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Overarching Engagement

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by

Becky Johnson

on 3 October 2014

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Transcript of Overarching Engagement

What issue is the engagement addressing?
Environmental
• Climate Change and Greenhouse Gas Emissions
• Environment & Health
• Sustainable Agriculture
• Palm Oil
• Sustainability Reporting
• Wood products: FSC certification, logging disclosure
• Product waste
• Water
• Animal Welfare

Governance
Social
• EEO
• Finance and Banking
• Labor Issues (non-EEO)
• Healthcare
• Human Rights
• Fair Trade
• Supply Chain
• Conflict Minerals
• Media



• Executive Pay
• Board Issues
• Disclosure

• Political Contributions and Lobbying
• Peace & Social Justice
• Emerging Markets Disclosure Project
What company are you engaging with?
Company Name
Company Name
Company Name
Company Name
Who is leading the overall engagement effort?
What other activity is happening around this issue/company? How are you coordinating?
Overarching Engagement
_________________________ _________________________ _________________________ _________________________ _________________________
Duration of engagement
Engagement Activity
(Anticipated) Starting date of engagement:
Activity 1
Proxy Process
Cast proxy votes
Develop proxy voting guidelines
Create guidelines for other investors
Disclose your proxy votes online
Advertise your intention to cast proxy votes
Write a letter to a company explaining your vote
File or co-file shareholder resolutions
Engage with proxy advisory firms
Post a non-exempt solicitation on the SEC’s EDGAR site
Lend shares/proxies
Participate in Floor Resolution
Borrow shares to get called on during the meeting


Dialogue
Direct dialogue/meetings
Act as catalyst/broker
Participate in multi-stakeholder initiatives
Collective action/campaigns
Coordinate with civil society
Pursue a seat on the board
Exercise investor voice without holding shares

Policy
Assertive Action
Litigation/legal action
Use public press campaigns
Participate in organized divestment campaigns
Organize divestment campaigns

Send comment letters on proposed rules/regulations
Comment/engage on SEC rules
Ask companies to be a public voice for a policy
Submit public testimoy
Submit Amicus briefs
Identify best practices
Encourage regulators to codify best ESG practices
Help shape industry regulation
Write public policy opinion editorials
What is the overall goal of these engagements?
___________________________________________________________________
___________________________________________________________________
___________________________________________________________________

Ongoing Engagement
Completed Engagement
Future Engagement
Abandoned Engagement
Timescale of Engagement
Active Participant
Lead
Passive Participant
Co-lead
Name: _____________________
Select your role:
Dates: ___________ to _________
Duration: ____________________
Milestone 1
Add additional milestones?
What is the first milestone to be achieved?
__________________________________ ________________________________________________________________________________________________________________________________________
__________________________________
Has this milestone been met? Describe the outcomes:
__________________________________ ________________________________________________________________________________________________________________________________________
__________________________________
What metrics and/or qualitative data have you used to track this?
__________________________________ ________________________________________________________________________________________________________________________________________
__________________________________
Please provide data if available:
Add link
Attach file
No data available
Add description
Ultimate Objective
What is the ultimate objective to be achieved (wider social and environmental impact, i.e., on employees, stakeholders, communities, ecosystems)?

______________________________________________________________________________________________________
__________________________________
What did/will provide evidence of this objective being achieved?
__________________________________ ________________________________________________________________________________________________________________________________________
__________________________________
What metrics and/or qualitative data have you used to track this?
__________________________________ ________________________________________________________________________________________________________________________________________
__________________________________
Please provide data if available:
Add link
Attach file
No data available
Add description
Yes
No
Add Activity?
Yes
No
Include in public version?
Yes
No
Include in public version?
Yes
No
_______/_______/______
Day /Month/ Year
_________ Weeks
_________ Months
_________ Years
Your role in this activity
Who initiated this activity? Who is leading this activity?
__________________________________ ________________________________________________________________________________________________________________________________________
__________________________________
Who else is involved in this activity (if applicable)?
__________________________________ ________________________________________________________________________________________________________________________________________
__________________________________
Further comments on your role and others:
__________________________________ ________________________________________________________________________________________________________________________________________
__________________________________
What is your role in this activity?
Active participant
Lead
Passive participant
Co-lead
Duration of engagement
Engagement Activity
(Anticipated) Starting date of engagement:
Activity 2
Proxy Process
Cast proxy votes
Develop proxy voting guidelines
Create guidelines for other investors
Disclose your proxy votes online
Advertise your intention to cast proxy votes
Write a letter to a company explaining your vote
File or co-file shareholder resolutions
Engage with proxy advisory firms
Post a non-exempt solicitation on the SEC’s EDGAR site
Lend shares/proxies
Participate in Floor Resolution
Borrow shares to get called on during the meeting


Dialogue
Direct dialogue/meetings
Act as catalyst/broker
Participate in multi-stakeholder initiatives
Collective action/campaigns
Coordinate with civil society
Pursue a seat on the board
Exercise investor voice without holding shares

Policy
Assertive Action
Litigation/legal action
Use public press campaigns
Participate in organized divestment campaigns
Organize divestment campaigns

Send comment letters on proposed rules/regulations
Comment/engage on SEC rules
Ask companies to be a public voice for a policy
Submit public testimoy
Submit Amicus briefs
Identify best practices
Encourage regulators to codify best ESG practices
Help shape industry regulation
Write public policy opinion editorials
Ongoing Engagement
Completed Engagement
Future Engagement
Abandoned Engagement
Timescale of Engagement
Dates: ___________ to _________
Duration: ____________________
Milestone 1
Add additional milestones?
What is the first milestone to be achieved?
__________________________________ ________________________________________________________________________________________________________________________________________
__________________________________
Has this milestone been met? Describe the outcomes:
__________________________________ ________________________________________________________________________________________________________________________________________
__________________________________
What metrics and/or qualitative data have you used to track this?
__________________________________ ________________________________________________________________________________________________________________________________________
__________________________________
Please provide data if available:
Add link
Attach file
No data available
Add description
Ultimate Objective
What is the ultimate objective to be achieved (wider social and environmental impact, i.e., on employees, stakeholders, communities, ecosystems)?

______________________________________________________________________________________________________
__________________________________
What did/will provide evidence of this objective being achieved?
__________________________________ ________________________________________________________________________________________________________________________________________
__________________________________
What metrics and/or qualitative data have you used to track this?
__________________________________ ________________________________________________________________________________________________________________________________________
__________________________________
Please provide data if available:
Add link
Attach file
No data available
Add description
Yes
No
Include in public version?
Yes
No
_______/_______/______
Day /Month/ Year
_________ Weeks
_________ Months
_________ Years
Your role in this activity
Who initiated this activity? Who is leading this activity?
__________________________________ ________________________________________________________________________________________________________________________________________
__________________________________
Who else is involved in this activity (if applicable)?
__________________________________ ________________________________________________________________________________________________________________________________________
__________________________________
Further comments on your role and others:
__________________________________ ________________________________________________________________________________________________________________________________________
__________________________________
What is your role in this activity?
Active participant
Lead
Passive participant
Co-lead
Full transcript