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Fort Washington Investment Advisors, Inc

PRI reporting framework 2020

You are in Indirect – Manager Selection, Appointment and Monitoring » Monitoring

Monitoring

SAM 05. Monitoring processes (listed equity/fixed income)

05.1. When monitoring managers, indicate which of the following types of responsible investment information your organisation typically reviews and evaluates

ESG objectives linked to investment strategy (with examples)

Evidence on how the ESG incorporation strategy(ies) affected the investment decisions and financial / ESG performance of the portfolio/fund

Compliance with investment restrictions and any controversial investment decisions

ESG portfolio characteristics

How ESG materiality has been evaluated by the manager in the monitored period

Information on any ESG incidents

Metrics on the real economy influence of the investments

PRI Transparency Reports

PRI Assessment Reports

RI-promotion and engagement with the industry to enhance RI implementation

Changes to the oversight and responsibilities of ESG implementation

Other general RI considerations in investment management agreements; specify

None of the above

Private equity
ESG objectives linked to investment strategy (with examples)
Evidence on how the ESG incorporation strategy(ies) affected the investment decisions and financial / ESG performance of the portfolio/fund
Compliance with investment restrictions and any controversial investment decisions
ESG portfolio characteristics
How ESG materiality has been evaluated by the manager in the monitored period
Information on any ESG incidents
Metrics on the real economy influence of the investments
PRI Transparency Reports
PRI Assessment Reports
RI-promotion and engagement with the industry to enhance RI implementation
Changes to the oversight and responsibilities of ESG implementation
Other general RI considerations in investment management agreements; specify
None of the above

05.2. When monitoring external managers, does your organisation set any of the following to measure compliance/progress

ESG score or assessment

ESG weight

ESG performance minimum threshold

Real world economy targets

Other RI considerations

None of the above

Private equity
ESG score
ESG weight
ESG performance minimum threshold
Real world economy targets
Other RI considerations
None of the above

If you select any `Other` option(s), specify

Fort Washington Capital Partners monitors its existing fund relationships on an ongoing basis through reading quarterly reports and periodic manager updates and through regular in-person and telephone updates. This monitoring includes an assessment of a GP’s compliance with its investment/portfolio goals and restrictions as stated in the LPA and/or as discussed with the Fort Washington investment team.

05.3. Provide additional information relevant to your organisation`s monitoring processes of external managers. [OPTIONAL]

          Fort Washington Capital Partners has designed a questionnaire as part of its ESG monitoring process that it requires its existing managers to fill out. This survey addresses, among others items, issues of diversity of the General Partner’s team, portfolio company management and advisory boards, their focus on talent management and training, their community engagement, cybersecurity and safety practices, portfolio company engagement, and practices at both the General Partner and portfolio companies that minimize environmental impact. As part of our ESG monitoring practice, Fort Washington conducts phone interviews with managers to discuss the survey and any relevant ESG initiatives. Fort Washington also asks its managers to provide a copy of their ESG policy, including updates. Fort Washington also uses Annual Meetings and Limited Partner Advisory Committees as opportunities to get ESG-related updates, share industry best practices, and provide feedback to the General Partners. If there is an ESG-related incident at a GP or a portfolio company, Fort Washington seeks timely notification and will provide input / recommended remediation.
        

SAM 06. Monitoring on active ownership (listed equity/fixed income) (Not Applicable)


SAM 07. Percentage of (proxy) votes (Not Applicable)


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