Impact Reporting

– Operations Assessment

REPORTING: Operations Assessment | Outcomes Assessment Need help? reporting@rallyassets.com

OVERVIEW

Thank you so much for taking the time to provide required information. If you have any questions, please reach out to Rally Assets team and we will be happy to support.

Fund Manager / Product Issuer Name(Required)

For example, ABC Capital Partners

IMPACT MEASUREMENT STRATEGIES

Select all that apply.

Please describe when the impact investment policy was put in place and describe any changes you have recently made or plan to make.(Required)

Please include the latest copy of the impact investment policy or framework if not already shared or not in your data room.

Max. file size: 1 GB.

Please specify which framework and standards and clarify the alignment status (such as in progress or incorporated).(Required)

Please specify how impact objectives incorporated into performance reviews and compensation mechanisms at your firm.(Required)

Please share details if you have other practices not listed above.(Required)

DIVERSITY

Our investment decisions and monitoring practices are informed by the mandates and priorities set by our clients. The suitability assessment of an investment for a portfolio and its performance are based on many factors. We do not base our decisions solely on any diversity metric.

Do you conduct self-identification diversity surveys?(Required)

Yes

Is your fund/product based in Canada?(Required)

Yes

Is your fund/product a signatory of the 50 – 30 Challenge?(Required)

The 50 – 30 Challenge is an initiative between the Government of Canada, Canadian businesses and diversity organizations. For further details: https://ised-isde.canada.ca/site/ised/en/50-30-challenge-your-diversity-advantage

Yes

Are you planning to become a signatory of the 50 – 30 Challenge?(Required)

Yes

Total number of people on your senior management team:(Required)

Senior management, % share of who self-identify as:(Required)

	Yes	No
Do women or non-binary people constitute 50% or more of the senior management team?
Do equity-deserving groups* constitute 30% or more of the senior management team?

*50-30 Challenge identifies the following groups as equity deserving: Racialized, Black, and/or People of colour ("Visible Minorities"), People with disabilities (including invisible and episodic disabilities), 2SLGBTQ+ and/or gender and sexually diverse individuals, and Aboriginal and/or Indigenous Peoples.

Total number of people on your Board of Directors:(Required)

Board of Directors, % share of who self-identify as:(Required)

	Yes	No	No BoD or similar governing body
Do women or non-binary people constitute 50% or more of the Board of Directors?
Do equity deserving groups* constitute 30% or more of the the Board of Directors?

Total number of people employed by your organisation:(Required)

(full-time or part-time, including senior management, excluding contractors)

Total workforce, % share of who self-identify as:(Required)

	Yes	No
Do women or non-binary people constitute 50% or more of the total workforce?
Do equity-deserving groups* constitute 30% or more of the total workforce?

POSITIVE EMPLOYMENT ENVIRONMENT and EQUALITY

Please select the policies you have in place:

Diversity, Equity and Inclusion policy

Anti-discrimination policy

Anti-racism policy

Accessibility policy

Wage equity or fair compensation policies

Flexible work policies (such as flexible working hours and remote working)

Family leave policy

We formally or informally monitor compliance, implementation and application of measures for our policies.

Select all that apply.

Please describe including the latest update date and review frequency (DEI policy).(Required)

Please include the latest copy of the DEI policy if not already shared or not in your data room.

Max. file size: 1 GB.

Please describe including the latest update date and review frequency (Anti-discrimination policy).(Required)

Please include the latest copy of the anti-discrimination policy if not already shared or not in your data room.

Max. file size: 1 GB.

Please describe including the latest update date and review frequency (Anti-racism policy).(Required)

Please include the latest copy of the anti-racism policy if not already shared or not in your data room.

Max. file size: 1 GB.

Please describe including the latest update date and review frequency (Accessibility policy).(Required)

Please include the latest copy of the accessibility policy if not already shared or not in your data room.

Max. file size: 1 GB.

Please describe including the latest update date and review frequency (Wage equity or fair compensation policies).(Required)

Please include the latest copy of the wage equity or fair compensation policies if not already shared or not in your data room.

Max. file size: 1 GB.

Please describe including the latest update date and review frequency (Flexible work policies).(Required)

Please include the latest copy of the flexible work policies if not already shared or not in your data room.

Max. file size: 1 GB.

Please describe including the latest update date and review frequency (Family leave policies).(Required)

Please include the latest copy of the family leave policies if not already shared or not in your data room.

Max. file size: 1 GB.

Please describe your formal and informal monitoring practices.(Required)

Please describe the trainings to combat discriminatory practices.(Required)

Please describe your accessible hiring practices to attract diverse talent such as minimum diversity in the candidate pool or final slate.(Required)

Please describe your intentions and plans to build gender parity in leadership, including a timeline and progress updates.(Required)

Please describe how mentorship is implemented at your firm and whether this is formal or informal.(Required)

Please share details if you have other practices not listed above.(Required)

ENVIRONMENTAL and SOCIAL CONSIDERATIONS

Select all that apply.

Please describe when the environmental and social policy was put in place and describe any changes you have recently made or plan to make.(Required)

Please include the latest copy of the environmental and sustainability policy if not already shared or not in your data room.

Max. file size: 1 GB.

Please specify the third-party ESG or social impact certification(s) or commitment(s).(Required)

Please select the scope of your GHG accounting.(Required)

Scope 1

Scope 2

Scope 3

Please share details if you have other practices not listed above.(Required)

INDIGENOUS RECONCILIATION PRACTICES

We’re interested in hearing of the ways you are considering and acting on Indigenous reconciliation, within your own practices and as part of your investment processes. Here in Canada, for example, Indigenous reconciliation for many has been greatly influenced by the work of the Truth and Reconciliation commission; efforts in other countries have different context and initiatives.

Select all that apply.

Please describe trainings and capacity building activities you are implementing for Indigenous entrepreneurs.(Required)

Please describe the community engagement processes related to Indigenous Peoples.(Required)

Please describe the data governance practices.(Required)

Please share details if you have other practices not listed above.(Required)

SOCIAL EQUITY in INVESTMENT DECISION-MAKING

Select all that apply.

We have community representation in our governance as membership on investment committees or participation in advisory boards.

We have established or planning to establish a community advisory committee through an open call.

We have or planning to implement other practices to enhance transparent and participatory decision-making for direct community involvement.

We have policies and commitments to address systemic accessibility concerns in investment process.

We offer office hours or equivalent approaches for prospective investees to access our team.

We provide support for prospective investees in making an application for investment.

We provide capacity building and network growth to our investees by providing access to mentors and connections.

We have other practices in place to create and enhance social equity in our investment decision-making process.

Please elaborate on the community representation in your decision-making structure.(Required)

Please share details about the establishment and structure of the community advisory committee.(Required)

Please share details if you have other practices related to community involvement in decision making.(Required)

Please elaborate on the policies and commitments.(Required)

Please share details for office hours or equivalent approaches.(Required)

Please elaborate on the mentorship and networking programs.(Required)

Please share details if you have other practices not listed above.(Required)

OTHER INFORMATION

Name, Surname(Required)

Email(Required)

Comments

Please provide your comments or any additional information you would like to share.

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