Roche GRI G4 Index

Reporting in accordance with the latest GRI standards

Since 2014 we have followed the Global Reporting Initiative's G4 (GRI G4) guidelines, with disclosure at core application level. We also report a number of additional indicators beyond the requirements for core level. From 2006 to 2013, we reported under GRI G3 guidelines and had an A+ level of application verified by GRI.

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About the GRI

The GRI is a reporting framework for organisations to use as the basis for collecting and communicating their sustainability, or ‘non-financial’, performance. It aims to provide a consistent and transparent approach to sustainability reporting. The GRI guidelines are voluntary and used by organisations to report on the economic, environmental, and social performance of their business activities.

GRI G4 guidelines

The fourth generation of the Guidelines was launched in May 2013 and marked the culmination of two years of stakeholder consultation and dialogue with experts from a wide variety of sectors, including companies, civil society, labor organisations, academia, and finance. The aim of G4 is to help make robust and purposeful sustainability reporting standard practice. more

In accordance with the GRI G4 guidelines, we conducted a materiality assessment of key topics that are highly relevant to us and to our key stakeholders. Materiality

GRI G4 Index

GRI Indicator Description Reference Reason for omission

Strategy and Analysis

G4-1 Statement from the most senior decision-maker of the organisation AR 2016 p. 14-17

Organisational Profile

G4-3 Name of the organisation AR 2016, outside backcover
FR 2016, outside backcover
www.roche.com
G4-4 Primary brands, products, and/or services AR 2016 p. 30-31
AR 2016 p. 36
FR 2016 p. 11-15, 20-23
Products
Pipeline
G4-5 Location of the organisation's headquarter AR 2016, outside backcover
FR 2016, outside backcover
Roche Worldwide
G4-6 Number of countries where the organisation operates, and names of countries where either the organisation has significant operations or that are specifically relevant to the sustainability topics covered in the report. FR 2016 p. 111-115
Roche Worldwide
G4-7 Nature of ownership and legal form AR 2016 p. 108-122
FR 2016 p. 151-154
Governance
G4-8 Markets served (including geographic breakdown, sectors served, and types of customers and beneficiaries) AR 2016 inside cover, p. 8-11, 28-33, 36-37, 46-55, 60-65
FR 2016 p. 12-15, 21-22
G4-9 Scale of the reporting organisation AR 2016 p. 26-29
FR 2016 Inside cover
Key Performance Indicators
G4-10 Total workforce by employment type, employment contract, and region, broken down by gender For employees
Key Performance Indicators
Confidentiality constraints
Break down by gender is not applicable due to local legislation (US).
G4-11 Percentage of employees covered by collective bargaining agreements Human rights
Employment policy
Key Performance Indicators
G4-12 Supply chain of the reporting organisation Suppliers
G4-13 Significant changes during the reporting period regarding size, structure, ownership or supply chain FR 2016 p. 6-7, 51-56, 57-61, 116-123, 150
G4-14 Explanation of whether and how the precautionary approach or principle is addressed by the organisation AR 2016 p. 108-123
G4-15 Externally developed economic, environmental and social charters, principles, or other initiatives to which the organisation subscribes or endorses

AR 2016 p. 60, 101-105
Memberships and International CR Recommendations
Stakeholder engagement
Business integrity and responsible marketing
Responsibility Download Centre

G4-16 Memberships of associations (such as industry associations) and national or international advocacy organisations in which the organisation:
- Holds a position on the governance body
- Participates in projects or committees
- Provides substantive funding beyond routine membership dues
- Views membership as strategic
AR 2016 p. 104-105
Business integrity and responsible marketing
Sponsored Patient Organisations
Memberships and International CR Recommendations
Stakeholder engagement

