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GRI Guidelines Index

GRI Guidelines Index Key Facts

The comparative table below refers to the locations of our website and Nomura Report 2016 that correspond to required disclosure categories under the Global Reporting Initiative's (GRI) Sustainability Reporting Guidelines (G4) and the G4 Sector Disclosures for Financial Services.

Material aspects (material aspects for Nomura Group) disclosed in Specific Standard Disclosure items are selected based on Key issues.

"—" stands for N/A.

GENERAL STANDARD DISCLOSURES SPECIFIC STANDARD DISCLOSURES SPECIFIC STANDARD DISCLOSURES FOR THE FINANCIAL SERVICES SECTOR

GENERAL STANDARD DISCLOSURES

GENERAL STANDARD DISCLOSURES
DMA and Performance Indicators Nomura Report 2016 Web site External
Assurance
Strategy and Analysis
G4-1
  1. Statement from the most senior decision-maker of the organization (such as CEO, chair, or equivalent senior position) about the relevance of sustainability to the organization and the organization's strategy for addressing sustainability
blank
G4-2
  1. Description of key impacts, risks, and opportunities
blank
Organizational Profile
G4-3
  1. Name of the organization
blank
G4-4
  1. Primary brands, products, and services
blank
G4-5
  1. Location of the organization's headquarters
blank
G4-6
  1. Number of countries where the organization operates, and names of countries where either the organization has significant operations or that are specifically relevant to the sustainability topics covered in the report
blank
G4-7
  1. Nature of ownership and legal form
blank
G4-8
  1. Markets served (including geographic breakdown, sectors served, and types of customers and beneficiaries)
blank
G4-9
  1. Scale of the organization, including:
    • Total number of employees
    • Total number of operations
    • Net sales (for private sector organizations) or net revenues (for public sector organizations)
    • Total capitalization broken down in terms of debt and equity (for private sector organizations)
    • Quantity of products or services provided
blank
G4-10
  1. Total number of employees by employment contract and gender
  2. Total number of permanent employees by employment type and gender
  3. Total workforce by employees and supervised workers and by gender
  4. Total workforce by region and gender
  5. Whether a substantial portion of the organization's work is performed by workers who are legally recognized as self-employed, or by individuals other than employees or supervised workers, including employees and supervised employees of contractors
  6. Significant variations in employment numbers (such as seasonal variations in employment in the tourism or agricultural industries)
blank
G4-11
  1. Percentage of total employees covered by collective bargaining agreements
blank
G4-12
  1. Organization's supply chain
blank
G4-13
  1. Significant changes during the reporting period regarding the organization's size, structure, ownership, or its supply chain, including:
    • Changes in the location of, or changes in, operations, including facility openings, closings, and expansions
    • Changes in the share capital structure and other capital formation, maintenance, and alteration operations (for private sector organizations)
    • Changes in the location of suppliers, the structure of the supply chain, or in relationships with suppliers, including selection and termination
blank
G4-14
  1. Whether and how the precautionary approach or principle is addressed by the organization
blank
G4-15
  1. List externally developed economic, environmental and social charters, principles, or other initiatives to which the organization subscribes or which it endorses
blank
G4-16
  1. List memberships of associations (such as industry associations) and national or international advocacy organizations in which the organization:
    • Holds a position on the governance body
    • Participates in projects or committees
    • Provides substantive funding beyond routine membership dues
    • Views membership as strategic
blank
Identified Material Aspects and Boundaries
G4-17
  1. List all entities included in the organization's consolidated financial statements or equivalent documents
  2. Whether any entity included in the organization's consolidated financial statements or equivalent documents is not covered by the report
blank
G4-18
  1. Process for defining the report content and the Aspect Boundaries
  2. How the organization has implemented the Reporting Principles for Defining Report Content
blank
G4-19
  1. List all the material Aspects identified in the process for defining report content
blank
G4-20
  1. Aspect Boundary within the organization for each material Aspect, as follows:
    • Whether the Aspect is material within the organization
    • If the Aspect is not material for all entities within the organization (as described in G4-17), select one of the following two approaches and report either:
      • The list of entities or groups of entities included in G4-17 for which the Aspect is not material or
      • The list of entities or groups of entities included in G4-17 for which the Aspects is material
    • Specific limitation regarding the Aspect Boundary within the organization
blank
G4-21
  1. Aspect Boundary outside the organization for each material Aspect, as follows:
    • Whether the Aspect is material outside of the organization
    • If the Aspect is material outside of the organization, identify the entities, groups of entities or elements for which the Aspect is material. In addition, describe the geographical location where the Aspect is material for the entities identified.
    • Specific limitation regarding the Aspect Boundary outside the organization
blank
G4-22
  1. Effect of any restatements of information provided in previous reports, and the reasons for such restatements
blank
G4-23
  1. Significant changes from previous reporting periods in the Scope and Aspect Boundaries
blank
Stakeholder Engagement
G4-24
  1. List of stakeholder groups engaged by the organization
blank
G4-25
  1. Basis for identification and selection of stakeholders with whom to engage
blank
G4-26
  1. Organization's approach to stakeholder engagement, including frequency of engagement by type and by stakeholder group, and an indication of whether any of the engagement was undertaken specifically as part of the report preparation process
blank
G4-27
  1. Key topics and concerns that have been raised through stakeholder engagement, and how the organization has responded to those key topics and concerns, including through its reporting. Stakeholder groups that raised each of the key topics and concerns
blank
Report Profile
G4-28
  1. Period (such as fiscal or calendar year) for information provided
blank
G4-29
  1. Date of most recent previous report (if any)
blank
G4-30
  1. Reporting cycle (such as annual, biennial)
blank
G4-31
  1. Contact point for questions regarding the report or its contents
blank
G4-32
  1. 'In accordance' option the organization has chosen
  2. GRI Content Index for the chosen option (see tables below)
  3. Reference to the External Assurance Report, if the report has been externally assured.
blank
G4-33
