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1919 Investment Counsel

PRI reporting framework 2017

Basic Information [OO 01 - 09] Gateway asset class implementation indicators [OO 10 - 12]

Investment policy [SG 01 - 04] Objectives and strategies [SG 05 - 06] Governance and human resources [SG 07 - 08] Promoting responsible investment [SG 09 - 11] Implementation not in other modules [SG 12 - 16] Innovation [SG 17]

Direct - Listed Equity Active Ownership

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] Process for engagements conducted with/on your behalf by service providers [LEA 07 - 08] General processes for all three groups of engagers [LEA 09 - 10] Outputs and outcomes [LEA 11 - 15] Communication [LEA 16]

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You are in Direct - Listed Equity Active Ownership » Engagement

Engagement

Overview

LEA 01. Description of approach to engagement

New selection options have been added to this indicator. Please review your prefilled responses carefully.

01.1. Indicate whether your organisation has a formal engagement policy.

Yes

01.5. Additional information [optional]

LEA 02. Reasoning for interaction on ESG issues

02.1. Indicate the method of engagement, giving reasons for the interaction.

Type of engagement	Reason for interaction
Individual/Internal staff engagements	To influence corporate practice (or identify the need to influence) on ESG issues To encourage improved/increased ESG disclosure Other, specify To support investment decision-making (e.g. company research). We do not engage via internal staff
Collaborative engagements	To influence corporate practice (or identify the need to influence) on ESG issues To encourage improved/inreased ESG disclosure Other, specify To support investment decision-making (e.g. company research). We do not engage via collaborative engagements
Service provider engagements	To influence corporate practice (or identify the need to influence) on ESG issues To encourage improved/increased ESG disclosure Other, specify To support investment decision-making (e.g. company research). We do not engage via service providers

02.2. Additional information. [Optional]

Process

Process for engagements run internally

LEA 03. Process for identifying and prioritising engagement activities

New selection options have been added to this indicator. Please review your prefilled responses carefully.

03.1. Indicate whether your organisation has a formal process for identifying and prioritising engagement activities carried out by internal staff.

Yes

03.3. Additional information. [Optional]

LEA 04. Objectives for engagement activities (Not Completed)

Process for engagements conducted via collaborations

LEA 05. Process for identifying and prioritising collaborative engagement

New selection options have been added to this indicator. Please review your prefilled responses carefully.

05.1. Indicate whether your organisation has a formal process for identifying and prioritising collaborative engagements

Yes

05.3. Additional information [Optional]

LEA 06. Objectives for engagement activities

New selection options have been added to this indicator. Please review your prefilled responses carefully.

06.1. Indicate if you define specific objectives for your engagement activities carried out collaboratively.

Yes

Yes, for all engagement activities

Yes, for the majority of engagement activities

Yes, for a minority of engagement activities

We do not define specific objectives for engagement activities carried out collaboratively.

06.2. Indicate if you monitor the actions companies take following your collaborative engagements.

Yes

Yes, in all cases

Yes, in the majority of cases

Yes, in the minority of cases

We do not monitor the actions that companies take following engagement activities carried out collaboratively

06.3. Indicate whether your organisation defines milestones and goals related to engagement activities carried out via collaborations.

Yes

06.4. Indicate if you do any of the following to monitor and evaluate the progress of your collaborative engagement activities.

Define timelines for milestones and goals

Tracking, monitoring progress against defined milestones and goals

Establish a process for when the goals are not met

Revisit and, if necessary revise the goals on a continuous basis

Other, please specify

06.5. Additional information. [Optional]

Process for engagements conducted with/on your behalf by service providers

LEA 07. Role in engagement process

New selection options have been added to this indicator. Please review your prefilled responses carefully.

07.1. Indicate if you play a role in the engagement process that your service provider conducts on your behalf.

Yes

07.2. Indicate the role(s) you play in engagements that your service provider conducts on your behalf.

Discuss the topic (or ESG issue(s)) of engagement

Discuss the rationale for engagement

Discuss the objectives of the engagement

Select the companies to be engaged with

Discuss the frequency/intensity of interactions with companies

Discuss progress towards the engagement objectives

Monitor and review outcomes that have been achieved from the engagement

Discuss next steps for engagement activity

Participate directly in certain engagements with your service provider

Ad hoc monitoring and review of engagement processes.