Identified Material Aspects and Boundaries

G4-17 List of entities included in the organisation's consolidated financial statements or equivalent documents FR 2016 p. 111-115
Roche Worldwide
G4-18 Process for defining report content FR 2016 p. 37, 116-123
Materiality
G4-19 List of material Aspects identified in the process for defining report content Materiality
G4-20 Aspect Boundary within the organisation for each material Aspect Materiality
G4-21 Aspect Boundary outside the organisation for each material Aspect Materiality
G4-22 Explanation of the effect of any re-statements of information provided in earlier reports, and the reasons for such restatement FR 2016 p. 54-59
- Acquisitions 2016 p. 54-56
- Global Restructuring Plans p. 57-59
G4-23 Significant changes from previous reporting periods in the scope and Aspect Boundaries FR 2016 p. 44-45, 116-123
- Key accounting judgements, estimates and assumptions p. 44
- Changes in accounting policies p. 123

Stakeholder Engagement

G4-24 List of stakeholder groups engaged by the organisation Stakeholder engagement
G4-25 Basis for identification and selection of stakeholders with whom to engage Stakeholder engagement
G4-26 Approaches to stakeholder engagement, including frequency of engagement by type and by stakeholder group Stakeholder engagement
G4-27 Key topics and concerns that have been raised through stakeholder engagement, and how the organisation has responded to those key topics and concerns, including through its reporting AR 2016 p. 4-5, 8-13, 40-42, 60-67, 92-95, 104-105
Materiality

Report Profile

G4-28 Reporting period (e.g., fiscal/calendar year) for information provided AR 2016 outside front cover page
FR 2016 outside front cover page
G4-29 Date of most recent previous report (if any) Annual Reports
G4-30 Reporting cycle (annual, biennial, etc.) Annual Reports
G4-31 Contact point for questions regarding the report or its contents AR 2016 p. 154
FR 2016 p. 158
G4-32 Table identifying the location of the Standard Disclosures in the report Roche GRI G4 index
G4-33 Policy and current practice with regard to seeking external assurance for the report AR 2016 p. 152-153
FR 2016 p. 156-157

Governance

G4-34 Governance structure of the organisation, including committees of the highest governance body responsible for decision-making on economic, environmental and social impacts AR 2016 p. 108-123
Governance

Ethics and Integrity

G4-56 Values, principles, standards and norms of behavior of the reporting organisation The Roche Group Code of Conduct
Behaviour in business
Chief Compliance Officer

Category: Economic

Aspect: Economic Performance​​​​​​​

G4-DMA Generic Disclosures on Management Approach Materiality
G4-EC1 Direct economic value generated and distributed AR 2016 Inside cover, p. 14, 20, 28, 30-33, 36-37
FR 2016 Inside cover p. 11, 20, 28-37, 38-43, 81-85, 86-99, 119-115
Key Performance Indicators

Aspect: Market Presence​​​​​​​

G4-DMA Generic Disclosures on Management Approach Materiality
G4-EC5 Ratios of standard entry level wage by gender compared to local minimum wage at significant locations of operation - Confidentiality constraints
Roche does not disclose externally any salary and wages related data except the remuneration of the Corporate Executive Committee and Board of Directors.

Aspect: Indirect Economic Impacts​​​​​​​

G4-DMA Generic Disclosures on Management Approach Materiality
G4-EC8 Significant indirect economic impacts, including the extent of impacts AR 2016 Inside cover, p. 5, 34, 49, 53, 62-65, 70, 72-73, 80-86, 92-95, 104

Aspect: Procurement Practices​​​​​​​

G4-DMA Generic Disclosures on Management Approach Materiality
G4-EC9 Proportion of spending on local suppliers at significant locations of operation Suppliers
Suppliers: Goals&Performance
Not applicable
Roche discloses the information only on global level.

Category: Environmental

Aspect: Materials

G4-DMA Generic Disclosures on Management Approach Materiality
G4-EN1 Materials used by weight or volume AR 2016 p. 78-87
Eco-balance
Resources and raw materials
Key Performance Indicators
Not applicable
Roche discloses only total volumes used.

