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Swiss Re Ltd

PRI reporting framework 2020

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Organisational Overview
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] Asset class implementation not reported in other modules [SG 16 - 17] Innovation [SG 18] Communication [SG 19]
Indirect – Manager Selection, Appointment and Monitoring
Listed Equity and Fixed Income Strategies [SAM 01] Selection [SAM 02 - 03] Appointment [SAM 04] Monitoring [SAM 05 - 07] Outputs and outcomes [SAM 08 - 09]
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]
Direct – Private Equity
Overview [PE 01 - 02] Pre-investment (selection) [PE 05 - 08] Post-investment (monitoring) [PE 09 - 13] Outputs and outcomes [PE 14 - 15]
Direct - Property
Overview [PR 01] Pre-investment (selection) [PR 04 - 06] Selection, appointment and monitoring third-party property managers [PR 07] Post-investment (monitoring and active ownership) [PR 08 - 14] Overview [PR 08] Property monitoring and management [PR 09 - 10] Property developments and major renovations [PR 11] Occupier engagement [PR 12 - 13] Community engagement [PR 14] Outputs and outcomes [PR 15 - 16]
Confidence building measures
Confidence building measures [CM1 01 - 07]
Export Public Responses
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You are in Direct – Private Equity » Post-investment (monitoring)

Post-investment (monitoring)

PE 09. Proportion of companies monitored on their ESG performance

09.1. Indicate whether your organisation incorporates ESG issues in investment monitoring of portfolio companies.

09.2. Indicate the proportion of portfolio companies where your organisation included ESG performance in investment monitoring during the reporting year.

 (in terms of total number of portfolio companies)

09.3. Indicate ESG issues for which your organisation typically sets and monitors targets (KPIs or similar) and provide examples per issue.

ESG issues

List up to three example targets of social issues

Example 1 

          Potential for positive social impact such as improved and greater access to health care insurance, in particular, for women in less developed markets in Africa

Example 2 (optional) 

          Poverty alleviation, support for underprivileged and underserved communities via investments in companies which provide crowdfunding solutions

Example 3 (optional)

List up to three example targets of governance issues

Example 1 

          Active engagement with portfolio companies via Board seats to help advise and steer towards corporate governance improvements

Example 2 (optional) 

          Transparency and completeness of disclosure to the board and shareholders

Example 3 (optional)

09.4. Additional information. [Optional]

By value, we evaluate and/or monitor ESG issues on around 98% of our investments with a focus on our core portfolio positions. We have a significant number of small investments or investments which have been written off and which we actively try to exit. Consequently, we monitor ESG issues on around 70% of our portfolio companies by number but around 98% by value.

PE 10. Proportion of portfolio companies with sustainability policy

10.1. Indicate if your organisation tracks the proportion of your portfolio companies that have an ESG/sustainability-related policy (or similar guidelines).

10.2. Indicate what percentage of your portfolio companies has an ESG/sustainability policy (or similar guidelines).

(in terms of total number of portfolio companies)

10.3. Additional information. [Optional]

By value, around 98% of our portfolio companies have an ESG/ sustainability policy.

We have a large number of small investments or investments which have been written off and which we are actively trying to exit. Consequently, about 75% of our portfolio companies by number have an ESG/ sustainability-related policy, but around 98% of our portfolio companies by value have such a policy.

PE 11. Actions taken by portfolio companies to incorporate ESG issues into operations (Private)

PE 12. Type and frequency of reports received from portfolio companies

12.1. Indicate the type and frequency of reports you request and/or receive from portfolio companies covering ESG issues.

Type of reporting 

Typical reporting frequency 

12.2. Describe what level of reporting you require from portfolio companies, and indicate what percentage of your assets are covered by ESG reporting.[OPTIONAL]

Typically reporting is quarterly. For some small or run-off investments, the frequency is semi-annual.

PE 13. Disclosure of ESG issues in pre-exit

13.1. Indicate whether during the reporting year your organisation disclosed information on ESG issues to potential buyers prior to exit for private equity investments.

13.2. Apart from disclosure, describe how your organisation considers ESG issues at exit.

Examples of ESG issues which would be considered include but are not limited to regulatory issues and/or impact on customers and employees (Social); indemnifications, earn-outs, competitive restrictions (Governance).

13.3. Additional information.

ESG issues could cause us to take the decision to exit an investment. ESG issues have caused us to discard potential investments during the due diligence phase of the investment process.
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