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Service Providers Framework 2018

You are in Strategy and Governance » Responsible investment policy

Responsible investment policy

SG 01. Responsible investment policy

01.1. Describe how your organisation’s philosophy incorporates environmental, social and governance factors, and the link to your business offerings.

There is a clear link goven our focus on sustainable infrastructure and energy.  Our underlying interest in and acknowledgement of the importance of these factors drives the business. 

01.2. Indicate whether you have internal policies that formalise the incorporation of your beliefs in your business offerings.

01.5. Additional information [OPTIONAL]

SG 02. Publically available policies (Not Applicable)

SG 03. Norms used to develop policies (Not Applicable)

SG 04. Policy offerings to clients

04.1. Indicate whether you offer standard, off the shelf, policies to clients as part of your product offerings, and/or whether you create tailored versions for individual clients.

Off the shelf Tailored
Asset class-specific RI guidelines
Sector-specific RI guidelines
Screening/exclusions policy
Engagement policy
(Proxy) voting policy
RI guidelines set out within the Investment Policy Statement (IPS)
RI guidelines set out in a freestanding RI policy
Multi-year RI implementation project plan
Conflict of interest management policy
Stockbroker allocation policy
Securities lending policy
Other, please specify (1)
Other, please specify (2)
Other, please specify (3)
None of the above

04.2. Briefly describe how you incorporate ESG factors and RI-consideration when advising clients on policies.

Done primarily in relation to asset level acquisitions, how owners- whether industrial or financial - can and shoul integrate ESG considerations into all aspects of decision making.   Focused on infrastructure and real estate. 

04.3. Additional information. [OPTIONAL]

SG 05. ESG/RI in business offerings

05.1. Briefly describe how you include ESG/RI factors as part of your business offerings.

Business area

Advisory and Consultancy

How you include ESG/RI factors

It is less about integrating them per se and more about ensuring they are properly highlighted and focused on - this is because we have worked traditionally in sectors where the underlying assets, such as green infrastructure, are themselves well situated from for instance an environmental perspective.  Greater focus is on stakeholder management and long term asset ownership, on retaining the social license to operate and generally trying to ensure from a risk, as well an upside, perspective that the full range of ESG considerations form a central part of the analysis.   

05.2. Indicate the roles in your organisation, and indicate for each whether they have oversight and/or implementation responsibilities for ESG/RI.

Roles present in your organisation Oversight/accountability for RI Implementation of RI
Chief Executive Officer (CEO), Chief Financial Officer (CFO)
Other chief-level staff

Please specify


Please specify

Other heads of department

Please specify


Please specify

Dedicated ESG/RI staff
Other role, specify (1)

Please specify


Please specify

Other role, specify (2)

Please specify


Please specify

Other role, specify (3)

Please specify


Please specify

Other role, specify (4)

Please specify


Please specify

None of the above

05.3. Indicate how you ensure ESG/RI expertise for the roles where there are RI oversight/accountability or implementation responsibilities.

05.4. Indicate whether your organisation has any ESG/RI linked incentives for its employees.

05.6. Additional information [OPTIONAL]

SG 06. Outsourcing of services (Private)

SG 07. Providing training/education

07.1. Indicate whether you provide training/educational services on ESG/RI. Tick all that apply.

          Not formal training but as part of our work there is always an educational aspect

07.2. Describe the main components of your training/educational services on ESG/RI and any variations depending on the group you provide training/education to.

As per the above, it is largely about shining a light on the areas already in the business where ESG considerations exist but are not explicitly thought of as ESG, it is in working with people to get them to understand that is not a foreign or threatening new module but rather something intrinsic which is now getting the correct attention.  

07.3. Describe whether these training/educational services include any commercial elements.

          Not specifically

07.4. Additional information. [OPTIONAL]

SG 08. Applying, advancing and promoting the PRI principles

08.1. Describe how your organisation applies, advances and promotes the PRI Principles.

We are a small and specialised firm so our role as ambassadors for ESG is limited to our direct interaction with clients and counterparties, in addition to our involvement on the Infrastructure Advisory Committee.   We seek to apply the Principles across our business.

08.2. Highlight whether there are any ways that your organisation would like to engage further with the PRI. [OPTIONAL]

SG 09. Actions taken to promote responsible investment

9.1. Indicate which of the following actions your organisation has taken to promote responsible investments during the reporting year, independently of collaborative initiatives.

9.2. Additional information. [OPTIONAL]

SG 10. Long term trends

10.1. Indicate which of the following long-term trends are addressed in your product outputs.

10.2. Explain how this long-term trend affects your product outputs.

It is the core of our business given our focus on infrastructure, green energy and sustainability. 

10.2. Explain how this long-term trend affects your product outputs.

As above

10.2. Explain how this long-term trend affects your product outputs.

Also as above, especially on clean water and distributed energy

10.4. Additional information. [OPTIONAL]

SG 11. Interaction with asset owners

11.1. Indicate whether you interact with asset owner clients.

11.2. Indicate the typical frequency and type of interactions with your asset owner clients.

Type of interaction


11.3. Additional information. [OPTIONAL]

SG 12. Aligning approach with investor goals

12.1. Describe how you align your organisation’s philosophy on and approach to ESG/RI with investor goals.

As per the above, it is a central part of our underlying business so to a large extent they are already aligned 

12.2. Additional information. [OPTIONAL]

SG 13. ESG recommendations not aligned with investor goals

13.1. Describe what steps you take, if any, when your ESG recommendations are not in line with investor goals.

This has not been an issue but if it were to arise it would be a more fundamental issue

13.2. Additional information. [OPTIONAL]

SG 14. Seeking feedback from clients

14.1. Indicate whether you seek feedback from clients on your RI/ESG services and product offerings

14.2. Describe how you use this feedback in your RI/ESG services and product offerings.

To better refine, articulate and focus the work

14.4. Additional information. [OPTIONAL]

SG 15. Managing conflicts of interest

15.1. Indicate whether your organisation has a policy for managing potential conflicts of interest.

15.2. Describe how you manage potential conflicts of interest.

We do not have a formal policy but given our small size and familiarity with the issue from other contexts we have working procedures should this arise. 

15.3. Describe how you ensure that company employees do not derive any personal gain from the use of information collected during your work process.

Not relevant to our work per se, but it is personal ethics - should we expand and hire additional staff then we would put something in place

15.4. Additional information. [OPTIONAL]