2020 SOCIAL RESPONSIBILITY REPORT
Extracted ESG KPIs
KPIs are organized by ESG aspects.
Direct (Scope 1) and energy indirect (Scope 2) greenhouse gas emissions (in tonnes) and, where appropriate, intensity (e.g. per unit of production volume, per facility).
| Indicator | Unit | 2019 | 2020 | Report Pages |
|---|---|---|---|---|
| Diesel emissions (Scope 1) (tonnes) | tonnes | 31.15 | 28.41 | 45 |
| Direct emissions (Scope 1) (tonnes) | tonnes | 667.35 | 633.55 | 45 |
| GHG emissions per square meter (tonnes per square meter) | tonnes per square meter | 0.17 | 0.16 | 45 |
| Gasoline emissions (Scope 1) (tonnes) | tonnes | 88.28 | 124.12 | 45 |
| Indirect emissions (Scope 2) (tonnes) | tonnes | 22963.3 | 26279.11 | 45 |
| Natural gas emissions (Scope 1) (tonnes) | tonnes | 547.92 | 481.02 | 45 |
| Purchased electricity emissions (Scope 2) (tonnes) | tonnes | 22963.3 | 26279.11 | 45 |
| Total GHG emissions (Scope 1 and 2) (tonnes) | tonnes | 23630.65 | 26912.66 | 45 |
Total hazardous waste produced (in tonnes) and, where appropriate, intensity (e.g. per unit of production volume, per facility).
| Indicator | Unit | 2019 | 2020 | Report Pages |
|---|---|---|---|---|
| Hazardous waste (tonnes) | tonnes | 49.65 | 1.15 | 45 |
Description of emissions target(s) set and steps taken to achieve them.
| Indicator | Unit | 2020 | Report Pages |
|---|---|---|---|
| Best LGFV Bond: Yunnan Provincial Energy Investment Group Company senior unsecured notes and unsubordinated perpetual securities | million US dollars | 300 | 56 |
Direct and/or indirect energy consumption by type (e.g. electricity, gas or oil) in total (kWh in '000s) and intensity (e.g. per unit of production volume, per facility).
| Indicator | Unit | 2019 | 2020 | Report Pages |
|---|---|---|---|---|
| Diesel (MWh) | MWh | 118.48 | 108.05 | 46 |
| Direct energy consumption (MWh) | MWh | 3281.23 | 3075.08 | 46 |
| Energy consumption per square meter (MWh/square meter) | MWh/square meter | 0.25 | 0.24 | 46 |
| Gasoline (MWh) | MWh | 360.63 | 507.03 | 46 |
| Indirect energy consumption (MWh) | MWh | 32822.96 | 37482.5014 | 46 |
| Natural gas (MWh) | MWh | 2802.12 | 2460 | 46 |
| Purchased electricity (MWh) | MWh | 32822.96 | 37482.5 | 46 |
| Total energy consumption (MWh) | MWh | 36104.19 | 40557.58 | 46 |
Water consumption in total and intensity (e.g. per unit of production volume, per facility).
| Indicator | Unit | 2019 | 2020 | Report Pages |
|---|---|---|---|---|
| Water consumption (tonnes) | tonnes | 145192 | 128369 | 46 |
| Water consumption per square meter (tonnes/square meter) | tonnes/square meter | 1.02 | 0.89 | 46 |
| Water consumption reduction in Beijing Office of CITIC Securities Headquarters | tons | 12000 | 44 |
Description of energy use efficiency target(s) set and steps taken to achieve them.
| Indicator | Unit | 2020 | Report Pages |
|---|---|---|---|
| Energy consumption reduction in headquarters building during heating season | GJ | 1148 | 44 |
Description of the significant impacts of activities on the environment and natural resources and the actions taken to manage them.
| Indicator | Unit | 2019 | 2020 | Report Pages |
|---|---|---|---|---|
| Best Corporate Bond Project (Public Issuance of 2019 green exchangeable corporate bond of China Three Gorges Corporation), New Fortune Best Investment Bank | rank | 1 | 52 | |
| Green bonds issued for green projects, hydropower project construction, and business development in green industry | RMB billion | 7.8 | 32 |
Total workforce by gender, employment type (for example, full- or part-time), age group and geographical region.
| Indicator | Unit | 2018 | 2019 | 2020 | Report Pages |
|---|---|---|---|---|---|
| Number of administration employees | 357 | 313 | 355 | 37 | |
| Number of business personnel | 12675 | 12925 | 15638 | 37 | |
| Number of employees in major subsidiaries (including brokers and dispatched employees) | 6597 | 6773 | 8036 | 37 | |
| Number of employees in other categories (including liquidation, risk control, legal, compliance, supervision, audit, etc.) | 725 | 771 | 1378 | 37 | |
| Number of employees of the parent company (including brokers and dispatched employees) | 9245 | 9135 | 10976 | 37 | |
| Number of employees with Bachelor degree | 9288 | 9131 | 10663 | 37 | |
| Number of employees with Master degree | 5096 | 5554 | 7019 | 37 | |
| Number of employees with PhD | 226 | 246 | 290 | 37 | |
| Number of finance planning employees | 601 | 497 | 508 | 37 | |
| Number of information technology employees | 1027 | 1049 | 1133 | 37 | |
| Number of retired employees whose expenses are borne by the parent company and major subsidiaries | 243 | 305 | 368 | 37 | |
| Total number of employees on active duty | 15842 | 15908 | 19012 | 37 |
Description of practices relating to engaging suppliers, number of suppliers where the practices are being implemented, and how they are implemented and monitored.