Other, specify

07.3. Additional information. [Optional]

LEA 08. Monitor / discuss service provider information

08.1. Indicate whether you monitor and/or discuss the following information provided to you by your service provider

Please select all that apply

The subject (or ESG issue(s)) of engagement

The objectives of the engagement

The rationale for engagement

The frequency/intensity of interactions with companies

Progress towards achieving engagement goals

Outcomes that have been achieved from the engagement

Next steps for engagement activity

Other, specify

None of the above

08.2. Additional information. [Optional]

General processes for all three groups of engagers

LEA 09. Share insights from engagements with internal/external managers

09.1. Indicate if insights gained from your engagements are shared with your internal or external investment managers.

Type of engagement	Insights shared
Individual/Internal staff engagements	Yes, systematically Yes, occasionally No
Collaborative engagements	Yes, systematically Yes, occasionally No
Service provider engagements	Yes, systematically Yes, occasionally No

09.2. Additional information. [Optional]

LEA 10. Tracking number of engagements

10.1. Indicate if you track the number of engagements your organisation participates in.

Type of engagement	Tracking engagements
Individual / Internal staff engagements	Yes, we track the number of our engagements in full Yes, we partially track the number of our engagements We do not track
Collaborative engagements	Yes, we track the number of our engagements in full Yes, we partially track the number of our engagements We do not track and cannot estimate our engagements
Service provider engagements	Yes, we track the number of our engagements in full Yes, we partially track the number of our engagements We do not track and cannot estimate our engagements

10.2. Additional information. [OPTIONAL]

Outputs and outcomes

LEA 11. Number of companies engaged with, intensity of engagement and effort (Private)

LEA 12. Engagement methods

12.1. Indicate which of the following your engagement involved.

Letters to outline the engagement and the objectives

In some cases

In majority cases

In all cases

Meetings and/or calls with the appropriate team

In some cases

In majority cases

In all cases

Visits to operations

Roadshows

ESG research

In some cases

In majority cases

In all cases

1919 Investment Counsel

PRI reporting framework 2017

Engagement

Overview

LEA 01. Description of approach to engagement

01.1. Indicate whether your organisation has a formal engagement policy.

01.5. Additional information [optional]

LEA 02. Reasoning for interaction on ESG issues

02.1. Indicate the method of engagement, giving reasons for the interaction.

02.2. Additional information. [Optional]

Process

Process for engagements run internally

LEA 03. Process for identifying and prioritising engagement activities

03.1. Indicate whether your organisation has a formal process for identifying and prioritising engagement activities carried out by internal staff.

03.3. Additional information. [Optional]

LEA 04. Objectives for engagement activities (Not Completed)

Process for engagements conducted via collaborations

LEA 05. Process for identifying and prioritising collaborative engagement

05.1. Indicate whether your organisation has a formal process for identifying and prioritising collaborative engagements

05.3. Additional information [Optional]

LEA 06. Objectives for engagement activities

06.1. Indicate if you define specific objectives for your engagement activities carried out collaboratively.

06.2. Indicate if you monitor the actions companies take following your collaborative engagements.

06.3. Indicate whether your organisation defines milestones and goals related to engagement activities carried out via collaborations.

06.4. Indicate if you do any of the following to monitor and evaluate the progress of your collaborative engagement activities.

06.5. Additional information. [Optional]

Process for engagements conducted with/on your behalf by service providers

LEA 07. Role in engagement process

07.1. Indicate if you play a role in the engagement process that your service provider conducts on your behalf.

07.2. Indicate the role(s) you play in engagements that your service provider conducts on your behalf.

07.3. Additional information. [Optional]

LEA 08. Monitor / discuss service provider information

08.1. Indicate whether you monitor and/or discuss the following information provided to you by your service provider

08.2. Additional information. [Optional]

General processes for all three groups of engagers

LEA 09. Share insights from engagements with internal/external managers

09.1. Indicate if insights gained from your engagements are shared with your internal or external investment managers.

09.2. Additional information. [Optional]

LEA 10. Tracking number of engagements

10.1. Indicate if you track the number of engagements your organisation participates in.

10.2. Additional information. [OPTIONAL]

Outputs and outcomes

LEA 11. Number of companies engaged with, intensity of engagement and effort (Private)

LEA 12. Engagement methods

12.1. Indicate which of the following your engagement involved.

12.2. Additional information. [Optional]

LEA 13. Engagements on E, S and/or G issues (Not Applicable)

LEA 14. Companies changing practices / behaviour following engagement (Private)

LEA 15. Examples of ESG engagements (Private)

Communication

LEA 16. Disclosure of approach to ESG engagements (Not Completed)