| SHARE Responsible Investment Toolkit |
Jun-05 |
19 |
SHARE has compiled links to background information and real world examples of pension plans and endowments using responsible investment practices. SHARE’s comprehensive four-step implementation process (Educate, Establish RI Policy, Implement, Monitor & Review) helps organizations incorporate responsible investment practices into their overall asset management. |
link |
RI Implementation; Legal and Fiduciary Requirements |
| SHARE Responsible Investment Toolkit |
. |
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SHARE has compiled links to background information and real world examples of pension plans and endowments using responsible investment practices. |
link |
General RI Resources |
| SHARE Model Proxy-Voting Guidelines |
Jul-05 |
49 |
This comprehensive document presents a set of responsible voting policies that set a high standard investors can use when they vote on proposals made by management and shareholders. The Guidelines spell out the factors that long-term investors should consider when they evaluate the acceptability of company auditors and director nominees, as well as what they expect from boards regarding executive pay and a host of other issues. |
link |
Proxy-Voting; Active Share Ownership; Corporate Engagement |
| Self-Assessment Tool For Pension Fund Trustees – Appendix B |
Jul-02 |
1 |
A questionnaire developed for UK pension funds following discussions with the UK’s National Association of Pension Funds of what tool might help pension fund trustees to fulfil their duties. It provides a self-assessment for trustees to determine whether social, environmental and ethical (SEE) matters have been considered sufficiently to meet the demands of the UK's Pension Act (1995). |
link |
Critical-Assessment; Legal and Fiduciary Requirements |
| Just Pensions | Do UK Pension Funds Invest Responsibly? |
Jul-02 |
16 |
This survey examines the way in which pension funds have implemented the year 2000 amendment to the 1995 Pensions Act, which required all occupational pension funds to disclose the extent to which they take into account ethical, social and environmental considerations. A number of best practices are discussed. |
link |
Best Practices; Benchmarking RI Practices |
| How to Incorporate Active Trustee Practices into Pension Plan Investment Policies |
Jun-05 |
68 |
This resource guide for pension trustees and other fiduciaries produced by SHARE covers the basic tenets of responsible investment. Of particular note: It includes specific, sample language for incorporating active ownership into a Statement of Investment Policis and Procedures (SIPP). |
link |
Active Share Ownership; Proxy-Voting; Legal and Fiduciary Requirements; Language of RI |
| FairPensions Responsible Investment Trustee Best Practice |
|
4 |
This is a four-page document from U.K.-based FairPensions that clearly lays out the best practices in responsible investing policy development and resourcing, shareholder engagement, as well as disclosure and transparency. |
link |
Best Practices; RI Implementation; RI Policy |
| UN Principles for Resonsible Investment |
Jun-05 |
12 |
The United Nations Principles for Responsible Investment provide a framework to assist investors in considering environmental, social and corporate governance (ESG) issues in their investment decisions. |
link |
Collaborative Frameworks; UN PRI |
| Sample Responsible Investment Policies |
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SHARE has compiled a list of outstanding responsible investment policies. |
link |
RI Policy; Best Practices |
| bcIMC Shareholder Engagement Guidelines & Priorities |
Jun-05 |
9 |
The British Columbia Investment Management Corporation’s nine-page document outlines their guidelines regarding engagement activities. It is a good example of how a company creates a common understanding of when and how it addresses corporate governance and corporate responsibility issues in clients’ funds. |
link |
RI Policy; Corporate Engagement; Best Practices |
| LAPFF Trustee Guide - Delegating Shareholder Engagement: Holding Fund Managers to Account |
Oct-06 |
19 |
This guide aims to assist trustees in the assessment of their fund managers’ engagement strategies, policies and activities by setting out assessment criteria for all aspects of delegated shareholder engagement. It gives trustees an insight into the relevant issues for each aspect, and sets out pertinent questions to ask their fund managers (or themselves), offering specific guidance on how to become an active shareholder. |
link |
Active Share Ownership; Corporate Engagement; Critical-Assessment; RI Policy |
| UKSIF Free Online Training Course for Financial Advisers |
|
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For advisers wishing to deepen their knowledge of green and ethical investing: Structured around a 5-step advice process, the course looks at green and ethical issues that may be of interest to clients, risk and performance aspects, and the range of approaches adopted by fund managers. |
link |
RI Policy; RI Implementation; Active Share Ownership; Online Course |
| UKSIF Personal Ethical Profile Fact Find |
|
4 |
A fact find is a useful tool to capture clients' views and concerns so that financial advisers can understand what issues are of concern to them and match them with the best possible investment portfolio. These examples may help you build your own questions: |
link |
Critical-Assessment; Ethical Preferences of Client; SRI Fund Selection |
| Synaptic's Fund Manager |
|
|
Users of Synaptic's Fund Manager [paid service] can search for funds that satisfy their client's ethical views. |
link |
Ethical Preferences of Client; SRI Fund Selection |
| SRI Funds Service |
|
