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Goodman & Co Investment Counsel / Dundee Goodman Merchant Partners

PRI reporting framework 2020

You are in Direct - Listed Equity Incorporation » ESG incorporation in actively managed listed equities » Implementation processes » (A) Implementation: Screening

A) 実施:スクリーニング

LEI 04. Types of screening applied

04.1. 組織内でアクティブ運用している上場株式に適用するスクリーニングの種類を記載し、説明してください。




Negative ESG screening outcomes occur when;

  • The primary product for the company or project is thermal coal 
  • Sovereign risk to a key operating location is high and cannot be mitigated 
  • Social license has been ignored or lost and ongoing risk cannot be mitigated quickly enough to recover value 
  • There is no EITI coverage in a key jurisdiction and a transparency risk exists 
  • Extreme environmental risk, legacy risk, or closure risk will likely negatively affect value over medium and long term 
  • Poor governance and lack of transparency does not allow for adequate diligence processes



We do not broadly apply positive screening outcomes but prefer to move from negative outcomes and into a detailed screening and diligence process focussing on corporations and projects.

Company/project specific Positive ESG screening outcomes occur when

  • there are no significant ESG risks discovered during diligence
  • our modelling shows that there is unrecognized value

Positive ESG screening outcomes but where issues are flagged for risk assessment and mitigation planning is where DGMP can create value using the DGMP business paradigm/value proposition and active management of our investment, i.e.;

  • we are a team of professionals with operating and governance experience across the full range of sector risks and disciplines
  • we can quantify ESG risk in this sector and develop mitigation strategies and programs
  • this allows us to see and realize value that other investors don't see or cannot leverage




          As outlined below


Minimum requirement is full compliance with:

  • Local law, regulation, and direction by agencies and competent/legal authorities
  • Permit conditions
  • Relevant international, Canadian and US law (for example related to transparency and corruption)

We will require, as appropriate for the jurisdiction and circumstances, substantial compliance (or an agreed compliance timetable) by investee business with one or more internationally recognized standards or conduct codes such as

  • The IFC performance standards
  • ICMM codes and standards
  • UN Global Compact
  • PMI standards for governance of project management

We will require a best practice approach to the generally accepted definitions of social license, corporate citizenship, social responsibility, human rights, environmental stewardship and sustainability 

We expect best practice governance systems and controls, corporate transparency, and properly organized hierarchical systems allowing controls to cascade into the management of the business or operation


04.2. スクリーニング基準が変更された場合に顧客や受益者に通知する方法について説明してください。

Any significant change would be outlined on our website.

LEI 05. Processes to ensure screening is based on robust analysis

05.1. スクリーニングが徹底した分析に基づいていることを確実にするために、組織が使用しているプロセスを選択してください。

05.2. ESGスクリーニング戦略の一環で包括的なESG調査の対象となるアクティブ上場株式ポートフォリオの割合を示してください。

05.5. 補足情報 [任意]

LEI 06. Processes to ensure fund criteria are not breached (Private)