This Assessment is intended to assist a Plan Sponsor in analyzing how well their organization addresses the prudent practices which comprise a Global Fiduciary Standard of Excellence and to assist Investment Stewards in pursuing improvement in their long-term investment performance. Please answer yes, no, or not known to each question. Questions 6, 7, 8, and 13 apply only to Defined Benefit plans. To then determine the outcome of this questionnaire, please hit submit at the bottom of the page.
 
 
 
First Name*
 
 
 
Last Name*
 
 
 
Title
 
 
 
Company
 
 
 
Email*
 
 
 
Telephone
 
 
 
 
 
 
1. Are investments managed in accordance with applicable laws, trust documents, and written investment policy statements?*
 
Yes
No
Not Known
 
 
 
2. Are the roles and responsibilities of all involved parties (fiduciaries and non-fiduciaries) defined, documented, and acknowledged?*
 
Yes
No
Not Known
 
 
 
3. Is there no indication that fiduciaries and parties in interest are involved in self-dealing?*
 
Yes
No
Not Known
 
 
 
4. Are service agreements and contracts in writing? Are they written without provisions that conflict with fiduciary standards of care?*
 
Yes
No
Not Known
 
 
 
5. Are assets within the jurisdiction of appropriate courts? Are they protected from theft and embezzlement?*
 
Yes
No
Not Known
 
 
 
6. Has an investment time horizon been identified?*
 
Yes
No
Not Known
 
 
 
7. Has a risk level been identified?*
 
Yes
No
Not Known
 
 
 
8. Has an expected, modeled return to meet investment objectives been identified?*
 
Yes
No
Not Known
 
 
 
9. Are selected asset classes consistent with the identified risk, return, and time horizon?*
 
Yes
No
Not Known
 
 
 
10. Are selected asset classes consistent with implementation and monitoring constraints?*
 
Yes
No
Not Known
 
 
 
11. Is there an Investment Policy Statement (IPS) which contains the detail to define, implement, and manage a specific investment strategy?*
 
Yes
No
Not Known
 
 
 
12. Does the IPS define appropriately structured, socially responsible investment (SRI) strategies (where applicable)?*
 
Yes
No
Not Known
 
 
 
13. Is the investment strategy implemented in compliance with the required level of prudence?*
 
Yes
No
Not Known
 
 
 
14. Are applicable “safe harbor” provisions followed (when elected)?*
 
Yes
No
Not Known
 
 
 
15. Are investment vehicles appropriate for the portfolio size?*
 
Yes
No
Not Known
 
 
 
16. Is a due diligence process followed in selecting service providers, including the custodian?*
 
Yes
No
Not Known
 
 
 
17. Are there periodic reports comparing investment performance against an appropriate index, peer group, and IPS objectives?*
 
Yes
No
Not Known
 
 
 
18. Are periodic reviews made of qualitative and/or organizational changes of investment decision-makers?*
 
Yes
No
Not Known
 
 
 
19. Are control procedures in place to periodically review policies for best execution, "soft dollars," and proxy voting?*
 
Yes
No
Not Known
 
 
 
20. Are fees for investment management consistent with agreements and with all applicable laws?*
 
Yes
No
Not Known
 
 
 
21. Are "finder's fees" or other forms of compensation that may have been paid for asset placement appropriately applied, utilized, and documented?*
 
Yes
No
Not Known
 
 
 
22. Is there a process to periodically review the organization's effectiveness in meeting its fiduciary responsibilities?*
 
Yes
No
Not Known