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The ‘SRI Funds Service’ is the only free information tool to combine performance and risk measures of the European SRI fund universe with basic information regarding SRI Fund Selection criteria. The fund’s financial information is sourced from Morningstar Europe, a leading provider of fund performance and risk data. The financial data is updated on a daily basis. |
link |
SRI Fund Selection |
| Proxy Information |
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Reliable, factual information to shareholders on the merits of selected corporate accountability shareholder resolutions to help shareholders reach their voting decisions. |
link |
Proxy-Voting |
| The Institutional Investors Croup on Climate Change |
|
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The Institutional Investors Group on Climate Change (IIGCC) is a forum for collaboration between pension funds and other institutional investors on issues related to climate change. |
link |
Collaborative Frameworks; Climate Change |
| A climate for change: A trustee’s guide to understanding and addressing climate risk |
Aug-05 |
36 |
This guide includes a trustee toolkit useful for addressing climate risk in the context of your fund. This toolkit provides you with: Questions to ask to determine whether you are currently addressing climate change risks; and direct actions you can take in relation to those risks. |
link |
Environmental Issues; Critical-Assessment; Legal and Fiduciary Requirements; Climate Change |
| A Changing Climate for Property Investments: A Trustee’s Guide |
Jun-05 |
23 |
This report lists what steps trustees can take to ensure that their investment managers and consultants are fully integrating climate change considerations into their investment processes and advice. |
link |
Environmental Issues; Real Estate; Critical-Assessment; RI Policy; Climate Change |
| ICGN Statement and Guidance on Anti-Corruption Practices |
Mar-09 |
12 |
Provides initial guidance for investors regarding the integration of anti-corruption practices as part of their standard review of the corporate governance of companies in which they invest. The guidance also aims to provide clear standards which companies may feel it appropriate to adopt and report against. |
link |
Corporate Governance Issues |
| Mutual Fund Social Screen Tool |
|
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The Mutual Fund Social Screen Tool allows you to see whether your current mutual fund is investing in companies that are in conflict with your values. |
link |
SRI Fund Selection |
| UNEP FI Human Rights Guidance Tool for the Finance Sector |
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This online signposting tool provides information to lenders on human rights risks. Included in the tool you will find: background information; specific issues relating to different industry sectors ; key questions to assist in impact assessment ; relevant international laws, standards and initiatives. This toolkit provides a framework for lending managers to: identify potential human rights risk in lending/investing; assess the materiality of the risk; and, identify possible risk mitigants. |
link |
Human Rights Issues; RI Policy; Legal Compliance; Social Issues; Sector Specific Content; Risk Management |
| Environmental & Social Responsibility Observatory |
|
|
ESRO is an online database of real-world stories about how UNEP FI Signatories and other financial institutions are: dealing with environmental and social risk in their lending and investment operations; successfully managing to align financial and sustainability performance by channeling funds into activities that have a net positive impact on the environment, society and their own bottom line. |
link |
Environmental Issues; Social Issues; Case Studies; RI Policy; Risk Management |
| EUROSIF Pension Programme SRI Toolkit |
2004-05 |
39 |
This toolkit is designed to help interested pension fund trustees understand how to make Socially Responsible Investments (SRI) an integrated part of institutional fund portfolios. Based on research conducted in ten European countries during 2004, this toolkit aims to present the reader with a framework to better understand fiduciary risk, decision making criteria and potential strategies. |
link |
Legal and Fiduciary Requirements; RI Policy; RI Implementation |
| The Ethical Funds Company Focus List |
|
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The Ethical Funds Company is committed to shareholder engagement as an important part of effecting change in major corporations. Their annual focus list provides the foundation for engagement and is a model to follow for institutional investors. It targets those companies which either lag their peers in specific areas or are strategically positioned to help "raise the bar" for all companies in their peer group. |
link |
Corporate Engagement; Active Share Ownership; Focus List |
| Global Framework for Climate Risk Disclosure |
Oct-06 |
10 |
This document prepared by CalSTRS sets to promote proper environmental reporting among investee companies. It suggests a basic framework for a company’s disclosure of its business risks and opportunities resulting from climate change, as well as the company’s efforts to address those risks and opportunities. It encourages standardized climate risk disclosure to make it easy for investors to analyze and compare companies. A good model to follow. |
link |
Reporting; Climate Change |
| Ceres Climate Change Governance Checklist |
Mar-06 |
300 |
This 14-point Checklist is a tool that can assist companies in the application of the Global Framework for Climate Risk Disclosure. |
link |
Environmental Issues; Climate Change; Benchmarking; Risk Management |
| Global Reporting Initiative Sustainability Reporting Guidelines |
Oct-06 |
45 |
