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City of Chicago (City Treasurer's Office)

PRI reporting framework 2020

Basic information [OO 01 - 09] Peering questions [OO LE 01 - HF 01]

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 - 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] Outputs and outcomes [FI 17 - 18]

Confidence building measures

Confidence building measures [CM1 01 - 07]

Export Public Responses

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Asset class implementation gateway indicators

OO 10. Active ownership practices for listed assets

10.1. Select the active ownership activities your organisation implemented in the reporting year.

Fixed income SSA – engagement

We engage with SSA bond issuers on ESG factors via our staff, collaborations or service providers.

We do not engage directly and do not require external managers to engage with SSA bond issuers on ESG factors. Please explain why you do not.

Please explain why you do not engage directly and do not require external managers to engage with companies on ESG factors.

          The Office of the City Treasurer does not have a formal program to directly engage SSAs. However, the Office of the City Treasurer engages in phone calls with issuers periodically regarding ESG related metrics. Additionally, the investment staff attends conferences annually such as GIOA where we engage with issuers. In 2019, the investment staff had the opportunity to meet with SSA issuers as well as US Government Agencies.

Fixed income Corporate (financial) – engagement

We engage with companies on ESG factors via our staff, collaborations or service providers.

We do not engage directly and do not require external managers to engage with companies on ESG factors. Please explain why you do not.

Please explain why you do not engage directly and do not require external managers to engage with companies on ESG factors.

          The Office of the City Treasurer does not have a formal program to directly engage Corporate (Financial) Boards/Leadership. However, the Office of the City Treasurer engages in phone calls with issuers periodically regarding ESG related metrics. Additionally, the investment staff does engage with corporate issuers at Host Regional Roadshows and through Investor Conference Calls periodically.

Fixed income Corporate (non-financial) – engagement

We engage with companies on ESG factors via our staff, collaborations or service providers.

We do not engage directly and do not require external managers to engage with companies on ESG factors. Please explain why you do not.

Please explain why you do not engage directly and do not require external managers to engage with companies on ESG factors.

          The Office of the City Treasurer does not have a formal program to directly engage Corporate (Non-Financial) Boards/Leadership. However, the Office of the City Treasurer engages in phone calls with issuers periodically regarding ESG related metrics. Additionally, the investment staff does engage with corporate issuers at Host Regional Roadshows and through Investor Conference Calls periodically.

Fixed income Corporate (securitised) – engagement

We engage with companies on ESG factors via our staff, collaborations or service providers.

We do not engage directly and do not require external managers to engage with companies on ESG factors. Please explain why you do not.

Please explain why you do not engage directly and do not require external managers to engage with companies on ESG factors.

          The Office of the City Treasurer does not have a formal program to directly engage securitised issuers. However, the Office of the City Treasurer engages in phone calls with issuers periodically regarding ESG related metrics. Additionally, the investment staff does engage with corporate issuers at Host Regional Roadshows and through Investor Conference Calls periodically.

OO 11. ESG incorporation practices for all assets

11.1. Select the internally managed asset classes in which you addressed ESG incorporation into your investment decisions and/or your active ownership practices (during the reporting year).