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Baillie Gifford

PRI reporting framework 2020

You are in Direct - Listed Equity Incorporation » ESG incorporation in actively managed listed equities » Implementation processes » (A) Implementation: Screening

A) 実施:スクリーニング

LEI 04. Types of screening applied

04.1. 組織内でアクティブ運用している上場株式に適用するスクリーニングの種類を記載し、説明してください。




Screened strategies are driven by both client specific restrictions on segregated mandates and fund level restrictions on a number of internally managed funds. Client specific restrictions are driven from client requirements and include provisions in their investment mandate that preclude us from investing in certain sectors due to social or ethical considerations including alcohol, armaments, gambling, adult content and tobacco.

We generally do not exclude on the basis of industry, but instead incorporate material issues into the investment research and analysis. We are ultimately looking for sustainable long-term sustainable growth and therefore these issues do matter both from a positive and negative perspective.

There are a number of investment strategies that run an ethical pooled vehicle with pre-determined screens alongside the primary investment strategy. Screens applied to these strategies include norms based screens and revenue based business activity screens.

When screening applies, data from an external research provider is used to screen companies’ performance relative to various ESG factors



UN Global Compact Principles are used in the screening criteria of a number of our screened strategies. 

04.2. スクリーニング基準が変更された場合に顧客や受益者に通知する方法について説明してください。

Screening criteria determined by our clients is based on ever-evolving ESG norms and expectations. As such they are involved in any decision to review and change the criteria.

For screened portfolios, any changes are communicated through updates to the prospectus and relevant documentation which is provided to the clients.  

LEI 05. Processes to ensure screening is based on robust analysis

05.1. スクリーニングが徹底した分析に基づいていることを確実にするために、組織が使用しているプロセスを選択してください。

05.2. ESGスクリーニング戦略の一環で包括的なESG調査の対象となるアクティブ上場株式ポートフォリオの割合を示してください。

05.3. 第三者のESG評価がスクリーニング目的で更新される頻度を示してください。

05.5. 補足情報 [任意]

LEI 06. Processes to ensure fund criteria are not breached (Private)