The Framework is intended to serve as a generally accepted framework for reporting on an organization’s economic, environmental, and social performance. It takes into account the practical considerations faced by a diverse range of organizations – from small enterprises to those with extensive and geographically dispersed operations. It contains general and sector-specific content that is generally applicable for reporting an organization’s sustainability performance. |
link |
Reporting; Sector Specific Content |
| Global Sullivan Principles of Social Responsibility |
|
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This voluntary code of conduct seeks to enhance human rights, social justice, protection of the environment and economic opportunity for all workers, in all industries, in all nations. The Principles were designed to be adopted on a voluntary basis, by all types of organizations around the globe, with the spirit of exchanging ideas so that society as a whole can benefit. |
link |
Human Rights Issues; Codes of Conduct |
| United Nations Global Compact |
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The Global Compact is a leadership platform, endorsed by Chief Executive Officers, and offering a unique strategic platform for participants to advance their commitments to sustainability and corporate citizenship. It is a policy framework for the development, implementation, and disclosure of sustainability principles and practices. Participants are offered a set of tools designed to help advance sustainable business models and markets in a way that builds a more sustainable and inclusive global economy. |
link |
Collaborative Frameworks; Human Rights Issues; Environmental Issues; Codes of Conduct |
| International Corporate Governance Network Corporate Governance Principles |
Jul-05 |
10 |
These Principles represent an evolving framework for accountable corporate governance to be applied to engagement with companies based outside of the United States. |
link |
Collaborative Frameworks; Corporate Governance Issues |
| SIO Shareholder Advocacy Handbook |
Jun-05 |
72 |
Produced with financial assistance from the Atkinson Foundation, the Handbook is a complete guide for investors who want to use their influence to promote the disclosure or the improved social and environmental performance of companies. The Handbook explains the processes involved in developing proxy voting guidelines, corporate dialogue, shareholder proposals and divestment. |
link |
Active Share Ownership; Corporate Engagement; Proxy-Voting; Reporting |
| GRI Reaching Investors: Communicating Value through ESG Disclosures |
Jan-09 |
21 |
This document is designed for those seeking to reach investors with their disclosures on ESG. It provides insights and ideas for the preparation of investor oriented communications. |
link |
Reporting |
| The Stakeholder Engagement Manual |
Jun-06 |
244 |
This Manual offers a remarkably thorough discussion of stakeholder engagement. It is comprised of two main documents: Volume 1, The Guide to Practitioners' Perspectives on Stakeholder Engagment, and Volume 2, The Practitioners' Handbook on Stakeholder Engagement. Together they provide guidance to especially corporate, but also non-corporate, users on how to practice effective stakeholder engagement. Volume 2 contains tools and templates for managing engagement. A toolkit of templates for practical use is also available. |
link |
Corporate Engagement |
| Rockefeller Philanthropy Advisors & As You Sow Foundation | “Unlocking the Power of the Proxy” |
Jan-04 |
64 |
This publication is designed to help the Boards and staffs of private foundations create a process to link programmatic mission with investment strategy. It is also useful to a much broader audience. |
link |
Corporate Engagement; Proxy-Voting; RI Policy; Foundations; Mission-based Investing |
| Fiduciary Guide to Toxic Chemical Risk |
Mar-07 |
64 |
This Guide examines the financial dimensions of toxic chemical risk in consumer products, corporate supply chains, and in many investors' portfolios and explores how these risks may be quantified. It offers fiduciaries a policy framework to evaluate these threats to shareholder value and assess emerging market opportunities as cleaner alternatives become commercialized. The paper also profiles the growing wave of shareholder concern about toxics, and provides fiduciaries with a comprehensive set of action steps to manage toxic risk exposure. |
link |
Environmental Issues; Legal and Fiduciary Requirements; Critical-Assessment; Active Share Ownership; Risk Management |
| NEF Guide to Social Return on Investment |
Apr-09 |
55 |
This guide shows organisations and institutions how to make better decisions using Social Return on Investment (SROI) principles, helping them to recognise value beyond what can be easily captured by financial measurement. |
link |
Social ROI |
| Mutual Fund Performance Charts |
|
|
A public tool that compares funds based on factors such as screening, performance, and proxy voting policies. |
link |
SRI Fund Selection |
| Boston College Center for Corporate Citizenship Handbook on Responsible Investment Across Asset Classes |
Nov-07 |
104 |
Written for asset owners, money managers, consultants, and others seeking to institutionalize responsible investment principles across portfolios, the Handbook helps investors: incorporate responsible investment methods into their investment mandate; identify and evaluate opportunities for responsible investment, and; coordinate the vocabulary and metrics used to measure social and environmental outcomes. |
link |
RI Policy |
| SIF Community Investing Toolkit for the Faith Community |
|
31 |
The faith-based toolkit is an introductory guide to community investing featuring quick and efficient ways for faith-based investors to get involved in community investing. |
link |
Community Investing; Faith-based Investing |
| Resource guide for plan sponsors: Adding a socially responsible investment option to your DC plan |
Jun-07 |
16 |