| Indicator | Unit | 2020 | May 2015 | Report Pages |
|---|---|---|---|---|
| Acquired equity of KVB Kunlun | equity | 59.04% | 7 | |
| Green asset-backed securities issued for green industry projects | RMB billion | 4.75 | 32 |
Description of practices relating to observing and protecting intellectual property rights.
| Indicator | Unit | 2019 | August 2007 | Report Pages |
|---|---|---|---|---|
| Best A-Share IPO Underwriter, Caixin Capital Market Achievement Awards | rank | 1 | 52 | |
| Best A-Share Non-public Issuance Underwriter, Caixin Capital Market Achievement Awards | rank | 2 | 52 | |
| Best A-Share Underwriter, Caixin Capital Market Achievement Awards | rank | 1 | 52 | |
| Publicly issued A shares | A shares | 334000000 | 7 |
Description of quality assurance process and recall procedures.
| Indicator | Unit | 2019 | 2020 | Report Pages |
|---|---|---|---|---|
| 2020 China Enterprise ESG 'Golden Responsibility Award': Best Securities Company for Responsible Investment | Awarded | 54 | ||
| Best Asset Securitization Underwriter, Caixin Capital Market Achievement Awards | rank | 2 | 52 | |
| Best Bond Underwriting Broker, Caixin Capital Market Achievement Awards | rank | 1 | 52 | |
| Best Corporate Bond Project (Non-public Issuance of 2019 First Tranche exchangeable corporate bond of China Merchants Group Co., Ltd.), New Fortune Best Investment Bank | rank | 3 | 52 | |
| Best Corporate Bond Underwriter, Caixin Capital Market Achievement Awards | rank | 2 | 52 | |
| Best Equity Deal: JD.com Hong Kong secondary listing | billion US dollars | 9.9 | 56 | |
| Best Financial Bond Underwriter, Caixin Capital Market Achievement Awards | rank | 1 | 52 |
Focus areas of contribution (e.g. education, environmental concerns, labour needs, health, culture, sport).
| Indicator | Unit | 2019 | 2020 | Report Pages |
|---|---|---|---|---|
| 2020 Gold Quality Award (Social Responsibility Award) | Awarded | 54 | ||
| Best IPO: Hangzhou Tigermed Hong Kong IPO | billion US dollars | 1.38 | 56 | |
| Best Investment Bank for Financial Industry, Caixin Capital Market Achievement Awards | rank | 1 | 52 | |
| Best Investment Bank in Industries, Caixin Capital Market Achievement Awards | rank | 2 | 52 | |
| Best Investment Bank in TMT Industry, Caixin Capital Market Achievement Awards | rank | 3 | 52 | |
| Best Investment Bank, Caixin Capital Market Achievement Awards | rank | 1 | 52 | |
| Best Onshore Green Bond Underwriter, Caixin Capital Market Achievement Awards | rank | 2 | 52 | |
| Best Privatization: Huaneng Renewables Corporation | billion US dollars | 2 | 56 | |
| Best Stock Underwriting Broker, Caixin Capital Market Achievement Awards | rank | 1 | 52 | |
| Capital support received from SHFE for OTC rubber options poverty alleviation program in Baisha and Qiongzhong counties, Hainan | million RMB | 1.584 | 22 | |
| Donations to support high school students in targeted poverty-stricken counties of Hebei Province and Shanxi Province | million RMB | 8.37 | 22 | |
| Investment in targeted poverty alleviation activities in Pingxiang city, Jiangxi | RMB | 300000 | 22 | |
| Jun Ding Award for Investment Bank in China, Securities Times | rank | 1 | 52 |
Resources contributed (e.g. money or time) to the focus area.