  1. Organization's policy and current practice with regard to seeking external assurance for the report
  2. Scope and basis of any external assurance provided, if not included in the assurance report accompanying the sustainability report.
  3. Relationship between the organization and the assurance providers
  4. Whether the highest governance body or senior executives are involved in seeking assurance for the organization's sustainability report
blank
Governance
G4-34
  1. Governance structure of the organization, including committees of the highest governance body. Committees responsible for decision-making on economic, environmental and social impacts.
blank
G4-35
  1. Process for delegating authority for economic, environmental and social topics from the highest governance body to senior executives and other employees
blank
G4-36
  1. Whether the organization has appointed an executive-level position or positions with responsibility for economic, environmental and social topics, and whether post holders report directly to the highest governance body
blank
G4-37
  1. Processes for consultation between stakeholders and the highest governance body on economic, environmental and social topics (If consultation is delegated, describe to whom and any feedback processes to the highest governance body)
blank
G4-38
  1. Composition of the highest governance body and its committees by:
    • Executive or non-executive
    • Independence
    • Tenure on the governance body
    • Number of each individual's other significant positions and commitments, and the nature of the commitments
    • Gender
    • Membership of under-represented social groups
    • Competences relating to economic, environmental and social impacts
    • Stakeholder representation
blank
G4-39
  1. Whether the Chair of the highest governance body is also an executive officer (and, if so, his or her function within the organization's management and the reasons for this arrangement)
blank
G4-40
  1. Nomination and selection processes for the highest governance body and its committees, and the criteria used for nominating and selecting highest governance body members, including:
    • Whether and how diversity is considered
    • Whether and how independence is considered
    • Whether and how expertise and experience relating to economic, environmental and social topics are considered
    • Whether and how stakeholders (including shareholders) are involved
blank
G4-41
  1. Processes for the highest governance body to ensure conflicts of interest are avoided and managed. Report whether conflicts of interest are disclosed to stakeholders, including, as a minimum:
    • Cross-board membership
    • Cross-shareholding with suppliers and other stakeholders
    • Existence of controlling shareholder
    • Related party disclosures
blank
G4-42
  1. The highest governance body's and senior executives' roles in the development, approval, and updating of the organization's purpose, value or mission statements, strategies, policies, and goals related to economic, environmental and social impacts
blank
G4-43
  1. Measures taken to develop and enhance the highest governance body's collective knowledge of economic, environmental and social topics
blank
G4-44
  1. Processes for evaluation of the highest governance body's performance with respect to governance of economic, environmental and social topics (Whether such evaluation is independent or not, and its frequency. Whether such evaluation is a self-assessment.)
  2. Actions taken in response to evaluation of the highest governance body's performance with respect to governance of economic, environmental and social topics, including, as a minimum, changes in membership and organizational practice.
blank
G4-45
  1. The highest governance body's role in the identification and management of economic, environmental and social impacts, risks, and opportunities (Include the highest governance body's role in the implementation of due diligence processes)
  2. Whether stakeholder consultation is used to support the highest governance body's identification and management of economic, environmental and social impacts, risks, and opportunities"
blank
G4-46
  1. The highest governance body's role in reviewing the effectiveness of the organization's risk management processes for economic, environmental and social topics
blank
G4-47
  1. Frequency of the highest governance body's review of economic, environmental and social impacts, risks, and opportunities
blank
G4-48
  1. The highest committee or position that formally reviews and approves the organization's sustainability report and ensures that all material Aspects are covered
blank
G4-49
  1. Process for communicating critical concerns to the highest governance body
blank
G4-50
  1. Nature and total number of critical concerns that were communicated to the highest governance body and the mechanism(s) used to address and resolve them
blank
G4-51
  1. Remuneration policies for the highest governance body and senior executives for the below types of remuneration:
    • Fixed pay and variable pay:
      • Performance-based pay
      • Equity-based pay
      • Bonuses
      • Deferred or vested shares
    • Sign-on bonuses or recruitment incentive payments
    • Termination payments
    • Clawbacks
    • Retirement benefits, including the difference between benefit schemes and contribution rates for the highest governance body, senior executives, and all other employees
  2. How performance criteria in the remuneration policy relate to the highest governance body's and senior executives' economic, environmental and social objectives.
blank
G4-52
  1. Process for determining remuneration. Report whether remuneration consultants are involved in determining remuneration and whether they are independent of management. Report any other relationships which the remuneration consultants have with the organization.
blank
G4-53
  1. How stakeholders' views are sought and taken into account regarding remuneration, including the results of votes on remuneration policies and proposals, if applicable.
blank
G4-54
  1. Ratio of the annual total compensation for the organization's highest-paid individual in each country of significant operations to the median annual total compensation for all employees (excluding the highest-paid individual) in the same country
blank
G4-55
  1. Ratio of percentage increase in annual total compensation for the organization's highest-paid individual in each country of significant operations to the median percentage increase in annual total compensation for all employees (excluding the highest-paid individual) in the same country
blank
Ethics and Integrity
G4-56
  1. Organization's values, principles, standards and norms of behavior such as codes of conduct and codes of ethics
blank
G4-57
  1. Internal and external mechanisms for seeking advice on ethical and lawful behavior, and matters related to organizational integrity, such as helplines or advice lines
blank
G4-58
  1. Internal and external mechanisms for reporting concerns about unethical or unlawful behavior, and matters related to organizational integrity, such as escalation through line management, whistleblowing mechanisms or hotlines
blank

