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Dana Investment Advisors

PRI reporting framework 2018

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Governance and human resources

SG 07. RI roles and responsibilities

07.1. Indicate the roles present in your organisation and for each, indicate whether they have oversight and/or implementation responsibilities for responsible investment.

Roles present in your organisation

          Duane Roberts and Robert Leuty
        

07.2. For the roles for which you have RI oversight/accountability or implementation responsibilities, indicate how you execute these responsibilities.

Portfolio Managers and Analysts are primarily responsible for oversight, accountability and implementation of ESG policies and research. Our Strategies hold 50-55 securities and these securities are monitored closely on a daily basis utilizing various data providers and other informational sources. The Director of Equities is a member of the Investment Committee along with the CEO and CIO and work together to assure RI process is implemented effectively.

07.3. Indicate the number of dedicated responsible investment staff your organisation has.

1 Number

07.4. Additional information. [Optional]


SG 07 CC. Climate-issues roles and responsibilities

07.1 CC. Indicate the roles in your organisation, and indicate for each whether they have oversight and/or implementation responsibilities for climate-related issues.

Roles present in your organisation

          Duane Roberts and Robert Leuty
        

07.1b CC. For the management-level roles which assess and manage climate-related issues, provide further information on the structure and process involved.

Portfolio managers and Analysts are primarily responsible for oversight, accountability and implementation of ESG policies and research. Our Strategies are closely monitored on a daily basis utilizing various data providers and other informational sources. The Directors of Equities and Fixed Income along with the CEO and CIO work together to assure RI process is implemented effectively. The ESG Analyst (i.e. Dedicated staff) focuses on advocacy efforts including climate-related activities. A Portfolio Specialist focuses on leveraging our external relationships (i.e. Ceres and others). Both work closely with the investment team.


SG 08. RI in performance management, reward and/or personal development

08.1. Indicate if your organisation’s performance management, reward and/or personal development processes have a responsible investment element.

Chief Executive Officer (CEO), Chief Investment Officer (CIO),  Investment Committee

Other C-level staff or head of department

          Duane Roberts and Robert Leuty
        

Portfolio managers

Investment analysts

Dedicated responsible investment staff

08.3. Provide any additional information on your organisation’s performance management, reward and/or personal development processes in relation to responsible investment.

Dana Investment Advisors continued to be public about our support of ESG integration. We had interviews of senior staff on ESG investing in local journals, and had a press release on the Ceres Water Toolkit launch. We were a sixth time recipient of Pension and Investments' annual Best Places to Work in Money Management Award. Our staff presented on related topics at various Wealth Management conferences, RI conferences, webinars and universities. Two staff members received ESG certificate for training (USSIF) this reporting year. We will continue these efforts to build our brand as an ESG asset manager and supporter of sustainability practices and integration.

 


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