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Fort Washington Investment Advisors, Inc

PRI reporting framework 2020

You are in Organisational Overview » Asset class implementation gateway indicators

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.

Listed equity – engagement

Listed equity – voting

10.3. Indicate why you do not cast your votes

Fort Washington votes proxies for most of our clients but we do not vote based on ESG factors.

Fixed income SSA – engagement

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

          At this time, we do not engage fixed income issuers directly on ESG factors. Our low ownership does not allow for direct engagement.
        

Fixed income Corporate (financial) – engagement

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

          At this time, we do not engage fixed income issuers directly on ESG factors. Our low ownership does not allow for direct engagement.
        

Fixed income Corporate (non-financial) – engagement

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

          At this time, we do not engage fixed income issuers directly on ESG factors. Our low ownership does not allow for direct engagement.
        

Fixed income Corporate (securitised) – engagement

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

          At this time, we do not engage fixed income issuers directly on ESG factors. Our low ownership does not allow for direct engagement.
        

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).

Listed equity

Fixed income - SSA

Fixed income - corporate (financial)

Fixed income - corporate (non-financial)

Fixed income - securitised

Cash

Select the externally managed assets classes in which you and/or your investment consultants address ESG incorporation in your external manager selection, appointment and/or monitoring processes.
Asset class
ESG incorporation addressed in your external manager selection, appointment and/or monitoring processes
Listed equity

Listed equity - ESG incorporation addressed in your external manager selection, appointment and/or monitoring processes

Fixed income - SSA

Fixed income - SSA - ESG incorporation addressed in your external manager selection, appointment and/or monitoring processes

Fixed income - corporate (financial)

Fixed income - corporate (financial) - ESG incorporation addressed in your external manager selection, appointment and/or monitoring processes

Fixed income - corporate (non-financial)

Fixed income - corporate (non-financial) - ESG incorporation addressed in your external manager selection, appointment and/or monitoring processes

Fixed income - securitised

Fixed income - securitised - ESG incorporation addressed in your external manager selection, appointment and/or monitoring processes

Private equity

Private equity - ESG incorporation addressed in your external manager selection, appointment and/or monitoring processes

11.4. Provide a brief description of how your organisation includes responsible investment considerations in your investment manager selection, appointment and monitoring processes.

Fort Washington has three business lines which have different security/manager selection processes. They are described below:

Institutional & Private Client Group: Fort Washington's Due Diligence Committee selects and monitors all mutual fund investments. This group is comprised of senior leadership and asset class experts that examine data, interview portfolio managers, and manage selection criteria. These interviews include wide ranging discussions on how the strategy measures and incorporates responsible investing into their approach.

Private Equity: Effective in 2017, Fort Washington Capital Partners integrates ESG questions as part of the due diligence process when selecting new funds. Specific questions are as follows:

  • Does your firm have an ESG policy (or equivalent CSR/SRI policy)? If so, what is your ESG-related policy?
  • Is your firm a signatory to the United Nations Principles for Responsible Investing (UNPRI)?
  • How do you identify and manage material ESG-related risks?  Do ESG factors influence your investment decisions?
  • How do you contribute to portfolio companies’ management of ESG-related risks and opportunities?

These questions are typically delivered in the form of a written questionnaire but are also discussed as part of due diligence calls or in-person meetings.

In addition, starting in 2019, Fort Washington Capital Partners conducts an ESG survey of its existing managers as part of ongoing monitoring. The survey consists of questions at the General Partner level and at portfolio company level. GP-level questions address team diversity and professional development, community engagement, and environmental thoughtfulness. Portfolio company questions are divided into several sections, including:

  • Human Resources, Health and Safety
  • Governance, Diversity and Inclusion
  • Community Impact
  • Environmental considerations, impact, and measures to reduce footprint

 


OO 12. Modules and sections required to complete

12.1. Below are all applicable modules or sections you may report on. Those which are mandatory to report (asset classes representing 10% or more of your AUM) are already ticked and read-only. Those which are voluntary to report on can be opted into by ticking the box.

Core modules

RI implementation directly or via service providers

Direct - Listed Equity incorporation

Direct - Listed Equity active ownership

Direct - Fixed Income

RI implementation via external managers

Indirect - Selection, Appointment and Monitoring of External Managers

Closing module

12.2. Additional information. [Optional]


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