SPECIFIC STANDARD DISCLOSURES

ECONOMIC

SPECIFIC STANDARD DISCLOSURES
DMA and Performance Indicators Nomura Report 2016 Web site External
Assurance
DMA Management Approach blank
Economic Performance
DMA Management Approach See DMA for ECONOMIC See DMA for ECONOMIC blank
EC1 Direct economic value generated and distributed blank
EC2 Financial implications and other risks and opportunities for the organization's activities due to climate change blank
EC3 Coverage of the organization's defined benefit plan obligations blank
EC4 Financial assistance received from government blank
Indirect Economic Impacts
DMA Management Approach blank
EC7 Development and impact of infrastructure investments and services supported blank
EC8 Significant indirect economic impacts, including the extent of impacts blank

ENVIRONMENTAL

ENVIRONMENTAL
DMA and Performance Indicators Nomura Report 2016 Web site External
Assurance
DMA Management Approach blank
Emissions
DMA Management Approach blank
EN15 Direct greenhouse gas (GHG) emissions (Scope 1)
EN16 Energy indirect greenhouse gas (GHG) emissions (Scope 2)
EN17 Other indirect greenhouse gas (GHG) emissions (Scope 3)
EN18 Greenhouse gas (GHG) emissions intensity
EN19 Reduction of greenhouse gas (GHG) emissions
EN20 Emissions of ozone-depleting substances (ODS) blank
EN21 NOx, SOx, and other significant air emissions blank
Effluents and Waste
DMA Management Approach See DMA for ENVIRONMENTAL See DMA for ENVIRONMENTAL blank
EN22 Total water discharge by quality and destination blank
EN23 Total weight of waste by type and disposal method
EN24 Total number and volume of significant spills blank
EN25 Weight of transported, imported, exported, or treated waste deemed hazardous under the terms of the Basel Convention2 Annex I, II, III, and VIII, and percentage of transported waste shipped internationally blank
EN26 Identity, size, protected status, and biodiversity value of water bodies and related habitats significantly affected by the organization's discharges of water and runoff blank
Products and Services
DMA Management Approach See DMA for ENVIRONMENTAL See DMA for ENVIRONMENTAL blank
EN27 Extent of impact mitigation of environmental impacts of products and services blank
EN28 Percentage of products sold and their packaging materials that are reclaimed by category blank
Compliance
DMA Management Approach See DMA for ENVIRONMENTAL See DMA for ENVIRONMENTAL blank
EN29 Monetary value of significant fines and total number of non-monetary sanctions for non-compliance with environmental laws and regulations No relevant cases in FY 2015 No relevant cases in FY 2015 blank

