Reference materials

Printable version of CDC’S ESG Toolkit for Fund Managers

Each part of the Toolkit can be downloaded as a PDF by clicking ‘Download page’ on the right-hand side of the relevant page.

CDC policies, checklists, templates and guidance

• CDC policies

  • CDC’s Code of Responsible Investing
  • CDC’s Policy on Coal-Fired Power Generation
  • CDC’s Climate Change Policy

• CDC checklists

  • CDC’s environmental and social checklist
  • CDC’s governance and business integrity checklist

• CDC templates

  • Annual ESG report template (general partners reporting to limited partners)
  • ESG action plan
  • Serious accidents reporting
  • ESG legal drafting guide for equity investments
  • Terms of reference for consultants: E&S due diligence
  • Terms of reference for human rights due diligence
  • E&S manager job description (fund level)
  • Anti-corruption officer job description (company level)

• CDC guidance

  • CDC Guidance Note: Heavy Fuel Oil Fired Power Plants
  • CDC Good Practice: Preventing Fatalities and Serious Accidents
  • CDC Good Practice: Environmental and social due diligence: mitigating risks, identifying opportunities
  • CDC Guidance: Adding value in healthcare
  • CDC Toolkit on ESG for Fund Managers (2010 – Historical version)

  Co-authored guidance

  • A good practice note for the private sector: Managing risks associated with modern slavery
  • Private equity’s role in delivering the SDGs: Current approaches and good practice
  • Investments in the Agricultural Value Chain: Expanding the Scope of Environmental and Social Due Diligence
  • Private Equity and Emerging Markets Agribusiness: Building Value Through Sustainability
  • A guidance note on managing legacy land issues in agribusiness investments

International standards and conventions

• International Finance Corporation (IFC) Performance Standards

  • IFC 2012 Performance Standards
  • IFC 2012 Guidance Notes

• World Bank Group Environmental, Health and Safety (EHS) Guidelines
  The World Bank Group EHS Guidelines
• International conventions, recommendations and guidance
  a) Environmental:

  • The Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and their Disposal (1992)
  • The Convention on International Trade in Endangered Species of Wild Flora and Fauna (CITES) (1973)
  • The Montreal Protocol on Substances that Deplete the Ozone Layer (1999)
  • The UN Framework Convention on Climate Change (UNFCCC) (1994)
  • The Rotterdam Convention on the Prior Informed Consent Procedure for Certain Hazardous Chemicals and Pesticides in International Trade (2004)
  • The Stockholm Convention on Persistent Organic Pollutants (2004)
  • The Kyoto Protocol (2005)

  b) Social:

  The ILO Fundamental Conventions:

  • Freedom of Association and Protection of the Right to Organise Convention, 1948 (No. 87)
  • Right to Organise and Collective Bargaining Convention, 1949 (No. 98)
  • Forced Labour Convention, 1930 (No. 29)
  • Abolition of Forced Labour Convention, 1957 (No. 105)
  • Minimum Age Convention, 1973 (No. 138)
  • Worst Forms of Child Labour Convention, 1999 (No. 182)
  • Equal Remuneration Convention, 1951 (No. 100)
  • Discrimination (Employment and Occupation) Convention, 1958 (No. 111)
  • Table of ratifications of the fundamental conventions

  International guidance:

  • UN Guiding Principles on Business and Human Rights

  Other conventions:

  • Hours of Work (Industry) Convention, 1919 (No. 1)

  c) Anti-corruption:

  • The UN Convention against Corruption (2005)
  • The OECD Convention on Combating Bribery of Foreign Public Officials in International Business Transactions (2007)
  • OECD Recommendation for Further Combating Bribery of Foreign Public Officials in International Business Transactions (2009)
  • The UK Proceeds of Crime Act (2002)
  • The UK Bribery Act (2010)
  • The UK Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations (2017)
  • The US Foreign Corrupt Practices Act (1977)

Other ESG toolkits for private equity funds

• Other ESG Toolkits for private equity funds

  • IFC – FIRST for Sustainability
  • UN Principles for Responsible Investment – Integrating ESG in Private Equity: A guide for general partners (2014)
  • FMO – ESG Risk Management Tool for Private Equity Investments

• Environmental

  • ISO 14000 series – Environmental management

• Social

  • The Occupational Health and Safety Assessment Series (OHSAS) 18000
  • Social Accountability 8000 (SA8000) by Social Accountability International

• Governance and business integrity

  • The Business Anti-Corruption Portal
  • The Extractive Industries Transparency Initiative (EITI)
  • The Financial Action Task Force
  • The International Accounting Standards Board and the International Financial
  • The OECD Principles of Corporate Governance
  • The DFI Toolkit on Corporate Governance (IFC)
  • Transparency International’s Corruption Perceptions Index

• Other

  • Codex Alimentarius (food safety)
  • OECD Guidelines for Multinational Enterprises (2011)
  • The International Private Equity and Venture Capital Valuation Guidelines
  • The SMART Campaign Client Protection Principles
  • IFC: Environmental and Social Management System Implementation Handbook

Responsible investment codes, principles and guidelines

• Responsible investment codes, principles and guidelines

  • The United-Nations supported Principles for Responsible Investment
  • The Equator Principles

Associations and networks

• Associations and networks

  • African Private Equity and Venture Capital Association (AVCA)
  • British Venture Capital and Private Equity Association (BVCA)
  • East Africa Venture Capital Association (EAVCA)
  • European Private Equity and Venture Capital (EVCA)
  • Global Impact Investing Network (GIIN)