This step-by-step guide assists plan sponsors considering the addition of a socially responsible investment (SRI) option to their defined contribution (DC) retirement plan. |
link |
RI Implementation; Defined Contribution |
| EUROSIF Active Share Ownership in Europe |
Jan-06 |
36 |
This handbook aims to help all institutional investors, especially pension funds, better manage their ESG risks across Europe and to assist institutional investors in better executing their active share ownership agendas. It has been created to answer many of the questions raised by institutional investors, while also giving the general reader an overview of the issue with respect to the current situation in Europe. It will |
link |
Environmental Issues; Social Issues; Corporate Governance Issues; Active Share Ownership; Risk Management |
| Green America's Guide to Socially Responsible |
|
|
This guide helps make socially responsible saving and investing easier. It includes a US directory of socially responsible investing services and professionals and a variety of tips and resources. |
link |
SRI Fund Selection |
| Integrating Environmental, Social, and Governance Issues into Institutional Investment: A Handbook for Colleges and Universities |
Nov-05 |
52 |
The Handbook provides examples of best practices from leading academic institutions around four ESG investing strategies: shareholder advocacy, community investing, positive and negative social screening, and divestment. |
link |
Colleges and Universities; Best Practices; RI Policy; RI Implementation |
| The Handbook on Climate-Related Investing across Asset Classes |
|
60 |
This short handbook takes as its premise that a climate lens reveals risks and opportunities across all elements of an investor’s portfolio: Every asset class offers investors an opportunity to pursue climate-friendly investments, to mitigate exposure to climate risk, and to engage stakeholders to improve climate-related performance across the range of investment opportunities. |
link |
Risk Management; Environmental Issues |
| Equity Trust Student Handbook on Community Investment by Colleges and Universities |
Circa 2003 |
26 |
Students at dozens of campuses across the United-States launched campaigns to get their schools to adopt socially SRI policies that establish social and environmental criteria – in addition to existing financial criteria – to guide investment decisions. The purpose of this guide is to share the experiences of these student-led campaigns and to provide some basic information about the theory and practice of community investment, with the hope of encouraging other students to undertake community investment initiatives at their schools. |
link |
Colleges and Universities; Case Studies; SRI Activism |
| What Is A Shareholder Resolution? Step-by-Step |
|
|
This online guide by the Northwest Corporate Accountability Project the Shareholder Resolution guide includes the following topics: What is a Shareholder Resolution?; What are the regulations that govern Shareholder Resolutions?; What are the basic Shareholder Resolution steps?; What are the thirteen reasons Corporations can use to ignore your Shareholder Resolution?; and the very handy SEC Shareholder Resolution Checklist. |
link |
Shareholder Resolutions |
| Step by Step Guide to Filing a Shareowner Resolution |
|
|
This is a useful ten step Guide to filing shareholder resolutions. |
link |
Shareholder Resolutions |
| CalSTRS Executive Compensation Model Policy Guidelines |
Apr-09 |
8 |
CalSTRS provides these Guidelines to help communicate to companies shareowners’ minimum expectations for their governance policy. The Guidelines provide the key elements of an executive compensation policy, as well as the goals and objectives companies should consider in developing the policies. A model to follow. (Also see CalSTRS Principles for Executive Compensation) |
link |
RI Policy; Corporate Governance Issues; Best Practices |
| CalSTRS Principles for Executive Compensation |
Apr-09 |
2 |
CalSTRS provides these Principles to communicate to goals and objectives for companies to consider in developing an executive compensation policy. The principles are intended to serve as an intellectual framework for a discussion and as an aid to more effective evaluation/regulation of executive compensation. A model to follow. |
link |
RI Policy; Corporate Governance Issues; Best Practices |
| nef Social Return on Investment: Valuing what matters |
Jan-04 |
32 |
This study presents a tool that allows the financial value created by positive social and environmental impacts to be factored into assessments of the return on a given investment. This tool can be used to help organisations understand their social impact and express this in financial terms. |
link |
Social ROI |
| SVA Social Return on Investment Tool |
|
6 |
This tool helps to estimate the financial benefits generated by an organisation (either through its commercial activity and/or activity relating to its social mission) and to compare the financial benefits of the investment to the cost of the investment required to generate these benefits. It also includes two SROI case studies. |
link |
Social ROI; Case Studies; Mission-based Investing |
| Journal of Business Ethics |
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|
link |
Academic Journals |
| International Centre for Pension Management |
|
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|
link |
Academic Journals |
| How to Better Understand The Crisis Without Reading One More Thing |
|
|
The Network for Sustainable Financial Markets offers a series of links to TV interviews with leading experts on the crisis. Insightful. |
link |
Sustainable Financial Markets; Videos |
| Social Funds |
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|
link |
Listservs/E-Newsletters |
| Responsible Investor |
|
|
|
link |
Listservs/E-Newsletters |
| Boston College Center for Corporate Citizenship E-newsletter |