SOCIAL

SOCIAL
DMA and Performance Indicators Nomura Report 2016 Web site External
Assurance
LABOR PRACTICES AND DECENT WORK
DMA Management Approach blank
Employment
DMA Management Approach
  • See DMA for LABOR PRACTICES AND DECENT WORK
blank
LA1 Total number and rates of new employee hires and employee turnover by age group, gender, and region (Number of new hires)
LA2 Benefits provided to full-time employees that are not provided to temporary or part-time employees, by significant locations of operation blank
LA3 Return to work and retention rates after parental leave, by gender blank
Occupational Health and Safety
DMA Management Approach
  • See DMA for LABOR PRACTICES AND DECENT WORK
blank
LA5 Percentage of total workforce represented in formal joint management-worker health and safety committees that help monitor and advise on occupational health and safety programs blank
LA6 Type of injury and rates of injury, occupational diseases, lost days, and absenteeism, and total number of workrelated fatalities, by region and by gender blank
LA7 Workers with high incidence or high risk of diseases related to their occupation blank
LA8 Health and safety topics covered in formal agreements with trade unions blank
Training and Education
DMA Management Approach See DMA for LABOR PRACTICES AND DECENT WORK See DMA for LABOR PRACTICES AND DECENT WORK blank
LA9 Average hours of training per year per employee by gender, and by employee category
LA10 Programs for skills management and lifelong learning that support the continued employability of employees and assist them in managing career endings blank
LA11 Percentage of employees receiving regular performance and career development reviews, by gender and by employee category blank
Diversity and Equal Opportunity
DMA Management Approach
  • See DMA for LABOR PRACTICES AND DECENT WORK
blank
LA12 Composition of governance bodies and breakdown of employees per employee category according to gender, age group, minority group membership, and other indicators of diversity blank
Equal Remuneration for Women and Men
DMA Management Approach
  • See DMA for LABOR PRACTICES AND DECENT WORK
blank
LA13 Ratio of basic salary and remuneration of women to men by employee category, by significant locations of operation blank
Labor Practices Grievance Mechanisms
DMA Management Approach See DMA for LABOR PRACTICES AND DECENT WORK
  • See DMA for LABOR PRACTICES AND DECENT WORK
blank
LA16 Number of grievances about labor practices filed, addressed, and resolved through formal grievance mechanisms blank
HUMAN RIGHTS
DMA and Performance Indicators Nomura Report 2016 Web site External
Assurance
HUMAN RIGHTS
DMA Management Approach blank
Investment
DMA Management Approach
  • See DMA for HUMAN RIGHTS
blank
HR1 Total number and percentage of significant investment agreements and contracts that include human rights clauses or that underwent human rights screening blank
HR2 Total hours of employee training on human rights policies or procedures concerning aspects of human rights that are relevant to operations, including the percentage of employees trained blank
Non-discrimination
DMA Management Approach See DMA for HUMAN RIGHTS
  • See DMA for HUMAN RIGHTS
blank
HR3 Total number of incidents of discrimination and corrective actions taken blank
Assessment
DMA Management Approach See DMA for HUMAN RIGHTS See DMA for HUMAN RIGHTS blank
HR9 Total number and percentage of operations that have been subject to human rights reviews or impact assessments blank
Human Rights Grievance Mechanisms
DMA Management Approach See DMA for HUMAN RIGHTS
  • See DMA for HUMAN RIGHTS
blank
HR12 Number of grievances about human rights impacts filed, addressed, and resolved through formal grievance mechanisms blank
SOCIETY
DMA and Performance Indicators Nomura Report 2016 Web site External
Assurance
SOCIETY
DMA Management Approach blank
Local Communities
DMA Management Approach
  • See DMA for SOCIETY
blank
SO1 Percentage of operations with implemented local community engagement, impact assessments, and development programs blank
SO2 Operations with significant actual or potential negative impacts on local communities blank
Anti-corruption
DMA Management Approach
  • See DMA for SOCIETY
blank
SO3 Total number and percentage of operations assessed for risks related to corruption and the significant risks identified blank
SO4 Communication and training on anti-corruption policies and procedures blank
SO5 Confirmed incidents of corruption and actions taken blank
Public Policy
DMA Management Approach See DMA for SOCIETY See DMA for SOCIETY blank
SO6 Total value of political contributions by country and recipient/beneficiary Nomura Holdings made political donations of JPY 32million in 2015. blank
Anti-competitive Behavior
DMA Management Approach See DMA for SOCIETY See DMA for SOCIETY blank
SO7 Total number of legal actions for anti-competitive behavior, anti-trust, and monopoly practices and their outcomes No relevant cases in this FY 2015 No relevant cases in this FY 2015 blank
Compliance
DMA Management Approach See DMA for SOCIETY See DMA for SOCIETY blank
SO8 Monetary value of significant fines and total number of non-monetary sanctions for non-compliance with laws and regulations blank blank
Grievance Mechanisms for Impacts on Society
DMA Management Approach See DMA for SOCIETY See DMA for SOCIETY blank
SO11 Number of grievances about impacts on society filed, addressed, and resolved through formal grievance mechanisms blank
PRODUCT RESPONSIBILITY
DMA and Performance Indicators Nomura Report 2016 Web site External
Assurance
PRODUCT RESPONSIBILITY
DMA Management Approach blank
Customer Health and Safety
DMA Management Approach See DMA for PRODUCT RESPONSIBILITY
  • See DMA for PRODUCT RESPONSIBILITY
blank
PR1 Percentage of significant product and service categories for which health and safety impacts are assessed for improvement blank
PR2 Total number of incidents of non-compliance with regulations and voluntary codes concerning the health and safety impacts of products and services during their life cycle, by type of outcomes blank
Product and Service Labeling
DMA Management Approach See DMA for PRODUCT RESPONSIBILITY
  • See DMA for PRODUCT RESPONSIBILITY
blank
PR3 Type of product and service information required by the organization's procedures for product and service information and labeling, and percentage of significant product and service categories subject to such information requirements blank
PR4 Total number of incidents of non-compliance with regulations and voluntary codes concerning product and service information and labeling, by type of outcomes blank
PR5 Results of surveys measuring customer satisfaction blank
Marketing Communications
DMA Management Approach See DMA for PRODUCT RESPONSIBILITY See DMA for PRODUCT RESPONSIBILITY blank
PR6 Sale of banned or disputed products blank
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 No relevant serious cases in this FY 2015 No relevant serious cases in this FY 2015 blank
Customer Privacy
DMA Management Approach See DMA for PRODUCT RESPONSIBILITY See DMA for PRODUCT RESPONSIBILITY blank
PR8 Total number of substantiated complaints regarding breaches of customer privacy and losses of customer data blank
Compliance
DMA Management Approach See DMA for PRODUCT RESPONSIBILITY See DMA for PRODUCT RESPONSIBILITY blank
PR9 Monetary value of significant fines for non-compliance with laws and regulations concerning the provision and use of products and services No relevant cases in this FY 2015 No relevant cases in this FY 2015 blank

