| 11. Corporate Vision and Mission/ Strategy |
| a. Has the Board of Directors reviewed the vision and mission/ strategy in the last financial year? |
"insert hyperlinks here" |
| b. Does the Board of Directors monitor/oversee the implementation of the corporate strategy? |
"insert hyperlinks here" |
| 12. Did the GOCC achieve 90% in the PES? |
"insert hyperlinks here" |
| 13. Code of ethics or conduct |
| a. Are the details of the code of ethics or conduct disclosed? |
"insert hyperlinks here" |
| b. Does the GOCC disclose that all Directors/Commissioners, senior management and employees are required to comply with the code? |
"insert hyperlinks here" |
| c. Does the company disclose how it implements and monitors compliance with the code of ethics or conduct? |
"insert hyperlinks here" |
| 14. Does the Board appoint a Nomination Compensation / Remuneration Committee? |
"insert hyperlinks here" |
| 15. Did the Nomination Compensation/Remuneration Committee meet at least twice during the year? |
"insert hyperlinks here" |
| 16. If yes, is the report of the Nomination Compensation/Remuneration Committee publicly disclosed? |
"insert hyperlinks here" |
| 17. Does the Board appoint an Audit Committee? |
"insert hyperlinks here" |
| 18. If yes, is the report of the Audit Committee publicly disclosed? |
"insert hyperlinks here" |
| 19. Does at least one member of the Audit Committee have an audit, accounting or finance background (qualification or experience)? |
"insert hyperlinks here" |
| 20. Did the Audit Committee meet at least four times during the year? |
"insert hyperlinks here" |
| 21. Does the Board appoint a Risk Management Committee? |
"insert hyperlinks here" |
| 22. If yes, is the report on Risk Management Committee publicly disclosed? |
"insert hyperlinks here" |
| 23. Does at least one member of the Risk Management Committee have a background in finance and investments? |
"insert hyperlinks here" |
| 24. Board meetings and attendance |
| a. Are the Board of Directors meetings scheduled at the beginning of the year? (end of Q1) |
"insert hyperlinks here" |
| b. Does the Board of Directors meet at least monthly? |
"insert hyperlinks here" |
| c. Did the Board of Directors meet on at least 75% on their scheduled meetings? |
"insert hyperlinks here" |
| d. Has each of the directors/commissioners attended at least 90% of all the board meetings held during the year? |
"insert hyperlinks here" |
| e. Did the Board of Directors meet separately at least once during the year without the President/CEO present? |
"insert hyperlinks here" |
| 25. |
| a. Does the GOCC have a policy that stipulates board papers for Board of Directors/Commissioners meetings be provided to the Board at least three (3) working days in advance of the board meeting? |
"insert hyperlinks here" |
| b. Is the Board Secretary trained in legal, accountancy or company secretarial practices? |
"insert hyperlinks here" |
| 26. Internal Audit |
| a. Does the company have a separate internal audit function? |
"insert hyperlinks here" |
| b. Does the appointment and removal of the internal auditor require the approval of the Audit Committee? |
"insert hyperlinks here" |
| 27. Risk Oversight |
| a. Does the company disclose the internal control procedures/risk management systems it has in place? |
"insert hyperlinks here" |
| b. Does the Annual Report disclose that the board of directors/commissioners has conducted a review of the company's material controls (including operational, financial and compliance controls) and risk management systems? |
"insert hyperlinks here" |
| c. Does the company disclose how key risks are managed? |
"insert hyperlinks here" |
| d. Does the Annual Report contain a statement from the Board of Directors or Audit Committee commenting on the adequacy of the GOCC's internal controls/risk management systems? |
"insert hyperlinks here" |
| 28. Do different persons assume the roles of Chairman and CEO? |
"insert hyperlinks here" |
| 29. |
| a. Does the GOCC have orientation programs for new Directors? |
"insert hyperlinks here" |
| b. Does the GOCC have a policy that encourages Directors/Commissioners to attend on-going or continuous professional education programs? |
"insert hyperlinks here" |
| c. Did all Appointive Directors attend at least 1 training for the calendar year? |
"insert hyperlinks here" |
| 30. Board Appraisal |
| a. Is an annual performance assessment conducted of the Board of Directors? |
"insert hyperlinks here" |
| b. Does the GOCC disclose the process followed in conducting the Board assessment? |
"insert hyperlinks here" |
| c. Does the GOCC disclose the criteria used in the Board assessment? |
"insert hyperlinks here" |
| 31. Is an annual performance assessment conducted of the Board of Directors Committees? |
"insert hyperlinks here" |