|
|
|
link |
Listservs/E-Newsletters |
| Eight actions shareholders can take to become active investors |
|
|
Actions include writing to management, attending meetings, and divesting. |
link |
Active Share Ownership |
| Mutual Fund Performance Chart |
|
|
This Chart displays all socially responsible mutual funds offered by members of Green America’s Green Business Network and the Social Investment Forum, the association for socially responsible investment professionals and institutions. The public tool is meant for individual investors to compare cost, financial performance, screens, and voting records among funds. |
link |
SRI Fund Selection |
| RI Association Australia Benchmarking RI Reports |
2002-2008 |
32 |
Each year since 2002 RIAA has commissioned research into the size and growth of responsible investment in Australia and New Zealand. Recent surveys reports on a number of indicators that show how mainstream investors are taking steps towards ESG integration. |
link |
Benchmarking RI Practices |
| Responsible Business: Sustainable Pension |
Oct-07 |
24 |
This document is the product of a survey of UK pension fund corporate responsibility leaders. It found clear and exciting evidence of progress in addressing Responsible Investment. It describes how these leaders are approaching responsible investment |
link |
Benchmarking RI Practices; Best Practices; RI Implementation; RI Policy |
| Investing in Change: Mission Based Investing for Foundations, Endowments and NGOs |
Jan-03 |
79 |
This guide, launched by the CCIC and written by Michael Jiantzi, aims to: provide voluntary sector organizations with basic information on MBI; highlight important financial and legal questions; and provide an action framework for those ready to implement a MBI strategy. |
link |
Mission-based Investing; Legal and Fiduciary Requirements; Critical-Assessment; Sector Specific Content; Foundations |
| ESG Articles and Reports |
|
|
The CFA institute’s recommended ESG articles and reports. |
link |
General RI Resources |
| PRIME Toolkit: Responsible Investing of Foundation Endowments |
|
59 |
This toolkit aims to help foundations manage their endowments in a socially responsible way. It provides clarity and deeper understanding for all interested parties about how to better implement responsible investment practices. Of interest not only to endowed foundations, but also mainstream financial service providers interested in responsible investment. |
link |
RI Implementation; RI Policy; Foundations; Case Studies |
| UKSIF Responsible and Sustainable Investment Update |
|
|
‘Responsible and Sustainable Investment Update’ is a quarterly update for pension funds and their advisers. It provides summaries of the key developments in responsible and sustainable pension investment as well as resources for pension fund trustees. The newsletter is produced as part of UKSIF's Sustainable Pensions Project, which assists occupational pension funds to adopt more responsible and sustainable investment strategies. |
link |
Listservs/E-Newsletters |
| AEI Socially Responsible Investing and Pension Funds |
|
|
Talks from an important conference hosted by the American Enterprise Institute. |
link |
Videos; Legal and Fiduciary Requirements |
| Robert H. Montgomery & Gregory F. Maggio Fostering Labor Rights in Developing Countries: An Investors' Approach to Managing Labor Issues. Journal of Business Ethics. 87:199–219 |
Jun-08 |
20 |
This article presents a methodology to assist investors in large-scale private infrastructure and other industry sector projects to utilize internationally recognized core labor rights and related standards to foster sound labor management. Case study examples are presented and challenges in applying the approach are discussed. |
link |
Emerging Markets; Social Issues; Human Rights Issues; Case Studies; Sector Specific Content; Risk Management; Critical-Assessment |
| The ADVANCE Guide to Sustainable Value Creation |
Jan-06 |
30 |
This handbook provides an overview of how ‘Sustainable Value-assessment,’ which is the measure of a firm’s efficiency at using economic, environmental, and social resources, can be carried out. |
link |
Sustainability Metrics |
| Environmental, Social, and Governance Factors at Listed Companies: A Manual for Investors |
Jan-08 |
44 |
This manual aims to help investment professionals identify and properly evaluate the risks and opportunities ESG issues present for Investors in public Companies and in the process clarify the relatively sparse and inconsistent information provided in current financial statements. The scope of this manual focused on ESG factors as they relate to investment management. |
link |
Environmental Issues; Social Issues; Corporate Governance Issues; Legal and Fiduciary Requirements; Risk Management |
| Responsible Investing: a Paradigm Shift |
Dec-07 |
15 |
This white paper provides an overview of the current RI market and its future potential. More than 50 market interviews were conducted, covering a diverse sample of clients, distributors, and competitors with total Assets Under Management of more than USD 5 trillion. The paper concludes that the RI market is expected to become ‘mainstream’ by 2015. |
link |
Benchmarking RI Practices |
| UNPRI Tube |
|
|
This is the United Nations Principles for Responsible Investing YouTube Channel. It offers videos about mainstreaming responsible investment from the PRI initiative. |
link |
Videos; UN PRI |
| RI-TV |
|
|
A collection of webcasts by responsible investing experts. |
link |
Videos |
| Committing and Engaging: Toolkit on Responsible Property Investing |
|
13 |
This Toolkit uses case study material to identify the seven main steps organisations need to take to lay down a solid foundation to institutionalise RPI. These steps include understanding the meaning and value of RPI for an organisation, identifying material risks and opportunities, managing and measuring success, and collaborating with stakeholders to develop and mainstream RPI practices. |
