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Connecticut Retirement Plans and Trust Funds (CRPTF)

PRI reporting framework 2018

You are in Direct - Listed Equity Active Ownership » Engagement » Process

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.

03.2. Describe the criteria used to identify and prioritise engagement activities carried out by internal staff.

03.3. Additional information. [Optional]


LEA 04. Objectives for engagement activities

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

04.1. Indicate if you define specific objectives for your engagement activities.

04.2. Indicate if you monitor the actions that companies take during and following your engagements activities carried out by internal staff.

04.3. Indicate if you do any of the following to monitor and evaluate the progress of your engagement activities carried out by internal staff.

04.4. Additional information. [Optional]

The Assistant Treasurer for Policy meets with the Treasurer on a periodic basis to review the focus list of portfolio companies for shareholder engagement. Monthly reports outline the status and disposition of on-going engagements, and quarterly reports on those engagements, as well as the on-going proxy voting of the CRPTF equity portfolios, are presented to the Investment Advisory Committee. Progress (including voting results on proposals not withdrawn) on all current shareholder engagements for the proxy season is collected by the Policy Unit and assessed by the Treasurer after the proxy season. Policy prepares recommendations for the Treasurer's review and approval. Decisions are then made with respect to prospective new initiatives, new portfolio company engagements and the potential refiling of shareholder resolutions. The Assistant Treasurer for Policy and the Policy Unit utilize service providers (ISS) and review publicly-available information (including companies' SEC filings) in the process of developing the focus list, and to ascertain whether companies are keeping their agreements with the CRPTF.


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

05.2. Describe the criteria used to identify and prioritise collaborative engagements.

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.

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

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

06.4. 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.

07.3. Additional information. [Optional]


LEA 08. Monitor / discuss service provider information

08.1. Do you monitor and review the outcomes of the engagement activities undertaken by your service providers on your behalf?

Please select all that apply

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

Collaborative engagements

Service provider engagements

09.2. Additional information. [Optional]

The service provider, MSCI, provides information on the activities of public companies doing business in Sudan. If a company is improperly involved with the Government of Sudan, the Treasurer has discretion to divest or prohibit future investment of CRPTF assets in said company.  Successful engagement with companies that result in the removal of prohibited investment status would be communicated to the CRPTF’s external managers.


LEA 10. Tracking number of engagements

10.1. Indicate if you track the number of your engagement activities.

Type of engagement
Tracking engagements

Individual / Internal staff engagements

Collaborative engagements

Service provider engagements

10.2. Additional information. [OPTIONAL]


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