| Indicator | Unit | 2020 | Report Pages |
|---|---|---|---|
| Donations to 6 rural kindergartens in Xainza County, Tibet Autonomous Region | million RMB | 8.18 | 22 |
| Funds dedicated to construction of lavatory in local junior high schools in Jishishan County, Linxia Hui Autonomous Prefecture, Gansu Province | RMB | 2455100 | 22 |
| Funds raised by CITIC Securities South China for Guangxi Liuzhou Construction Investment Development Co., Ltd. (Phase I and II special poverty alleviation bond) | billion RMB | 1.52 | 22 |
| Funds raised by CITIC Securities South China for Guizhou Huazhushan Real Estate Co., Ltd. (Phase I special poverty alleviation bond for affordable housing) | million RMB | 500 | 22 |
| Green equity financing raised for environmental protection technology enterprises and new energy enterprises | RMB billion | 22.95 | 32 |
| Number of families benefited in 12 villages in Xainza County, Tibet Autonomous Region | families | 483 | 22 |
| Number of herding families lifted out of poverty through education funds | families | 156 | 22 |
| Number of people benefited in Xainza County, Tibet Autonomous Region | people | 2202 | 22 |
| Number of students and teachers benefiting from lavatory construction in Jishishan County, Gansu Province | people | 3000 | 22 |
| Total investment in OTC corn/dates/egg/apple options and insurance + futures poverty alleviation programs in multiple counties | million RMB | 3.0821 | 22 |
Direct (Scope 1) and energy indirect (Scope 2) greenhouse gas emissions (in tonnes) and, where appropriate, intensity (e.g. per unit of production volume, per facility).
| Standard Indicator | Unit | 2019 | 2020 |
|---|---|---|---|
| Direct GHG Emissions (Scope 1) | tonnes | 667.35 | 633.55 |
| GHG Emissions from Natural Gas | tonnes | 547.92 | 481.02 |
| GHG Emissions from Purchased Electricity | tonnes | 22963.3 | 26279.11 |
| Indirect Energy Emissions (Scope 2) | tonnes | 22963.3 | 26279.11 |
| Total GHG Emissions | tonnes | 23630.65 | 26912.66 |
| Total GHG Emissions Intensity (By Area) | tonnes per square meter | 0.17 | 0.16 |
Total hazardous waste produced (in tonnes) and, where appropriate, intensity (e.g. per unit of production volume, per facility).
| Standard Indicator | Unit | 2019 | 2020 |
|---|---|---|---|
| Total Hazardous Waste | tonnes | 49.65 | 1.15 |
Total non-hazardous waste produced (in tonnes) and, where appropriate, intensity (e.g. per unit of production volume, per facility).
| Standard Indicator | Unit |
|---|---|
| Non-Hazardous Waste Disposed | tonnes |
Direct and/or indirect energy consumption by type (e.g. electricity, gas or oil) in total (kWh in '000s) and intensity (e.g. per unit of production volume, per facility).
| Standard Indicator | Unit | 2019 | 2020 |
|---|---|---|---|
| Diesel Fuel Consumption | MWh | 118.48 | 108.05 |
| Energy Consumption Intensity (By Area) | MWh/square meter | 0.25 | 0.24 |
| Gasoline Consumption | MWh | 360.63 | 507.03 |
| Natural Gas Consumption | MWh | 2802.12 | 2460 |
| Purchased Electricity | MWh | 32822.96 | 37482.5 |
| Total Direct Energy Consumption | MWh | 3281.23 | 3075.08 |
| Total Energy Consumption | MWh | 36104.19 | 40557.58 |
| Total Indirect Energy Consumption | MWh | 32822.96 | 37482.5014 |
Water consumption in total and intensity (e.g. per unit of production volume, per facility).
| Standard Indicator | Unit | 2019 | 2020 |
|---|---|---|---|
| Water Consumption | tonnes | 145192 | 128369 |
| Water Consumption Intensity (By Revenue) | tonnes/square meter | 1.02 | 0.89 |
Description of energy use efficiency target(s) set and steps taken to achieve them.
| Standard Indicator | Unit | 2020 |
|---|---|---|
| Energy Consumption Reduction Compared to Last Year | GJ | 1148 |
Description of the significant impacts of activities on the environment and natural resources and the actions taken to manage them.
| Standard Indicator | Unit | 2020 |
|---|---|---|
| Total Investment in Ecological Restoration | RMB billion | 7.8 |
Total workforce by gender, employment type (for example, full- or part-time), age group and geographical region.
| Standard Indicator | Unit | 2018 | 2019 | 2020 |
|---|---|---|---|---|
| Number of Bachelor's Degree Employees | persons | 9288 | 9131 | 10663 |
| Number of Doctoral Degree Employees | persons | 226 | 246 | 290 |
| Number of Master's Degree Employees | persons | 5096 | 5554 | 7019 |
| Number of Total Employees | persons | 15842 | 15908 | 19012 |
Percentage of total products sold or shipped subject to recalls for safety and health reasons.
| Standard Indicator | Unit |
|---|---|
| Percentage of Recalled Products for Safety and Health Reasons | % |
Description of anti-corruption training provided to directors and staff.
| Standard Indicator | Unit |
|---|---|
| Number of Directors and Management Attendance for Anti-corruption Training | person-times |
Resources contributed (e.g. money or time) to the focus area.
| Standard Indicator | Unit | 2020 |
|---|---|---|
| Investment in Education Donation | million RMB | 10.6351 |
| Investment in Environmental Protection | million RMB | 22950 |
| Investment in Targeted Poverty Alleviation | million RMB | 2023.0821 |
| Total Public Welfare Donations | million RMB | 10.6351 |
| Total Social Investment | million RMB | 24983.7172 |