link |
Real Estate; RI Policy; RI Implementation; Case Studies |
| UNEP FI Responsible Property Investing: What the leaders are doing |
|
93 |
The purpose of this report is to help those making investment decisions on existing commercial real estate portfolios to understand how environmental, social and governance (ESG) issues impact upon the current value and prospective investment performance of the assets they own and manage. The report presents a number of case studies. |
link |
Real Estate; Social Issues; Environmental Issues; Corporate Governance Issues; Case Studies |
| Building Responsible Property Portfolios |
|
16 |
This report was produced by the PRI Secretariat and the UN Environment Programme Finance Initiative Property Working Group (PWG). It aims to help UN PRI signatories understand how they can apply the Principles to property assets through what some call responsible property investing (RPI). It does so by highlighting the work of leading practitioners. It is not intended to prescribe new requirements for signatories, but rather to aid those wishing to apply the PRI to property. |
link |
Real Estate; Best Practices; Social Issues; Environmental Issues; Corporate Governance Issues; UN PRI |
| UNEP FI Responsible Investment in Focus: How leading public pension funds are meeting the challenge |
Jan-07 |
85 |
This report contains 15 case studies offering a snapshot of some of the most advanced approaches to responsible investment around the world. It is intended to serve as practical guidance for the institutional investment community, particularly trustees of pension funds, foundations and life insurers, and their agents, on how and why leaders integrate environmental, social and governance considerations into their investment processes. |
link |
Best Practices; RI Policy; Environmental Issues; Social Issues; Corporate Governance Issues; Sector Specific Content; Foundations |
| UNEP FI Adaptation and Vulnerability to Climate Change: The Role of the Finance Sector |
Nov-06 |
36 |
This report describes some of the current products and services and other innovative approaches used by the finance sector to tackle climate change, such as weather derivatives and natural catastrophe bonds. It includes four case studies on coping with environmental issues. |
link |
Environmental Issues; Case Studies; Climate Change; Sector Specific Content; Risk Management |
| UNEP FI Financing Water: Risks and Opportunities |
Jan-06 |
35 |
This report highlights different areas of water-related risk financial institutions are exposed to according to the business segment with which they engage, from water-intensive sectors to those that have a water footprint along the supply chain. It also identifies appropriate measures financial institutions can employ to mitigate water-related risks. |
link |
Water Scarcity; Risk Management; Environmental Issues; Sector Specific Content |
| A legal framework for the integration of environmental, social and governance issues into institutional investment |
Oct-05 |
154 |
The report by Freshfield Bruckhaus Deringer, a leading international law firm, and the AMWG seeks to answer whether the integration of environmental, social and governance issues into investment policy (including asset allocation, portfolio construction and stock-picking or bond-picking) voluntarily permitted, legally required or hampered by law and regulation; primarily as regards public and private pension funds, secondarily as regards insurance company reserves and mutual funds. It examines several major global jurisdictions (France Germany, Italy, Japan, Spain, the UK; and the US). This report is a seminal piece on the integration of ESG issues into institutional investment. It is often referred to as the Freshfields Report. |
link |
Legal and Fiduciary Requirements; Environmental Issues; Social Issues; Corporate Governance Issues; RI Policy |
| Fiduciary Responsibility: Legal and practical aspects of integrating ESG issues into institutional investment |
Jul-09 |
101 |
This report serves as a follow up to the Freshfields Report and provides a legal roadmap for fiduciaries looking for concrete steps to operationalise their commitment to responsible investment. |
link |
Legal and Fiduciary Requirements; Environmental Issues; Social Issues; Corporate Governance Issues; Benchmarking; RI Policy |
| The language of responsible investment |
Year 2007 |
16 |
This is an industry guide to the key terms and organizations in the world of responsible investment. |
link |
Language of RI |
| KLD’s Glossary of SRI terms |
|
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The definition of SRI terms according to their usage by KLD. |
link |
Language of RI |
| CFA Institute’s Recommended Environmental, Social, and Governance (ESG) Resources |
|
|
|
link |
General RI Resources |
| KLD Research & Analytics Resources on Socially Responsible Investing, Fiduciary Duties and Corporations |
May-06 |
44 |
|
link |
General RI Resources |
| Responsible Investors Resources |
|
|
|
link |
General RI Resources |
| UN PRI Responsible Investment in Private Equity: A Guide for Limited Partners |
Year 2009 |
16 |
This guide describes some of the unique characteristics of private equity investments and provides suggestions on how the PRI Principles could be applied to the asset class. It aims to help limited partners (LPs) assess the extent to which a general partner’s investment and ownership processes are consistent with the LP’s own commitments as a PRI signatory. Its scope addresses engagement and information that an LP can consider both before investing in a fund and during the life of that fund. |
link |
UN PRI; Private Equity; RI Policy; Corporate Engagement; Active Share Ownership; Benchmarking RI Practices |
