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 Investment
Investment stage Sector
Company A Portfolio Professional, scientific and technical activit
Company B Portfolio Mining and quarrying
Company C Portfolio Electric, gas, steam and air conditioning su
Sub-sector
Other professional, scientific and technical activities
Mining of coal and lignite
Renewables like wind, small hydro (up to 30 MW), geothermal, solar
Country Investment type Amount
Rwanda Existing € 4,000,000
South Africa Expansion € 2,500,000
Niger Expansion € 3,000,000
 e

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Investment Number of Date of Assessment
Investment stage review review Business Integrity Alert Compliance
Company A Portfolio First 01/01/11 1 0 0 1 1 0
Company A Portfolio Second 01/03/12 1 1 0 1 2 1
Company A Portfolio Third 27/03/13 1 1 1 2 2 1
Company B Portfolio First 05/11/11 1 0 1 0 1 1
Company B Portfolio Second 05/11/13 1 1 1 1 1 1
Company C Portfolio First 10/11/10 1 1 0 1 1 1
Company C Portfolio Second 12/11/11 1 1 1 1 1 1
Company C Portfolio Third 12/12/13 1 1 1 2 2 2
0
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Investment: Company B E&S Risks, Management & Opportunities Corporate Governance & Business Integrity Links to relevant IFC Guidelines TI
o Score

General EHS Guidelines 0 0 ln

Ia
a
sector corruption risk
Investment stage Portfolio E&S Risk Category High Business Integrity Alert Medium n
lw
c
Mining 0 0 s
o
F
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o
a
p
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Amount $2,500,000 Coal Processing 0 n
lm
(Most recent) d
Low
63% Business Integrity Score 17% e
a
E&S Management Score: tt
Country South Africa Natural Gas Processing 0 r
e
tGuideline 4
e
i
g
R
n
Investment type Expansion u
e
g
Environmental & Social Corporate Governance l
Medium 68% v
Opportunity Category Score a
i
Sector Mining and quarrying te
O
i
w
p
o
p
n
0 0 0 0 0 o
"
Sub-sector Mining of coal and lignite r
Date of most recent t
11/5/2013
review: u
n
O
i
p
t
Relevance of Performance p
i
Standard Country Country Country Country Country Country o
e
Sector Risks & Country IssuesPerformance
(1 = low,
standards
5 = high)
2-8
(more info here
Risk
andalinks below) Risk b Risk c Risk d Risk e issue a issue b issue c issue d issue e issue f rs
t
u
n
Women i
4 Working Conditions & OHS Worker Relationship Safety Supply Chain Issues t
economic rights
y

PS PS 2: Labor and Working Conditions (click here) a

Pollution Prevention & Emergency Preparedness & Industrial CO2

4 Hazardous Materials Soil & Groundwater Historical Pollution Ozone levels SO2 emissions CO2 per capita CO2 per kWh
(hazardous) waste Response emissions

PS PS 3: Resource Efficiency and Pollution Prevention (click here)

Environmental and Natural Environmental

Infrastructure and Emergency Preparedness
3 Resources Issues (rel to Hazardous Material Safety burden of
Equipement Safety and Response
communities) disease

PS PS 4: Community Health, Safety and Security (click here)

Check whether investment

involves Physical or
Physical or Economic Economic Displacement,
5 Resettlement Consultation Grievance
Displacement Consultation and/or
Grievance requirements. If
yes, PS 5 is applicable
PS PS 5: Land Acquisition and Involuntary Resettlement (click here)

Effective
5 (Critical) Habitat Legally Protected Areas Water quality Water stress Critical habitat
conservation

PS PS 6: Biodiversity Conservation and Sustainable Management of Living Natural Resources (click here)

Check whether indigenous

people live in area of
3
influence of project. If yes,
PS 7 is applicable
PS PS 7: Indigenous Peoples (click here)

Check whether cultural

heritage objects are present
3 in area of influence of
project. If yes, PS 8 is
applicable
PS PS 8
: Cultural Heritage (click here)

Most recent review: First review:

Potential Potential Potential Potential Potential

ManagementPerformance standard 1 (click here)
05/11/2013 05/11/2011 improvement a improvement b improvement c improvement d improvement e

E&S Management
Score 63% Incomplete Review
(100% = max)

Applicable E&S Legislation E&S Risks and Impacts Independent risk and impact
Assessment Score 50% Baseline Data
Analysis Assessment assessment mandatory
Management & action E&S Risk Mitigation E&S Performance Operational E&S Policies &
50% E&S Action Plan
program Score Measures Improvements Procedures

Organizational capacity
67% Roles and Responsibilities Resources
Score

Stakeholder
75%
Enagagement Score

Monitoring and
100%
reporting Score

Corporate
68
% Incomplete Review
Governance Score

Commitment to CG Commitment to Corporate

25% Family Businesses
Score Governance

Structure and
Functioning of the BoD 75% Board Committees
Score

Control Environment
75% Internal Controls
and Processes

Transparency and
67% Financial Transparency
Disclosure Score

Shareholder Rights
100%
Score

Business Integrity Management

Score

Busineses Integrity Business Integrity Principles Business Integrity Business Integrity Roles and
17% Incomplete Review
Management Score or Policies Engagement Program Responsibilities

Potential opportunities Opportunity a Opportunity b Opportunity c Opportunity d

Most likely opportunities to improve Environmental & Social (and

Community Support Improve sub-contractors
possibly) financial performance
Programs management
(This list is not exhaustive)
 Assessment Score

100%
90%
80%
Corporate Governance Score
70%
60%
50%
40%
30%
20%
10%
0%

Business Ethics Score

Monitoring and reporting Score

 E&S Management Score over time Corporate Governance Score over tim
100% 100%

75%
75%

50%
50%

25%
25%

0%
0%
18
99

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