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Fort Washington Investment Advisors, Inc

PRI reporting framework 2020

You are in Direct - Listed Equity Incorporation » ESG incorporation in actively managed listed equities » Implementation processes

Implementation processes

LEI 01. Percentage of each incorporation strategy

01.1. Indicate which ESG incorporation strategy and/or combination of strategies you apply to your actively managed listed equities; and the breakdown of your actively managed listed equities by strategy or combination of strategies.

ESG incorporation strategy (select all that apply)

Percentage of active listed equity to which the strategy is applied — you may estimate +/- 5%
70 %
Percentage of active listed equity to which the strategy is applied — you may estimate +/- 5%
30 %
Total actively managed listed equities 125%

01.2. Describe your organisation’s approach to ESG incorporation and the reasons for choosing the particular strategy/strategies.

Fort Washington employs integration for its Focused, Large Cap Focused, Small Company, International, Midstream and Enhanced Dividend Equity strategies, which represents the majority of the firm's third party equity assets.

With respect to those strategies, MSCI research is used to determine the security and strategy level ESG rating. Ratings and credit research are used throughout the selection and monitoring process. In the event of a CCC rating, the covering analyst is required write a memo explaining why the firm believes that investment is appropriate. These memos are reviewed by Portfolio Managers monthly and by the RI committee co-chairs quarterly. A summary is produced by the co-chairs and delivered in the quarterly RI and Risk Management Committee meetings.

While Fort Washington has been managing client assets with SRI overlays for over 20 years, 2017 was the first annual period with specific ESG policies and procedures based on UNPRI guidelines. As our ESG capabilities expand, we will evaluate additional screening, thematic and integration incorporation.

01.3. If assets are managed using a combination of ESG incorporation strategies, briefly describe how these combinations are used. [Optional]

LEI 02. Type of ESG information used in investment decision (Private)

LEI 03. Information from engagement and/or voting used in investment decision-making (Private)

(C) Implementation: Integration of ESG factors

LEI 08. Review ESG issues while researching companies/sectors

08.1. Indicate the proportion of actively managed listed equity portfolios where E, S and G factors are systematically researched as part of your investment analysis.

ESG issues

Proportion impacted by analysis




Corporate Governance

Corporate Governance

08.2. Additional information. [Optional]

ESG scores and research are used as supplementary tools in the research process but do not restrict the ability to invest. Portfolio and security ESG scores are monitored on a monthly basis and analysts are required to document and regularly update why a CCC rated security is an appropriate investment for the strategy.

LEI 09. Processes to ensure integration is based on robust analysis

09.1. Indicate which processes your organisation uses to ensure ESG integration is based on robust analysis.

          Investment team members, portfolio managers and the RI Committee co-chairs review all processes at least on an annual basis.

09.3. Indicate how frequently third party ESG ratings that inform your ESG integration strategy are updated.

09.4. Indicate how frequently you review internal research that builds your ESG integration strategy.

09.5. Describe how ESG information is held and used by your portfolio managers.

09.6. Additional information. [Optional]

MSCI updates their ratings at least twice per year.

LEI 10. Aspects of analysis ESG information is integrated into (Private)