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Indicator Protocols Set: SO
IP
© 2000-2011 GRI
SO8
Monetary value of signiicant ines and total number of non-monetary
sanctions for non-compliance with laws and regulations.
1. Relevance
The level of non-compliance within the organization helps to indicate the ability of management to ensure
that operations conform to certain performance parameters. From an economic perspective, ensuring
compliance helps to reduce inancial risks that occur either directly through ines or indirectly through
impacts on reputation. The strength of an organization’s compliance record can also afect its ability to expand
operations or gain permits.
Indicators EN28 and PR9 address compliance with speciic aspects of law. An organization’s overall record of
compliance with the range of laws under which it must operate is equally of interest. This Indicator is intended
to relect signiicant ines and non-monetary sanctions under laws or regulations not covered by EN28 and PR9,
such as laws and regulations related to accounting fraud, workplace discrimination, corruption, etc.
2. Compilation
2.1 Identify administrative or judicial sanctions levied
against the organization for failure to comply with laws or regulations, including:
• International declarationsconventions treaties, and national, sub-national, regional,
and local regulations, and. • Cases brought against the organization
through the use of international dispute mechanisms or national dispute mechanisms
supervised by government authorities.
2.2 Report signiicant ines and non-monetary
sanctions in terms of: • Total monetary value of signiicant ines;
• Number of non-monetary sanctions; and • Cases brought through dispute resolution
mechanisms. 2.3
Where the reporting organization has not identiied any non-compliance with laws or
regulations, a brief statement to this fact is suicient.
2.4 Organizations are encouraged to report ines and
non-monetary sanctions in terms of the focus of laws.
3. Deinitions
None.
4. Documentation
Data sources include audit results or regulatory tracking systems operated by the legal department. Information
regarding monetary ines can be found in accounting departments.
5. References
None.
IP
Indicator Protocols Set Product Responsibility PR
© 2000-2011 GRI Version 3.1
© 2000-2011 GRI Version 3.1
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Indicator Protocols Set: PR
IP
Version 3.1
Product Responsibility Performance Indicators
Aspect: Customer Health and Safety
C ORE
PR1 Life cycle stages in which health and safety
impacts of products and services are assessed for improvement, and percentage of signiicant
products and services categories subject to such procedures.
ADD
PR2 Total number of incidents of non-compliance
with regulations and voluntary codes concerning health and safety impacts of
products and services, by type of outcomes.
Aspect: Product and Service Labeling
C ORE
PR3 Type of product and service information
required by procedures, and percentage of signiicant products and services subject to
such information requirements.
ADD
PR4 Total number of incidents of non-compliance
with regulations and voluntary codes concerning product and service information
and labeling, by type of outcomes.
ADD
PR5 Practices related to customer satisfaction,
including results of surveys measuring customer satisfaction.
Aspect: Marketing Communications
C ORE
PR6 Programs for adherence to laws, standards,
and voluntary codes related to marketing communications, including advertising,
promotion, and sponsorship.
ADD
PR7 Total number of incidents of non-compliance
with regulations and voluntary codes concerning marketing communications,
including advertising, promotion, and sponsorship, by type of outcomes.
Aspect: Customer Privacy
ADD
PR8 Total number of substantiated complaints
regarding breaches of customer privacy and losses of customer data.
Aspect: Compliance
C ORE
PR9 Monetary value of signiicant ines for
non-compliance with laws and regulations concerning the provision and use of products
and services
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Indicator Protocols Set: PR
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Relevance
The Product Responsibility Indicator set addresses the efects of products and services management on
customers and users. Organizations are expected to exercise due care in the design of their products and
services to ensure they are it for their intended use and do not pose unintended hazards to health and safety.
In addition, communications related to both products and services and users need to take into consideration
the information needs of customers and their rights to privacy. The Indicators are primarily structured in pairs,
with a Core Indicator seeking disclosure on the processes in place to address the aspect, and an additional
Indicator to report on degree of compliance.
Deinitions
Type of non-compliance
Court judgment on failure to act in accordance with regulations or laws, categorized by the nature of the laws
or regulations breached.
Product and service informationlabeling
Information and labeling are used synonymously and describe communication delivered with the product or
service describing its characteristics.
Customer privacy
The right of the customer to privacy and personal refuge, including matters such as the protection of data, the
use of informationdata only for its original intended purpose unless speciically agreed otherwise, the
obligation to observe conidentiality, and protection from misuse or theft. A customer is understood to
include end-customers consumer as well as business- to-business customers.
Marketing communication
The combination of strategies, systems, methods, and activities used by an organization to promote
its reputation, brands, products, and services to target audiences. Marketing communications can
include activities such as advertising, personal selling, promotion, public relations, and sponsorship.
General References
• OECD Guidelines for Multinational Enterprises,
Revision 2000.
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Indicator Protocols Set: PR
IP
Version 3.1
pR1
Life cycle stages in which health and safety impacts of products and
services are assessed for improvement, and percentage of signiicant products
and services categories subject to such procedures.
1. Relevance
