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SUSTAINA JAPAN Inc.

Service Provider Reporting Framework 2017

You are in Strategy and Governance » Responsible investment policy

Responsible investment policy

SG 01. Responsible investment policy

01.1. Describe how your organisation’s philosophy incorporates environmental, social and governance factors, and the link to your business offerings.

          We have been running the business to encourage ESG and sustainability of corporates on the basis of a philosophy, "Pass the better society onto the next generation." We aim to realize diffusion and establishment of ESG investment by developing and operating the first platform website "SUSTAINES" in Japan for sustainability evaluation.
        

01.2. Indicate whether you have policies that formalise the incorporation of your beliefs in your business offerings.

01.3. Indicate the components/types  of your policy

Policy components/types

01.4. Indicate how these are put into practice internally across the organisation.

01.5. Additional information [OPTIONAL]


SG 02. Publically available policies

02.1. Indicate which of your policy documents or statements (if any) are publicly available. Provide the URL and an attachment of the document.

Policy or document name

02.2. Additional information. [OPTIONAL]

Although this web page indicated is written only in Japanese, we have been making a statement concerning our effort in accordance with the six principles which raised up by PRI here.


SG 03. Norms used to develop policies

03.1. Indicate what standards you have used to develop your organisation’s policies. Tick all that apply.


SG 04. Policy offerings to clients

04.1. Indicate whether you offer any of the following policies to clients.

Off the shelf
Tailored
Asset class-specific RI guidelines
Sector-specific RI guidelines
Screening/exclusions policy
Engagement policy
(Proxy) voting policy
RI guidelines set out within the Investment Policy Statement (IPS)
RI guidelines set out in a freestanding RI policy
Multi-year RI implementation project plan
Conflict of interest management policy
Stockbroker allocation policy
Securities lending policy
Other, please specify (1)
Other, please specify (2)
Other, please specify (3)
None of the above

SG 05. ESG/RI in business offerings

05.2. Describe the resources that your organisation allocates to ESG/RI offerings where these form only a supplementary ESG/RI service.

Business area

Research and Data Provision

Describe the resources allocated to ESG/RI offerings

We have been allocating much of our resources to development and  operation of the web platform “SUSTAINES”, which provides information about the sustainability score of companies in order to increase the ratio of a supplementary ESG/RI service in our offerings.

Currently we have been developing the evaluation system based on web crawling and text mining to be alternative of the research that depends on manpower. We are reaching the final steps in implements of this system and will release it in the middle of this year.

Additionally, we would like to deliver information worldwide, therefore we have a plan to release the English version of "SUSTAINES" by the end of this year. 


SG 06. Outsourcing of services

06.1. Indicate whether you outsource some of your services.

Business area

Percentage of service outsourced

30 %
          Systems development
        

Percentage of service outsourced

30 %

SG 06.2. Outsourcing of services

06.2. For each business area, describe what components you outsource to other organisations.

We have been outsourcing the system development for our web platform in the area "Research and Data Provision". Also we have been outsourcing occasionally designing and programming in the area "Systems development" as the business commisioned by our clients.

06.3. For each business area, describe how you ensure the organisation implementing your outsourced services adheres to your beliefs and policies on ESG/RI.

When we select an organisasion for our outsourcing partner, we dialogue with the representative of the organisation to establish engagement. In the dialogue, we communicate our beliefs and policies to the potential partner and we comfirm if the organisation has adequate consciousness and efforts toward ESG issues.


SG 07. Providing training/education

07.1. Indicate whether you provide training/educational services on ESG/RI. Tick all that apply.


SG 08. Level of involvement in collaborative organizations and/or initiatives

08.1. Select the collaborative organisation and/or initiatives of which your organisation is a member, or in which it participated during the reporting year and the role you played.

Collaborative Organisation/Initiative

Provide a brief commentary on the level of your organisation’s involvement in the initiative [OPTIONAL]

          
        

08.2. Additional information. [OPTIONAL]


SG 09. Applying, advancing and promoting the PRI principles

09.1. Describe how your organisation applies, advances and promotes the PRI Principles.

We have been developing and operating the only web-based platform in Japan “SUSTAINES” for providing information concerning the sustainability evaluation of companies.

This product evaluates the sustainability of approximately 4,000 representative companies of Japan and publishes the result of evaluations. Additionally, we publish on it the CSR rating data of approximately 1,400 companies provided from TOYO KEIZAI INC., which conducts the largest research concerning the CSR issues in Japan.

We effort to provide many useful information for spreading the awareness of ESG among institutional and private investors or the diffusion and the establishment of ESG investment on the stock market.

09.2. Highlight whether there are any ways that your organisation would like to engage further with the PRI. [OPTIONAL]


SG 10. Actions taken to promote responsible investment

10.1. Indicate which of the following actions your organisation has taken to promote responsible investments, independently of collaborative initiatives.

10.2. Additional information. [OPTIONAL]


SG 11. Long term trends

11.1. Indicate which of the following long-term trends are addressed in your product outputs.

          Frequent occurrence of Japanese corporate scandals
        

11.2. Explain how this long term trend affects your product outputs.

Our website "SUSTAINES" receives the reviews from stakeholders of Japanese corporates. These reviews affect directly the sustainability score which we provide. Therefore, we believe this effort will help to promote corporate's activities for sustainability or prevent corporates from causing scandals.


SG 12. Business certifications/accreditations

12.1. Indicate whether you have obtained any certifications or accreditations related to ESG/RI and your business activities.

12.2. Additional information. [OPTIONAL]


SG 13. Interaction with asset owners

13.1. Indicate whether you interact with asset owner clients.


SG 14. Aligning approach with investor goals

14.1. Describe how you align your organisation’s philosophy on and approach to ESG/RI with investor goals.

          The evaluation results for sustainability, which we provide based on our philosophy may be helpful for investors to discover the continuous growing companies or the companies with risks for sociality, when they select an investment destination. This will lead to maximize the return on the investment as the objective of investors.
        

14.2. Additional information. [OPTIONAL]


SG 15. ESG recommendations not aligned with investor goals

15.1. Describe what steps you take, if any, when your ESG recommendations are not in line with investor goals.

15.2. Additional information. [OPTIONAL]


SG 16. Seeking feedback from clients

16.1. Indicate whether you seek feedback from clients on your RI/ESG services and product offerings

16.2. Describe how you use this feedback on your RI/ESG services and product offerings.

Taking advantage of feedback from our clients, we make functional additions and improve usability on the web platform “SUSTAINES”.


SG 17. Managing conflicts of interest

17.1. Indicate whether your organisation has a policy for managing potential conflicts of interest.

17.2. Describe how you manage potential conflicts of interest.

We believe we should stand at fair and neutral position to gain credibility of society. For this reason, we make it a principle not to give advice and consultation on the target companies for evaluation.

17.3. Describe how you ensure that company employees do not derive any personal gain from the use of information collected during your work process.

We clearly defined confidentiality agreement with our employees and outsourcing partners, so that they never personally use the undisclosed information they know on working. We never make hiring or outsourcing agreement with a job applicant or a vendor who disagrees with the contract for confidentiality.


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