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Panarchy Partners

PRI reporting framework 2020

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] 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] (B) Implementation: Thematic [LEI 07] (C) Implementation: Integration of ESG factors [LEI 08 - 10] 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]

Confidence building measures

Confidence building measures [CM1 01 - 07]

Export Public Responses

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

(A) Implementation: Screening

LEI 04. Types of screening applied

04.1. Indicate and describe the type of screening you apply to your internally managed active listed equities.

Type of screening

Negative/exclusionary screening

Screened by

Product

Activity

Sector

Country/geographic region

Environmental and social practices and performance

Corporate governance

Description

We exclude Gambling, Tobacco, Pornography and Weapons as sectors.

We exclude companies that have sub par governance.

We exclude sectors that we believe are unsustainable in terms of fundamentals.

Positive/best-in-class screening

Screened by

Product

Activity

Sector

Country/geographic region

Environmental and social practices and performance

Corporate governance

Description

Our governance analysis and resilience analysis covers the corporate governance topics of companies, and the environmental/social performance topics for portfolio companies. We only invest in companies that have identified material issues around all forms of capital, set targets around material issues (which includes environmental, social and human capital) and then deliver on those targets. This process is called resilience analysis with our proprietary scores. We need to see incremental improvement in resilience scores for a company to be considered for our portfolio.

Norms-based screening

04.2. Describe how you notify clients and/or beneficiaries when changes are made to your screening criteria.

Our panvesting process will not change as we have affirmed this process with our clients and beneficiaries.

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

05.1. Indicate which processes your organisation uses to ensure ESG screening is based on robust analysis.

Comprehensive ESG research is undertaken or sourced to determine companies’ activities and products.

Companies are given the opportunity by you or your research provider to review ESG research on them and correct inaccuracies.

External research and data used to identify companies to be excluded/included is subject to internal audit by ESG/RI staff, the internal audit function or similar.

Third-party ESG ratings are updated regularly to ensure that portfolio holdings comply with fund policies.

Trading platforms blocking / restricting flagged securities on the black list.

A committee, body or similar with representatives independent of the individuals who conduct company research reviews some or all screening decisions.

A periodic review of internal research is carried out.

Review and evaluation of external research providers.

Other; specify

None of the above

05.2. Indicate the proportion of your actively managed listed equity portfolio that is subject to comprehensive ESG research as part your ESG screening strategy.

<10%

10-50%

51-90%

>90%

05.5. Additional information. [Optional]

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

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