Aspect: Energy​​​​​​​

G4-DMA Generic Disclosures on Management Approach Materiality
G4-EN5 Energy intensity

AR 2016 p. 83
Energy consumption
Key Performance Indicators
Resources and raw materials

Aspect: Water​​​​​​​

G4-DMA Generic Disclosures on Management Approach Materiality
G4-EN8 Total water withdrawal by source AR 2016 p. 85
Resources and raw materials
Use of water

Aspect: Biodiversity​​​​​​​

G4-DMA Generic Disclosures on Management Approach Materiality
G4-EN13 Habitats protected or restored AR 2016 p. 86-87
SHE: Goals&Performance
Recycling and waste management

Aspect: Emissions​​​​​​​

G4-DMA Generic Disclosures on Management Approach Materiality
G4-EN18 Greenhouse gas (GHG) emissions intensity AR 2016 p. 84-85
Greenhouse gas emissions

Aspect: Effluents and Waste

G4-DMA Generic Disclosures on Management Approach Materiality
G4-EN22

Total water discharge by quality and destination

AR 2016 p. 85-86
SHE: Goals&Performance
Emissions to water
Not applicable
Roche discloses only total volumes of water discharge.

Aspect: Products and Services

G4-DMA Generic Disclosures on Management Approach Materiality
G4-EN27 Extent of impact mitigation of environmental impacts of products and services Responsibility Download Centre Not applicable
Roche discloses and follows all policies, procedures and guidelines to reduce the products and services impact on the environment but does not disclose the quantitative extent.

Aspect: Compliance​​​​​​​

G4-DMA Generic Disclosures on Management Approach Materiality
G4-EN29 Monetary value of significant fines and total number of non-monetary sanctions for non-compliance with environmental laws and regulations SHE: Goals&Performance No fines in 2016

Aspect: Transport​​​​​​​

G4-DMA Generic Disclosures on Management Approach Materiality
G4-EN30 Significant environmental impacts of transporting products and other goods and materials for the organisation's operations, and transporting members of the workforce SHE: Goals&Performance

Aspect: Overall​​​​​​​

G4-DMA Generic Disclosures on Management Approach Materiality
G4-EN31 Total environmental protection expenditures and investments by type AR 2016 p. 80-81
SHE: Goals&Performance
SHE expenditures

Aspect: Supplier Environmental Assessment​​​​​​​

G4-DMA Generic Disclosures on Management Approach Materiality
G4-EN33 Significant actual and potential negative environmental impacts in the supply chain and actions taken AR 2016 p. 80-87, 100-101
Suppliers Goals & Performance

Aspect: Environmental Grievance Mechanisms​​​​​​​

G4-DMA Generic Disclosures on Management Approach Materiality
G4-EN34 Number of grievances about environmental impacts filed, addressed, and resolved through formal grievance mechanisms - Not applicable
Roche is not aware of any grievances about environmental impacts filed, addresses, and resolved through formal grievance mechanisms.

Category: Social

Sub-Category: Labor Practices and Decent Work

Aspect: Employement 

G4-DMA Generic Disclosures on Management Approach Materiality
G4-LA1 Total number and rates of new employee hires and employee turnover by age group, gender and region Employees Confidentiality constraints
Break down by age group, gender is not shared publicly.

Aspect: Labor/Management Relations

G4-DMA Generic Disclosures on Management Approach Materiality
G4-LA4 Minimum notice periods regarding operational changes, including whether these are specified in collective agreements Employment Policy

Aspect: Occupational Health and Safety

G4-DMA Generic Disclosures on Management Approach Materiality
G4-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 programmes AR 2016 p. 80
Safety, health and wellbeing

Aspect: Training and Education

G4-DMA Generic Disclosures on Management Approach Materiality
G4-LA10 Programmes for skills management and lifelong learning that support the continued employability of employees and assist them in managing career endings AR 2016 p. 70-77
Employees
Careers and development

Aspect: Diversity and Equal Opportunity

G4-DMA Generic Disclosures on Management Approach Materiality
G4-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 AR 2016 p. 108-123
Diversity
Confidentiality constraints
Break down by age group, gender is not shared publicly.

