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Nuveen, a TIAA Company

PRI reporting framework 2020

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Engagement

LEA 02. Reasoning for interaction on ESG issues

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

Type of engagement

Reason for interaction

Individual / Internal staff engagements
Collaborative engagements
Service provider engagements

02.4. Additional information. [Optional]

In our experience, consistent, long-term engagement is a powerful and effective means of promoting responsible behaviour at our portfolio companies.

Engaging on Environmental, Social and Governance (ESG) policies and practices is critical to addressing financially material issues/factors that may arise in the near to long-term. In addition to private engagements with portfolio companies, we also partner with stakeholders across the market, such as policy makers and industry groups, to establish clear standards and drive best practices. This allows shareholders to source information that facilitates accurate and comprehensive evaluations of their investments.


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 engagements.

Indicate the criteria used to identify and prioritise engagements for each type of engagement.
Type of engagement
Criteria used to identify/prioritise engagements
Individual / Internal staff engagements

Individual / Internal staff engagements

Collaborative engagements

Collaborative engagements

03.3. Additional information. [Optional]

Consistent with our policy statement, we prioritize engagements based on which topics or issues we determine will have the most potential to positively impact the value of our investments and the broader market. We use the following methods to assess value:

1) We evaluate the risk each issue poses at the market or industry level and its relevance to company strategy and performance.

2) We assess the likelihood that company(ies) will be able to meaningfully resolve shareholder concerns about the issue(s).

3) We consider our own expertise and capacity.

4) If appropriate, we may consult with research analysts or portfolio managers from across Nuveen’s investment specialists. The ability to collaborate and leverage their expertise benefits both our engagement and proxy voting functions.

5) We communicate with outside stakeholders, including other institutional investors, clients and potential clients, participant groups, nongovernmental organizations and industry trade associations or various organizations with an interest in the activities of our portfolio company(ies).


LEA 04. Objectives for engagement activities

New selection options have been added to this indicator. Please review your prefilled responses carefully.
Indicate whether you define specific objectives for your organisation’s engagement activities.
Individual / Internal staff engagements
Collaborative engagements

04.2. Additional information. [Optional]

We do not utilize service-providers for engagement meetings.


LEA 05. Process for identifying and prioritising collaborative engagement

Indicate whether you monitor and/or review engagement outcomes.
Individual / Internal staff engagements
Collaborative engagements
Indicate whether you do any of the following to monitor and/or review the progress of engagement activities.
Individual / Internal staff engagements
Collaborative engagements

05.3. Additional information. [Optional]

.


LEA 06. Role in engagement process

06.1. Indicate whether your organisation has an escalation strategy when engagements are unsuccessful.

06.2. Indicate the escalation strategies used at your organisation following unsuccessful engagements.

06.3. Additional information. [Optional]


LEA 07. Share insights from engagements with internal/external managers

07.1. Indicate whether insights gained from your organisation`s engagements are shared with investment decision-makers.

Type of engagement

Insights shared

Individual / Internal staff engagements

Collaborative engagements

07.2. Indicate the practices used to ensure that information and insights gained through engagements are shared with investment decision-makers.

07.3. Indicate whether insights gained from your organisation’s engagements are shared with your clients/beneficiaries.

Type of engagement

Insights shared

Individual/Internal staff engagements

Collaborative engagements

07.4. Additional information. [Optional]


LEA 08. Tracking number of engagements

08.1. Indicate whether you track the number of your engagement activities.

Type of engagement
Tracking engagements
Individual/Internal staff engagements​

Collaborative engagements

08.2. Additional information. [Optional]


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