GRI Guidelines Index

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

* Please scroll horizontally to look at table below.

DMA and Performance Indicators Nomura Report 2016 Web site External
Assurance
Strategy and Analysis
G4-1

a. 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

Message from the Group CEO
(PDF 219KB)
G4-2

a. Description of key impacts, risks, and opportunities

Organizational Profile
G4-3

a.Name of the organization

G4-4

a.Primary brands, products, and services

G4-5

a.Location of the organization's headquarters

G4-6

a.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

G4-7

a.Nature of ownership and legal form

G4-8

a.Markets served (including geographic breakdown, sectors served, and types of customers and beneficiaries)

G4-9

a.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
G4-10

  • a.Total number of employees by employment contract and gender
  • b.Total number of permanent employees by employment type and gender
  • c.Total workforce by employees and supervised workers and by gender
  • d.Total workforce by region and gender
  • e.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
  • f.Significant variations in employment numbers (such as seasonal variations in employment in the tourism or agricultural industries)
 
G4-11

a.Percentage of total employees covered by collective bargaining agreements

G4-12

a.Organization's supply chain

G4-13

a.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
G4-14

a.Whether and how the precautionary approach or principle is addressed by the organization

G4-15

a.List externally developed economic, environmental and social charters, principles, or other initiatives to which the organization subscribes or which it endorses

G4-16

a.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
Identified Material Aspects and Boundaries
G4-17

  • a.List all entities included in the organization's consolidated financial statements or equivalent documents
  • b.Whether any entity included in the organization's consolidated financial statements or equivalent documents is not covered by the report
G4-18

  • a.Process for defining the report content and the Aspect Boundaries
  • b.How the organization has implemented the Reporting Principles for Defining Report Content
G4-19

a.List all the material Aspects identified in the process for defining report content

G4-20

a.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
G4-21

a.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
G4-22

a.Effect of any restatements of information provided in previous reports, and the reasons for such restatements

G4-23

a.Significant changes from previous reporting periods in the Scope and Aspect Boundaries

Stakeholder Engagement
G4-24

a.List of stakeholder groups engaged by the organization

G4-25

a.Basis for identification and selection of stakeholders with whom to engage

G4-26

a.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

G4-27

a.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

Report Profile
G4-28

a.Period (such as fiscal or calendar year) for information provided

G4-29

a.Date of most recent previous report (if any)

G4-30

a.Reporting cycle (such as annual, biennial)

G4-31

a.Contact point for questions regarding the report or its contents

G4-32

  • a.'In accordance' option the organization has chosen
  • b.GRI Content Index for the chosen option (see tables below)
  • c.Reference to the External Assurance Report, if the report has been externally assured.
G4-33

  • a.Organization's policy and current practice with regard to seeking external assurance for the report
  • b.Scope and basis of any external assurance provided, if not included in the assurance report accompanying the sustainability report.
  • c.Relationship between the organization and the assurance providers
  • d.Whether the highest governance body or senior executives are involved in seeking assurance for the organization's sustainability report
Governance
G4-34

a.Governance structure of the organization, including committees of the highest governance body. Committees responsible for decision-making on economic, environmental and social impacts.

G4-35

a.Process for delegating authority for economic, environmental and social topics from the highest governance body to senior executives and other employees

G4-36

a.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

G4-37

a.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)

G4-38

a.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

G4-39

a.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)

G4-40

a.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

G4-41

a.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

G4-42

a.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

G4-43

a.Measures taken to develop and enhance the highest governance body's collective knowledge of economic, environmental and social topics

G4-44

  • a.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.)
  • b.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.
G4-45

  • a.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)
  • b.Whether stakeholder consultation is used to support the highest governance body's identification and management of economic, environmental and social impacts, risks, and opportunities"
G4-46

a.The highest governance body's role in reviewing the effectiveness of the organization's risk management processes for economic, environmental and social topics

G4-47

a.Frequency of the highest governance body's review of economic, environmental and social impacts, risks, and opportunities

G4-48

a.The highest committee or position that formally reviews and approves the organization's sustainability report and ensures that all material Aspects are covered

G4-49

a.Process for communicating critical concerns to the highest governance body

G4-50

a.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

G4-51

a.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
b.How performance criteria in the remuneration policy relate to the highest governance body's and senior executives' economic, environmental and social objectives.