Aspect: Equal Premuneration and Men

G4-DMA Generic Disclosures on Management Approach Materiality
G4-LA13 Ratio of basic salary and remuneration of women to men by employee category, by significant locations of operation Diversity Confidentiality constraints
Roche does not disclose externally any salary and wages related data except the remuneration of the Corporate Executive Committee and Board of Directors.

Aspect: Supplier Assessment for Labor Practices

G4-DMA Generic Disclosures on Management Approach Materiality
G4-LA15 Significant actual and potential negative impacts for labor practices in the supply chain and actions taken Suppliers
Supplier Code of Conduct

Aspect: Labor Practices Grievance Mechanisms

G4-DMA Generic Disclosures on Management Approach Materiality
G4-LA16 Number of grievances about labor practices filed, addressed, and resolved through formal grievance mechanisms Risk Management and Compliance

Sub-Category: Human Rights

Aspect: Investment

G4-DMA Generic Disclosures on Management Approach Materiality
G4-HR1 Total number and percentage of significant investment agreements and contracts that include human rights clauses or that underwent human rights screening AR 2016 p. 4, 100-101, 104
Supplier Code of Conduct
Roche Position on Respecting Human Rights
Human rights
Suppliers
All our investment agreements include human rights clauses, a human rights screening and/or make reference to the Roche Supplier Code of Conduct (which includes human rights). More than 75% of our new bidding processes and contracts contain sustainability clauses that refer to the Roche Supplier Code of Conduct. Human rights are also part of our audits of suppliers that we conduct under the PSCI Principles.

Aspect: Non-Discrimination

G4-DMA Generic Disclosures on Management Approach Materiality
G4-HR3 Total number of incidents of discrimination and corrective actions taken AR 2016 p. 101
Employment policy
Human rights

Aspect: Freedom of Association and Collective Bargaining

G4-DMA Generic Disclosures on Management Approach Materiality
G4-HR4 Operations and suppliers identified in which the right to exercise freedom of association and collective bargaining may be violated or at significant risk, and measures taken to support these rights Employment policy
Our values
Not applicable
In Roche we do not have operations or suppliers where this could be a significant risk of freedom violation.

Aspect: Child Labor

G4-DMA Generic Disclosures on Management Approach Materiality
G4-HR5 Operations and suppliers identified as having significant risk for incidents of child labor, and measures taken to contribute to the effective abolition of child labor Employment policy
Our values
We cover the question of child labour via our Roche Supplier Code of Conduct and the PSCI (Pharmaceutical Supply Chain Initiative).
Not applicable
In Roche we do not have operations or suppliers where this could be a significant risk for incidents of child labour.

Aspect: Forced or Compulsory Labor 

G4-DMA Generic Disclosures on Management Approach Materiality
G4-HR6 Operations and suppliers identified as having significant risk for incidents of forced or compulsory labor, and measures to contribute to the elimination of all forms of forced or compulsory labor - Not applicable
In Roche we do not have operations or suppliers where this could be a significant risk for incidents of forced or compulsory labor.

Aspect: Security Practices

G4-DMA Generic Disclosures on Management Approach Materiality
G4-HR7 Percentage of security personnel trained in the organisation's human rights policies or procedures that are relevant to operations Supplier Code of Conduct
Employees
All employees when starting in the group complete our e-learning Code-of-Conduct programme which covers all our policies and guidelines (the completion is mandatory and monitored), including human rights.

Aspect: Indigenous Rights

G4-DMA Generic Disclosures on Management Approach Materiality
G4-HR8 Total number of incidents of violations involving rights of indigenous people and actions taken - Not applicable
The number of incidents of violations involving rights of indigenous people is not material for our business.

Aspect: Assessment

G4-DMA Generic Disclosures on Management Approach Materiality
G4-HR9 Total number and percentage of operations that have been subject to human rights reviews or impact assessments AR 2016 p. 100-101
Suppliers
Suppliers Goals & Performance

Aspect: Supplier Human Assessment

G4-DMA Generic Disclosures on Management Approach Materiality
G4-HR10 Percentage of new suppliers that were screened using human rights criteria AR 2016 p. 100-101
Supplier Code of Conduct
Human rights
Suppliers
Suppliers Goals & Performance
All critical suppliers have undergone society impact screening. We found eight suppliers and service providers with critical issues and terminated business with three of them on the grounds of unethical behavior.