SPECIFIC STANDARD DISCLOSURES FOR THE FINANCIAL SERVICES SECTOR

PRODUCT RESPONSIBILITY
DMA and Performance Indicators Nomura Report 2016 Web site External
Assurance
Product Portfolio
DMA Management Approach
-FS1:Policies with specific environmental and social components applied to business lines
-FS2:Procedures for assessing and screening environmental and social risks in business lines
-FS3:Processes for monitoring clients' implementation of and compliance with environmental and social requirements included in agreements or transactions
-FS4:Process(es) for improving staff competency to implement the environmental and social policies and procedures as applied to business lines
-FS5:Interactions with clients/ investees/business partners regarding environmental and social risks and opportunities
blank
FS6 Percentage of the portfolio for business lines by specific region,size (e.g. micro/sme/large) and by sector blank
FS7 Monetary value of products and services designed to deliver a specific social benefit for each business line broken down by purpose blank
FS8 Monetary value of products and services designed to deliver aspecific environmental benefit for each business line broken down by purpose blank
Audit
DMA Management Approach
-FS9:Coverage and frequency of audits to assess implementation of environmental and social policies and risk assessment procedures
blank
Active Ownership
DMA Management Approach
-FS12:Voting policy(ies) applied to environmental or social issues for shares over which the reporting organization holds the right to vote shares or advises on voting
blank
FS10 Percentage and number of companies held in the institution's portfolio with which the reporting organization has interacted on environmental or social issues blank
FS11 Percentage of assets subject to positive and negative environmental or social screening blank
Local Communities
FS13 Access points in low-populated or economically disadvantaged areas by type blank
FS14 Initiatives to improve access to financial services for disadvantaged people blank
Participation in Initiatives for Sustainability External Assessment
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