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Australian Ethical Investment Ltd.

PRI reporting framework 2019

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Confidence building measures

CM1 01. Assurance, verification, or review

01.1. Indicate whether the reported information you have provided for your PRI Transparency Report this year has undergone:

01.2. Additional information [OPTIONAL]

          
        

CM1 02. Assurance of last year's PRI data

02.1. We undertook third party assurance on last year’s PRI Transparency Report

02.3. Additional information [OPTIONAL]

          
        

CM1 03. Other confidence building measures

03.1. We undertake confidence building measures that are unspecific to the data contained in our PRI Transparency Report:

03.2. Which scheme?

% of total AUM the scheme applies

% of total AUM the scheme applies

03.3. Provide a link to the public report (such as a sustainability report that you carry out third party assurance over and for which you have used extracts of in this year’s PRI Transparency Report. Also include a link to the external assurance provider 's report.

03.4. Describe the process of external/third party ESG audit of holdings, including which data has been assured.

KPMG's limited assurance conclusion is based on the evidence obtained from performing the following procedures: • enquiries with relevant Australian Ethical Investment Limited personnel to understand the internal controls, governance structure and reporting process of the Selected Sustainability Information; • reviews of relevant documentation; • analytical procedures over the Selected Sustainability Information; • agree, on a sample basis, the Selected Sustainability Information to source documentation; • re-calculation, on a sample basis, of key calculations; • evaluating the appropriateness of the criteria with respect to the Selected Sustainability Information; • reviewed the Sustainability Report in its entirety to ensure it is consistent with our overall knowledge of assurance engagement. See pages 46-47 of our Sustainability Report for the KPMG assurance report (https://www.australianethical.com.au/wp-content/uploads/2018/10/Sustainability-Report_2018-WEB_24102018.pdf). 

03.5. Additional information [OPTIONAL]

          
        

CM1 04. Assurance of this year's PRI data

04.1. Do you plan to conduct third party assurance of this year's PRI Transparency report?

04.3. Additional information [OPTIONAL]

          
        

CM1 05. External assurance

05.1. Provide details related to the third party assurance over selected responses from this year’s PRI Transparency Report and/or over data points from other sources that have subsequently been used in your PRI responses this year

What data has been assured

Relevant modules

Who has conducted the assurance

          KPMG, an Australian partnership and a member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative, a Swiss entity.
        

Assurance standard used

Level of assurance sought

05.2. Additional information [OPTIONAL]

          
        

CM1 06. Assurance or internal audit

06.1. Provide details of the third party assurance of RI related processes, and/or details of the internal audit conducted by internal auditors of RI related processes (that have been reported to the PRI this year)

What RI processes have been assured

Specify

          Related to ethical screening approach
        

Who has conducted the assurance

          KPMG, an Australian partnership and a member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative, a Swiss entity.
        

When was the process assurance completed(dd/ mm/yy)

16/10/2018

Assurance standard used

Specify

          ASAE 3000
        

Level of assurance sought

06.2. Additional information [OPTIONAL]

          
        

CM1 07. Internal verification

07.1. Indicate who has reviewed/verified internally the whole - or selected data of the - PRI Transparency Report . and if this applies to selected data please specify what data was reviewed

Who has conducted the verification

Sign-off or review of responses

What data has been verified

Relevant modules

What data has been verified

Relevant modules

07.2. Additional information [OPTIONAL]

          
        

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