Aspect: Human Rights Grievance Mechanisms

G4-DMA Generic Disclosures on Management Approach Materiality
G4-HR12 Number of grievances about human rights impacts filed, addressed, and resolved through formal grievance mechanisms Key Performance Indicators

Sub-Category: Society

Aspect: Local Communities

G4-DMA Generic Disclosures on Management Approach Materiality
G4-SO1 Percentage of operations with implemented local community engagement, impact assessments, and development programmes AR 2016 p. 90-95
Supporting communities

Aspect: Anti-Corruption

G4-DMA Generic Disclosures on Management Approach Materiality
G4-SO3 Total number and percentage of operations asessed for risks related to corruption and the significant risks identified AR 2016 p. 100-101
Business integrity and responsible marketing
Risk management and compliance

Aspect: Public Policy

G4-DMA Generic Disclosures on Management Approach Materiality
G4-SO6 Total value of political contributions by country and recipient/beneficiary AR 2016 p. 105 (only for Switzerland)
Stakeholder engagement
Sponsored Patient Organisations

Aspect: Anti-Competitive Behaviour

G4-DMA Generic Disclosures on Management Approach Materiality
G4-SO7 Total number of legal actions for anti-competitive behavior, anti-trust, and monopoly practices and their outcomes AR 2016 p. 100-101

Aspect: Compliance

G4-DMA Generic Disclosures on Management Approach Materiality
G4-SO8 Monetary value of significant fines and total number of non-monetary sanctions for non-compliance with laws and regulations AR 2016 p. 101
FR 2016 p. 72-76
No major fines impacted the company

Aspect: Supplier Assessment for Impacts on Society

G4-DMA Generic Disclosures on Management Approach Materiality
G4-SO9 Percentage of new suppliers that were screened using criteria for impacts on society Supplier Code of Conduct
Human rights
Suppliers
All critical suppliers have undergone society impact screening. We found eight suppliers and service providers with critical issues and terminated business with three of them on the grounds of unethical behavior.

Aspect: Grievance Mechanisms for Impacts on Society 

G4-DMA Generic Disclosures on Management Approach Materiality
G4-SO11 Number of grievances about impacts on society filed, addressed, and resolved through formal grievance mechanisms Risk Management and Compliance

Sub-Category: Product Responsibility

Aspect: Customer Health and Safety

G4-DMA Generic Disclosures on Management Approach Materiality
G4-PR1 Percentage of significant product and service categories for which health and safety impacts are assessed for improvement AR 2016 p. 102-103
Patient Safety

Aspect: Product and Service Labeling 

G4-DMA Generic Disclosures on Management Approach Materiality
G4-PR3 Type of product and service information required by the organisation's procedures for product and service information and labeling, and percentage of significant product and service categories subject to such information requirements AR 2016 p. 102-104
Ethics in Research & Development
Business integrity and responsible marketing
Due to the strictly regulated industry we operate in, this information is obligatory for us to have a license to operate.

Aspect: Marketing Communications

G4-DMA Generic Disclosures on Management Approach Materiality
G4-PR6 Sale of banned or disputed products Business integrity and responsible marketing
Responsibility Download Centre
The Roche Group Code of Conduct

Aspect: Customer Privacy

G4-DMA Generic Disclosures on Management Approach Materiality
G4-PR8 Total number of substantiated complaints regarding breaches of customer privacy and losses of customer data - Not applicable
The Indicator 'Number of sustantiated complaints regarding breaches of customer privacy and losses of customer data' is not applicable due to strictly regulated industry.

Aspect: Compliance

G4-DMA Generic Disclosures on Management Approach Materiality
G4-PR9 Monetary value of significant fines for non-compliance with laws and regulations concerning the provision and use of products and service FR 2016 p. 72-76
No major fines impacted the company