| UN PRI Responsible Investment in Private Equity: Case Studies |
Year 2009 |
24 |
The aim of these case studies is two-fold. First, they are intended to help support the implementation of responsible investing in private equity through sharing best practice. Second, they help raise the awareness that responsible investing is ultimately a component of fiduciary duty. That is, the objective of responsible investing is to contribute to improving long-term, risk-adjusted investment returns. |
link |
UN PRI; Private Equity; RI Policy; RI Implementation; Corporate Engagement; Active Share Ownership; Case Studies |
| Responsible Investment in sustainable private equity: a case study |
|
|
The aim of this report is to present a case study to promote investment in sustainable private equity by institutional investors and pension funds. It describes a Sustainable Private Equity Mandate that the Environment Agency awarded to Robeco Institutional Asset Management B.V. in 2005 and the progress that has been made within this mandate. |
link |
Private Equity; RI Policy; RI Implementation; Case Studies |
| IFC The Promise of Private Equity |
|
45 |
Through five case studies drawn from the portfolio of private equity funds in which IFC is an investor, the document shows how environmental and social sustainability was integrated successfully into core competencies and sound business management, thereby contributing directly to increased profits and better business performance. |
link |
Private Equity; Case Studies; Environmental Issues; Social Issues; Emerging Markets |
| ASrIA Taking Stock — Adding Sustainability Variables to Asian Sectoral Analysis |
Feb-06 |
288 |
This report focuses on identifying the key investment themes which investors should be evaluating in order to analyze environmental, social and governance (ESG) issues relevant to the largest and highest impact sectors in Asia. It aims to identify a specifically Asian investment dynamic, based on both risks and opportunities. The report is specifically oriented to fund management and institutional investors in Asia. |
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Emerging Markets; Sector Specific Content; Environmental Issues; Social Issues; Corporate Governance Issues |
| SAM: The Sustainability Yearbook 2009 |
Year 2009 |
98 |
This document provides insight into how an asset management company, SAM, goes about generating alpha through the integration of sustainability factors into the investment decision. In this Yearbook, SAM discusses its view on how the integration of sustainability criteria into traditional financial valuations allows investors to gain a deeper insight into the selection of stocks that are less vulnerable to crises. SAM believes these stocks have an attractive long-term return potential. |
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Environmental Issues; Social Issues; Corporate Governance Issues; Alpha-Generation; Sustainability Metrics; Risk Management |
| SAM Sustainability Tool |
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SAM has introduced an interactive “Sustainability Tool”, which gives users more detailed insight into SAM‘s annual Corporate Sustainability Assessment. Each year the world’s 2500 largest companies (Dow Jones Wilshire Global Index) are invited to participate in this assessment. Use this tool to find out which companies have achieved the highest sustainability scores and have received distinctions from SAM. You will also learn which countries and industry sectors have the highest concentration of these companies. |
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Sustainability Metrics; Sector Specific Content; Geography Specific Content |
| UNEP FI Show Me The Money: Linking Environmental, Social and Governance, Issues to Company Value |
Year 2006 |
60 |
The report seeks to show where and how ESG issues are material – that is, are or may become relevant – to security pricing and therefore to portfolio financial performance. It illuminates links between ESG issues, financial value and company profitability across eight industry sectors. It directly complements the 11 reports from nine brokerage houses that were involved the group’s earlier research in 2004. |
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Evidence of Link Between ESG Factors and Financial Return; Real Estate; Sector Specific Content; Environmental Issues; Social Issues; Human Rights; Climate Change |
| UNEP FI Demystifying Responsible Investment Performance |
Oct-07 |
82 |
The report features a diverse set of academic and broker studies that analyses responsible investment performance at both the company/stock and fund/portfolio level, including thematic studies which bolster the materiality of ESG factors. The particular types of studies were selected to provide a useful and representative sample that is essential not only to demystify performance, but also to have a good picture of the current state and direction of ESG research. |
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Evidence of Link Between ESG Factors and Financial Return; Environmental Issues; Social Issues; Alpa-generation |
| Kane, M. 2009. 'Global Survey of Environmental, Social and Governance Policies with National Governments, International Organizations and Institutional Investors.' |
Jul-09 |
23 |
The purpose of this survey is to provide examples of environmental, social and governance (ESG) policies and programs promoted by national governments, international organizations, institutional investors, and related organizations worldwide. This survey is updated regularly. |
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Legal and Fiduciary Requirements |
| EIRIS Emerging Markets Investor Survey Report: An analysis of responsible investment in Emerging Markets |
Jun-09 |
24 |
