Public HTML RI reports - PRI reporting framework 2020

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Nuveen, a TIAA Company

PRI reporting framework 2020

Organisational Overview

Basic information [OO 01 - 09] Asset class implementation gateway indicators [OO 10 - 12] Peering questions [OO LE 01 - HF 01]

Strategy and Governance

Investment policy [SG 01 - 04] Objectives and strategies [SG 05 - 06] Governance and human resources [SG 07 - 08] Promoting responsible investment [SG 09 - 11] Outsourcing to fiduciary managers and investment consultants [SG 12] ESG issues in asset allocation [SG 13 - 15] Asset class implementation not reported in other modules [SG 16 - 17] Innovation [SG 18] Communication [SG 19]

Direct - Listed Equity Incorporation

ESG incorporation in actively managed listed equities [LEI 01 - 10] Implementation processes [LEI 01 - 10] (A) Implementation: Screening [LEI 04 - 06] (B) Implementation: Thematic [LEI 07] (C) Implementation: Integration of ESG factors [LEI 08 - 10] ESG incorporation in passively managed listed equities [LEI 11] Outputs and outcomes [LEI 12 - 13]

Direct - Listed Equity Active Ownership

Overview [LEA 01] Engagement [LEA 02 - 08] Outputs and outcomes [LEA 09 - 11] (Proxy) voting and shareholder resolutions [LEA 12 - 21]

Direct - Fixed Income

ESG incorporation in actively managed fixed income [FI 01 - 12] Implementation processes [FI 01 - 03] (A) Implementation: Screening [FI 04 - 06] (B) Implementation: Thematic [FI 07 - 09] (C) Implementation: Integration [FI 10 - 12] ESG incorporation in passively managed fixed income [FI 13] Fixed income - Engagement [FI 14 - 16] Outputs and outcomes [FI 17 - 18]

Direct - Property

Overview [PR 01] Fundraising of property funds [PR 02 - 03] Pre-investment (selection) [PR 04 - 06] Post-investment (monitoring and active ownership) [PR 08 - 14] Overview [PR 08] Property monitoring and management [PR 09 - 10] Property developments and major renovations [PR 11] Occupier engagement [PR 12 - 13] Community engagement [PR 14] Outputs and outcomes [PR 15 - 16]

Direct - Inclusive Finance

Context [IFD 01 - 06] PIIF Principle 1: Range of services [IFD 07 - 10] PIIF Principle 2: Client protection [IFD 11 - 13] PIIF Principle 3: Fair treatment [IFD 14 - 17] PIIF Principle 5: Transparency [IFD 25 - 27] PIIF Principle 6: Balanced returns [IFD 28 - 31] PIIF Principle 7: Standards [IFD 32 - 34]

Indirect - Inclusive Finance

Context [IFI 01] Selection [IFI 02] Contractual agreements and mandate design [IFI 03] Investment manager monitoring and reporting [IFI 04 - 05] Disclosure [IFI 06 - 07]

Confidence building measures

Confidence building measures [CM1 01 - 07]

Export Public Responses

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You are in Direct - Inclusive Finance » PIIF Principle 4: Responsible investment

PIIF Principle 4: Responsible investment

IFD 18. Tools for social performance reporting

Possible action:

Negotiate terms and conditions that are transparent, fair and reasonable, including fair break-up clauses.

18.1. Indicate if you use the following tools for social performance reporting:

Externally developed tools

During due diligence.

Yes

No

We don’t track social performance

For monitoring and reporting purposes.

Yes

No

We don’t track social performance

Describe the approaches used and frequency of use.

We leverage social performance indicators developed by industry best practices

In-house tools based on externally developed tools

During due diligence.

Yes

No

We don’t track social performance

For monitoring and reporting purposes.

Yes

No

We don’t track social performance

Describe the approaches used and frequency of use.

We brought in impact-focused consultants as well as impact industry experts to develop a set of tools based on industry best practices, but that are better tailored to our firm's impact strategy and portfolio.

Tools developed solely in-house

During due diligence.

Yes

No

We don’t track social performance

For monitoring and reporting purposes.

Yes

No

We don’t track social performance

Describe the approaches used and frequency of use.

18.2. Additional information. [Optional]

IFD 19. Retail institutions have independent financial/social rating and/or social audit

19.1. Indicate if you require the retail institutions in which you invest to have an independent financial rating.

Always

In a majority of cases

In a minority of cases

No

19.2. Indicate if you require the retail institutions in which you invest to have an independent social rating.

Always

In a majority of cases

In a minority of cases

No

19.3. Indicate if you require the retail institutions in which you invest to have an independent social audit.

Yes

No

19.4. Additional information. [Optional]

IFD 20. Due diligence on and monitoring and reporting of corporate governance among investees

Possible action:

Assist in developing appropriate references for corporate governance issues.

20.1. In relation to your due diligence on and monitoring and reporting of corporate governance among investees, indicate if you assess:

Compensation of the Board of Directors and Executive Directors (i.e. its transparency, the use of benchmarking)

Pre-investment

Yes

No

Not for all of our investments in inclusive finance

Post-investment

Yes

No

Not for all of our investments in inclusive finance

Describe what you look at and, if post-investment, the frequency of assessment. [Optional]

Composition of the Board (i.e. breadth and depth of experience, effective client representation, diversity)

Pre-investment

Yes

No

Not for all of our investments in inclusive finance

Post-investment

Yes

No

Not for all of our investments in inclusive finance

Describe what you look at and, if post-investment, the frequency of assessment. [Optional]

Whether the Board receives social performance management-related information from the management team that is analysed and contributes to Board decision making.

Pre-investment

Yes

No

Not for all of our investments in inclusive finance

Post-investment

Yes

No

Not for all of our investments in inclusive finance

Describe what you look at and, if post-investment, the frequency of assessment. [Optional]

20.2. Additional information. [Optional]

IFD 21. Training or assistance for investees on corporate governance (Private)

IFD 22. Percentage of investees where board seats are held (Private)

IFD 23. Procedure to integrate environmental issues in investment decision processes

Possible action:

Assist in developing appropriate references for environmental issues.

23.1. Indicate if you have a procedure to integrate the consideration of environmental issues in your investment decision processes.

Yes

For all inclusive finance investments

For a majority of inclusive finance investments

For a minority of inclusive finance investments

23.2. Describe how your procedure to integrate the consideration of environmental issues in your investment decisions processes affect decisions pre-investment. [Optional]

23.3. Describe how your procedure to integrate the consideration of environmental issues in your investment decisions processes affect decisions post- investment. [Optional]

No

23.4. Indicate if you request your investees to comply with an environmental exclusion list.

Yes, for all investees

Yes, for a majority of investees

Yes, for a minority of investees

No

23.5. Additional information. [Optional]

IFD 24. Anti-corruption and whistle-blowing policies (Private)

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