G4-52

a.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.

G4-53

a.How stakeholders' views are sought and taken into account regarding remuneration, including the results of votes on remuneration policies and proposals, if applicable.

G4-54

a.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

G4-55

a.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

Ethics and Integrity
G4-56

a.Organization's values, principles, standards and norms of behavior such as codes of conduct and codes of ethics

G4-57

a.Internal and external mechanisms for seeking advice on ethical and lawful behavior, and matters related to organizational integrity, such as helplines or advice lines

G4-58

a.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

SPECIFIC STANDARD DISCLOSURES

ECONOMIC

* Please scroll horizontally to look at table below.

DMA and Performance Indicators Nomura Report 2016 Web site External
Assurance
DMA

Management Approach

Economic Performance
DMA

Management Approach

  • See DMA for ECONOMIC
  • See DMA for ECONOMIC
EC1

Direct economic value generated and distributed

EC2

Financial implications and other risks and opportunities for the organization's activities due to climate change

EC3

Coverage of the organization's defined benefit plan obligations

EC4

Financial assistance received from government

Indirect Economic Impacts
DMA

Management Approach

EC7

Development and impact of infrastructure investments and services supported

EC8

Significant indirect economic impacts, including the extent of impacts

ENVIRONMENTAL

* Please scroll horizontally to look at table below.

DMA and Performance Indicators Nomura Report 2016 Web site External
Assurance
DMA

Management Approach

Emissions
DMA

Management Approach

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)

EN21

NOx, SOx, and other significant air emissions

Effluents and Waste
DMA

Management Approach

See DMA for ENVIRONMENTAL See DMA for ENVIRONMENTAL
EN22

Total water discharge by quality and destination

EN23

Total weight of waste by type and disposal method

EN24

Total number and volume of significant spills

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

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

Products and Services
DMA

Management Approach

See DMA for ENVIRONMENTAL See DMA for ENVIRONMENTAL
EN27

Extent of impact mitigation of environmental impacts of products and services

EN28

Percentage of products sold and their packaging materials that are reclaimed by category

Compliance
DMA

Management Approach

See DMA for ENVIRONMENTAL See DMA for ENVIRONMENTAL
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

SOCIAL

* Please scroll horizontally to look at table below.

DMA and Performance Indicators Nomura Report 2016 Web site External
Assurance
LABOR PRACTICES AND DECENT WORK
DMA

Management Approach

Employment
DMA

Management Approach

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

LA3

Return to work and retention rates after parental leave, by gender

Occupational Health and Safety
DMA Management Approach
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

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

LA7

Workers with high incidence or high risk of diseases related to their occupation

LA8

Health and safety topics covered in formal agreements with trade unions

Training and Education
DMA

Management Approach

See DMA for LABOR PRACTICES AND DECENT WORK See DMA for LABOR PRACTICES AND DECENT WORK
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

LA11

Percentage of employees receiving regular performance and career development reviews, by gender and by employee category

Diversity and Equal Opportunity
DMA

Management Approach

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

Equal Remuneration for Women and Men
DMA

Management Approach

LA13

Ratio of basic salary and remuneration of women to men by employee category, by significant locations of operation

Labor Practices Grievance Mechanisms
DMA

Management Approach

See DMA for LABOR PRACTICES AND DECENT WORK See DMA for LABOR PRACTICES AND DECENT WORK
LA16

Number of grievances about labor practices filed, addressed, and resolved through formal grievance mechanisms

* Please scroll horizontally to look at table below.

DMA and Performance Indicators Nomura Report 2016 Web site External
Assurance
HUMAN RIGHTS
DMA

Management Approach

Investment
DMA

Management Approach

HR1

Total number and percentage of significant investment agreements and contracts that include human rights clauses or that underwent human rights screening

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

Non-discrimination
DMA

Management Approach

See DMA for HUMAN RIGHTS See DMA for HUMAN RIGHTS
HR3 Total number of incidents of discrimination and corrective actions taken
Assessment
DMA

Management Approach

See DMA for HUMAN RIGHTS See DMA for HUMAN RIGHTS
HR9

Total number and percentage of operations that have been subject to human rights reviews or impact assessments

Human Rights Grievance Mechanisms
DMA

Management Approach

See DMA for HUMAN RIGHTS See DMA for HUMAN RIGHTS
HR12

Number of grievances about human rights impacts filed, addressed, and resolved through formal grievance mechanisms

* Please scroll horizontally to look at table below.

