated interactive intranet site Standardized debriefing process Development of training modules Internal conference where local plant managers meet and share best practices Road shows to local operating units to share best practices from other operating units Other, please specify:

___________________

Not applicable. Please provide explanations in the comment box below. Not known

3.7.4 MSA External Engagement In this section we include a performance score on the Corporate Sustainability Monitoring with the objective to verify the company's involvement and management of crisis situations that can have a damaging effect on reputation. The evaluation will be filled in by the responsible analyst of your industry. No additional information is required from your company. Please disregard the comment box.

4 Document Library

_________

The document library gives you the opportunity to attach additional references (e.g. documents, weblinks) for questions that do not require supporting evidence. Please note that questions requiring supporting evidence (i.e. those with a paper clip icon) include a review of the documents by the responsible analyst and will impact the scoring. All documents referring to a specific question should be attached directly in that question using the paper clip icon. By contrast, attaching additional documents to the document library is optional. These documents will only be reviewed by the responsible analyst if found necessary. They will not necessarily contribute towards the assessment or impact the scores.

5 Feedback Survey: NOT required and NOT rated

5.1 Rationales for Participation

Why is your company taking part in the assessment? Please select a value from the dropdown list for each of the statements below. A. Due to the personal conviction and drive of one or a few individuals 1 = Not at all 6 = Very much so null 1 2 3 4 5 6 B. To improve our image towards stakeholders (employees, customers, regulators, communities, media, NGOs) 1 = Not at all 6 = Very much so null 1 2 3 4 5 6 C. To attract shareholders and benefit from investments associated with the Dow Jones Sustainability Index 1 = Not at all

6 = Very much so 1 2 3 4 5 6 D. We use the assessment process and criteria scores as levers & motivators to further push our sustainability agenda internally 1 = Not at all 6 = Very much so 1 2 3 4 5 6 E. We use results from the assessment to generate internal benchmarks, sustainability performance targets and to compare ourselves against peers 1 = Not at all 6 = Very much so null 1 2 3 4 5 6 F. Other:

___________________________
5.2 Offering of a Sustainability Option in the Retirement Plan
If corporate sustainability is deemed to be beneficial for a companys long term success, integrating sustainability considerations within investment decisions is the next logical step. Does your employee retirement plan offer a sustainability option? Yes No

5.3 Required Workload

How many employees used the online assessment interface this year?

__________
How many FTE x hours do you estimate were necessary to fill out the questionnaire this year?

__________

Do you believe the effort increased or decreased compared to last year? 1 2 3 4 5 6 Please select a value from the dropdown list 1 = Effort increased significantly 6 = Effort decreased significantly

5.4 Guidance Quality

Were the questions and help texts easy to understand and useful? null 1 2 3 4 5 6 Please select a value from the dropdown list 1 = Very difficult to understand and not useful 6 = Very easy to understand and very useful

5.5 Materiality of the Topics

Which topics within the questionnaire do you find most material?

_ _ _ _ _

_____________________________________________ ______________________________________________ _____________________________________________ ____________________

Which topics within the questionnaire do you believe necessitate improvement, should be removed, or should be added?

_ _ _ _ _

_____________________________________________ ______________________________________________ _____________________________________________ ____________________

5.6 Other Feedback

Any other feedback:

_ _ _ _ _

_____________________________________________ ______________________________________________ _____________________________________________ ____________________