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Harvard University Endowment

PRI reporting framework 2016

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Organisational Overview
Basic Information [OO 01 - 10] Gateway asset class implementation indicators [OO 11 - 13]
Strategy and Governance
Responsible investment policy [SG 01 - 03] Objectives and strategies [SG 04 - 05] Governance and human resources [SG 06 - 07] Promoting responsible investment [SG 08 - 10] Implementation not in other modules [SG 11 - 15]
Indirect – Manager Selection, Appointment and Monitoring
Overview [SAM 01 - 02] Listed equity (LE) and Fixed income (FI) [SAM 03 - 08] Overview [SAM 03 - 04] Selection [SAM 05] Monitoring [SAM 07 - 08] Private equity (PE), property (PR) and infrastructure (INF) [SAM 09 - 11] Selection [SAM 09] Monitoring [SAM 11] Outputs and outcomes [SAM 12 - 13] Communication [SAM 14]
Direct - Listed Equity Incorporation
Overview [LEI 01 - 02] ESG incorporation in actively managed listed equities [LEI 03 - 12] Implementation processes [LEI 03 - 12] (A) Implementation: Screening [LEI 06 - 08] (C) Implementation: Integration of ESG issues [LEI 10 - 12] Communication [LEI 17]
Direct - Listed Equity Active Ownership
Engagement [LEA 01 - 16] Overview [LEA 01 - 02] Process [LEA 03 - 10] Process for engagements run internally [LEA 03 - 04] Process for engagements conducted via collaborations [LEA 05 - 06] General processes for all three groups of engagers [LEA 09 - 10] Outputs and outcomes [LEA 11 - 15] Communication [LEA 16] (Proxy) voting and shareholder resolutions [LEA 17 - 27] Overview [LEA 17] Process [LEA 18 - 22] Outputs and outcomes [LEA 23 - 26] Communication [LEA 27]
Direct - Property
Overview [PR 01 - 05] Pre-investment (selection) [PR 08 - 12] Selection, appointment and monitoring third-party property managers [PR 13] Post-investment (monitoring and active ownership) [PR 14 - 20] Overview [PR 14] Property monitoring and management [PR 15 - 16] Property developments and refurbishments [PR 17] Occupier engagement [PR 18 - 19] Community engagement [PR 20] Outputs and outcomes [PR 21 - 22] Communication [PR 23]
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You are in Indirect – Manager Selection, Appointment and Monitoring » Private equity (PE), property (PR) and infrastructure (INF) » Selection

Selection

SAM 09. Selection processes (PE, PR and INF)

09.1. In your manager selection process for the following assets, indicate whether your organisation and/or your investment consultant typically take any of the following actions.

General

PE

PR
Used the PRI's LP DDQ during discussions with managers as part of your selection process
n/a

Review the manager’s/general partner’s responsible investment policy

Discuss the manager’s governance and management of responsible investment

Meet staff with responsible investment responsibilities to assess their skills and competence

Discuss minimum responsible investment expectations that managers must meet

Discuss the role managers have played in collaborative initiatives

Ask whether the organisation is a signatory to the PRI and/or other relevant organisations

Assess the external manager’s reporting and how it will help you to monitor that it is acting consistent with the agreed-upon ESG-related policies and practices during the life of the fund

Review the manager's responsible investment disclosure, excluding PRI reporting
Review the manager's PRI Transparency or Assessment reports
Assign specific weighting to ESG factors in your manager evaluation, specify in 09.2

Other general aspects in your selection process, specify

None of the above

Investment selection (pre-investment) of underlying holding

PE

PR

Assess the manager's policies, processes and systems for identifying ESG-related value drivers and managing material ESG-related risks pre-investment

Other pre-investment aspects reviewed in your selection process, specify

None of the above

Investment monitoring (post-investment) of underlying holding

PE

PR

Understand if and how the manager influences and supports its portfolio companies’/assets’ management of ESG-related risks and pursuit of ESG-related opportunities

Discuss examples of how managers have previously identified and addressed ESG issues in their portfolios on an ongoing basis

Assess the manager’s/general partner’s approach to managing and disclosing material incidents at the manager / General Partner and underlying holdings

Other post-investment aspects reviewed in your selection process, specify

None of the above

If you select any 'Other' option(s), specify

09.2. Provide additional information on how weighting of ESG factors in your manager evaluation are applied.

HMC considers relevant material ESG risk factors in evaluating external managers on a case-by-case basis without assigning specific weighting to these factors in our evaluation.

09.3. Provide additional information relevant to your organisation's selection approach for non-listed assets. [Optional]

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