DMA and Performance Indicators Nomura Report 2016 Web site External
Assurance
SOCIETY
DMA

Management Approach

Local Communities
DMA

Management Approach

SO1

Percentage of operations with implemented local community engagement, impact assessments, and development programs

SO2

Operations with significant actual or potential negative impacts on local communities

Anti-corruption
DMA

Management Approach

SO3 Total number and percentage of operations assessed for risks related to corruption and the significant risks identified
SO4

Communication and training on anti-corruption policies and procedures

SO5

Confirmed incidents of corruption and actions taken

Public Policy
DMA

Management Approach

See DMA for SOCIETY See DMA for SOCIETY
SO6

Total value of political contributions by country and recipient/beneficiary

  • Nomura Holdings made political donations of JPY 32million in 2015.
Anti-competitive Behavior
DMA

Management Approach

  • See DMA for SOCIETY
  • See DMA for SOCIETY
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
Compliance
DMA

Management Approach

  • See DMA for SOCIETY
  • See DMA for SOCIETY
SO8

Monetary value of significant fines and total number of non-monetary sanctions for non-compliance with laws and regulations

Grievance Mechanisms for Impacts on Society
DMA

Management Approach

  • See DMA for SOCIETY
  • See DMA for SOCIETY
SO11

Number of grievances about impacts on society filed, addressed, and resolved through formal grievance mechanisms

* Please scroll horizontally to look at table below.

DMA and Performance Indicators Nomura Report 2016 Web site External
Assurance
PRODUCT RESPONSIBILITY
DMA

Management Approach

Customer Health and Safety
DMA

Management Approach

  • See DMA for PRODUCT RESPONSIBILITY
  • See DMA for PRODUCT RESPONSIBILITY
PR1

Percentage of significant product and service categories for which health and safety impacts are assessed for improvement

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

Product and Service Labeling
DMA

Management Approach

  • See DMA for PRODUCT RESPONSIBILITY
  • See DMA for PRODUCT RESPONSIBILITY
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
PR4

Total number of incidents of non-compliance with regulations and voluntary codes concerning product and service information and labeling, by type of outcomes

PR5

Results of surveys measuring customer satisfaction

Marketing Communications
DMA

Management Approach

See DMA for PRODUCT RESPONSIBILITY See DMA for PRODUCT RESPONSIBILITY
PR6

Sale of banned or disputed products

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
Customer Privacy
DMA

Management Approach

  • See DMA for PRODUCT RESPONSIBILITY
  • See DMA for PRODUCT RESPONSIBILITY
PR8

Total number of substantiated complaints regarding breaches of customer privacy and losses of customer data

Compliance
DMA

Management Approach

  • See DMA for PRODUCT RESPONSIBILITY
  • See DMA for PRODUCT RESPONSIBILITY
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

SPECIFIC STANDARD DISCLOSURES FOR THE FINANCIAL SERVICES SECTOR

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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
FS6

Percentage of the portfolio for business lines by specific region,size (e.g. micro/sme/large) and by sector

FS7

Monetary value of products and services designed to deliver a specific social benefit for each business line broken down by purpose

FS8

Monetary value of products and services designed to deliver aspecific environmental benefit for each business line broken down by purpose

Audit
DMA

Management Approach

  • -FS9:Coverage and frequency of audits to assess implementation of environmental and social policies and risk assessment procedures
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
FS10

Percentage and number of companies held in the institution's portfolio with which the reporting organization has interacted on environmental or social issues

FS11

Percentage of assets subject to positive and negative environmental or social screening

Local Communities
FS13

Access points in low-populated or economically disadvantaged areas by type

FS14

Initiatives to improve access to financial services for disadvantaged people

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