This report aims to foster a better understanding of where and how investors including asset managers and asset owners invest in emerging markets. The survey on which the report is based was designed to assess the current levels of responsible investment and activity in emerging markets and asked both asset owners and asset managers about a range of investment issues related to ESG factors. |
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Emerging Markets; Environmental Issues; Social Issues; Corporate Governance Issues; Benchmarking; RI Practices; Best Practices |
| A Review of ESG Practices in Large Emerging Market Companies |
Mar-09 |
38 |
This paper analyses the state of corporate responsibility in emerging markets as companies strive to compete with their peers in the global market. By using a subset of EIRIS’ assessment methodology and publicly available documentation, 40 leading companies in ten emerging markets were examined and each company was assessed against key environmental, social and governance (ESG) criteria. Findings point to opportunities as well as risks for investors to consider in emerging markets. |
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Emerging Markets; Environmental Issues; Social Issues; Corporate Governance Issues; Benchmarking RI Practices |
| Defined contribution plans and socially responsible investing in the United States |
Jun-07 |
56 |
This survey provides a look at the current status and future outlook for SRI options in DC plans from the perspective of plan sponsors, plan administrators, and consultants. |
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Benchmarking; SRI Fund Selection; Defined Contribution Plan |
| UN PRI Report on Progress 2009 |
Year 2009 |
60 |
This Report details the work that signatories are doing to implement the UN Principles for Responsible Investing. It highlights, with concrete examples, how investment processes are being harnessed to enhance financial performance and deliver ESG outcomes. |
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UN PRI; Benchmarking RI Practices; RI Policy; RI Implementation; Best Practices |
| UN PRI Annual Report of the PRI Initiative 2009 |
Year 2009 |
28 |
This Report provides a window into the activities of the PRI Initiative, and how it is helping investors to improve corporate behaviour on issues such as corporate governance, transparency, human rights, climate change, and corruption. It also highlights how the Initiative helps its signatories develop processes for incorporating ESG issues across a variety of investment processes. It includes a number of case studies. |
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UN PRI; Benchmarking RI Practices; RI Policy; RI Implementation; Case Studies |
| EIRIS Climate Change Toolkit |
Year 2008 |
4 |
This Toolkit was developed as a comprehensive solution for investors wishing to evaluate the carbon exposure of their portfolios. It consists of three tools designed to help investors assess their portfolios and design investment strategies in response to the challenge of a carbon-constrained economy. It was developed in direct response to feedback from investors, with input from the Carbon Trust, Institutional Investors Group on Climate Change and expert environmental groups. |
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Climate Change; Risk Management; Environmental Issues |
| EIRIS The value of environmental, social and governance factors for foundation investments |
May-09 |
20 |
This paper examines the current context for trust and foundation investments with particular regard to way in which responsible investment fits with fiduciary duty. It summarizes evidence on the impact of ESG factors on financial performance and presents examples of ESG issues of interest while discussing why these are financially relevant. |
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Critical-Assessment; Legal and Fiduciary Requirements; Foundations |
| SRI Dictionary |
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A list of socially responsible investing related terms and phrases. |
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Language of RI |
| Thomas, Simon, Repetto, Robert and Dias, Daniel. "Integrated Environmental and Financial Performance Metrics for Investment Analysis and Portfolio Management." Corporate Governance: An International Review, Vol. 15, No. 3, pp. 421-426, May 2007. |
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Sustainability Metrics; Environmental Issues |
| Emerging Risk: Impacts of Key Environmental Trends in Emerging Asia |
Apr-09 |
58 |
This documentexamines the financial materiality of key environmental trends in India, Indonesia, Malaysia, Philippines, Thailand, and Vietnam to give investors in emerging Asian countries the information and tools they need to link the materiality of issues such as climate change, air pollution, water scarcity, and deforestation to traditional financial analysis. It gives an overview of the principal players, main stock exchanges, selective environmental trends affecting emerging Asian nations, and the impacts of the trends on critical sectors in the six focus countries.
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Environmental Issues; Geography Specific Content; Risk Management; Climate Change; Water Scarcity |
| UNEP FI Environmental & Social Responsibility Observatory |
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ESRO is an online database of real-world stories about how UNEP FI Signatories and other financial institutions are: dealing with environmental and social risk in their lending and investment operations, and; successfully managing to align financial and sustainability performance by channeling funds into activities that have a net positive impact on the environment, society and their own bottom line. |
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Social Issues; Environmental Issues; Risk Management; Best Practices |
