Version 2.

Self-Assessment Questionnaire on CSR/

Sustainability for Automotive Sector Suppliers

Corporate Social Responsibility (CSR)/Sustainability is a process for companies to integrate social, governance, environmental and
supply chain sustainability into operations and corporate strategy.

This Self-Assessment Questionnaire is designed to be a first check of supplier performance on CSR/Sustainability by all participating
OEMs*. The questionnaire has been put into use by nine of the members** and is intended to avoid duplication and improve
efficiency. The working group itself has a set of common guidelines outlining expectations for suppliers on key responsibility issues
including human rights, environment, working conditions and business ethics.

The questionnaire relates to both corporate and site/plant level.

* 2016 Working Group members: BMW Group, Daimler, Ford Motor Europe, Jaguar Land Rover, PSA Peugeot Citroen, Scania, Toyota Motor Europe,
Volkswagen, Volvo Group, Volvo Cars.

** OEMs using the SAQ: BMW Group, Daimler, Ford Motor Europe, Jaguar Land Rover, Scania, Toyota Motor Europe, Volkswagen, Volvo Group, Volvo
Cars.

Company Name: Click here to enter text.

Location: Click here to enter text.

Number of employees: Click here to enter text.

Business area: Click here to enter text.

Total yearly turnover: Click here to enter text.

Site Name: Click here to enter text.

Location: Click here to enter text.

No
Headquarter:
Yes
Supplier ID: (fill in those that apply)

DUNS number: Click here to enter text.

Other (please specify): Click here to enter text.

Filled in by: Name: Click here to enter text.

Position: Click here to enter text.

Email: Click here to enter text.

A. Company Management (General) Background
1. Does your company have a management person responsible for: Social sustainability relates to practices that contribute to
the quality of life of both employees and communities that
1a. Social sustainability could be impacted by the company’s operations. Examples
of social topics to address include working conditions,
No
non-discrimination, freedom of association and
Yes collective bargaining, health and safety at work, etc. (See
If yes, please provide: Section B)
Name: Click here to enter text.
Business conduct and compliance relate to the principles
e-mail: Click here to enter text. that guide business conduct in its relations towards its
business partners and customers. Examples of unethical
1b. Business Conduct and Compliance business practice include corruption, extortion and
No bribery. (See Section C)
Environmental sustainability relates to practices that
Yes *
If yes, please provide: contribute to the quality of the environment on a long-
Name: Click here to enter text. term basis. Examples of company practices include
recycling programmes, carbon emissions reduction
E-mail: Click here to enter text. programmes, programmes for waste management, etc.
(See Section D)
1c. Environmental sustainability
Companies are expected to appoint a senior management
No
representative, who irrespective of other responsibilities,
Yes * serves as a management person responsible to ensures
If yes, please provide: that the company meets its commitment related to social
Name: Click here to enter text. sustainability, business conduct and compliance and
environmental sustainability.
E-mail: Click here to enter text.
The contact details that you provide in response to this
* Please fill out the contact details, even if the person is the same as above. question will not be contacted without prior notice. In the
first instance, enquiries will be directed to the person that
completes this self-assessment questionnaire.

2. Does your company publish a Corporate Social Responsibility A CSR/ sustainability report is an organisational report
(CSR)/ Sustainability Report? that gives information about economic, environmental,
social and ethical performance.
No
No, but we publish: EU Directive on Non-Financial and Diversity Information
Disclosure
Environmental report
This Directive concerns your company, if your company
CSR/Sustainability report integrated in annual meets all of the three criteria:
report
Other (please specify) 1. Your company is a large undertaking (in the meaning of
Art. 3 (7) of Directive 2013/34/EU) with either a balance
Click here to enter text. sheet total of EUR 20 million OR a net turnover EUR 40
million.
If yes, please insert web link or upload report 2. AND your company is a public interest entity, defined
by Art. 2 (a, b, c, d) of Directive 2013/34/EU
Click here to enter text.
3. AND when your company’s average number of
employees exceeds 500 during a financial year.

2a. Is your most recent report assured by a third party? An environmental report is a systematic document
published by companies with the aim of communicating
No
with stakeholders on the most relevant environmental
If yes, please provide the name of the third party: issues.

Click here to enter text. (Source: Forum on Environmental Reporting – Guidelines

for preparation)

2b. Are the operations of all your company sites included in that report?
No
Yes
A. Company Management (General) Background

3. Does your company have a Code of Conduct in place? A Code of Conduct is a set of rules outlining the
No responsibilities or proper practice for an individual
Yes, please upload relevant document (employee) and organisation. It could cover social, ethical
and environmental aspects.

3a. Is the Code of Conduct enforced at this site?

No
Yes

4. Do you organize training sessions to enhance the understanding of Training sessions to enhance the understanding of
Corporate Social Responsibility/Sustainability at CSR/ Sustainability refers to companies training their
your site? employees on the expectations, policies and procedures
No relating to Corporate Social Responsibility within the
company context. Training is intended to raise awareness
No, but we plan to implement such training sessions on CSR topics, so that specific functions could identify and
act on issues they encounter in their day-to-day activities.
Please specify: (Month/Year) Click here to enter text. Training could be function-specific (e.g. trainings for
buyers, managers, etc.), or topic-specific (e.g. on anti-
Yes, training sessions are implemented on irregular basis corruption, Health&Safety, etc.)

Yes, training sessions are implemented on regular basis Corporate Social Responsibility (CSR) is a process for
companies to integrate social, environmental, ethical and
human rights concerns into their operations and core
4a. On which of the following topics do you organize training sessions? strategy, in close collaboration with their stakeholders
Code of Conduct
Source: European Commission, EU Strategy on CSR 2011
Social issues
- 2014
Anti-corruption and ethics
Examples of social issues that companies could conduct
Health & safety
training sessions on include non-discrimination, human
Environmental management rights, etc.(See Section B)

5. Have employees from your site participated in external Corporate

Social Responsibility/Sustainability training?

No
Yes

5a. Who organized the training?

An OEM
Please specify: (Month/Year) Click here

The Automotive Industry Action Group (AIAG)

Please specify: (Month/Year) Click here

The European Working Group on Supply Chain Sustainability

Please specify: (Month/Year) Click here

Other
Please specify: (Month/Year) Click here
A. Company Management (General) Background

If the answer ‘European Working Group’ was not selected in 5a, then please
answer question 5b.

5b. Would you be interested in participating in a training organized by the

European Automotive Working Group?
Yes (please forward your contact details to your buyer)
No

Voluntary CSR/ Sustainability initiatives can be for example

6. Does your company participate in any voluntary CSR/sustainability United Nations Global Compact, CDP, or industry specific
initiatives
initiatives
Yes (please specify)
Click here to enter text.
No
B. Social Sustainability Background
7. For which of the following social issues does your company have A company policy refers to a business approach to a given
a policy in place? issue and contains general principles and/or practical
how-to-do items. A policy may include components such
Respect for human rights (e.g. fair treatment) as prohibited behaviours, rights, and dispute procedures.
Social issues could be contained in the company HR policy,
No forced or compulsory labour CSR policy, Human Rights policy, etc.
No human trafficking Human rights are the rights we are entitled to simply
because we are human beings. They represent the
No child labour (e.g. no worker under legal working age, etc.) universally agreed minimum conditions that enable all
Working conditions (e.g. mandatory days off, etc.) people to maintain their dignity. Human rights are inherent
to all of us, whatever our nationality, place of residence,
Wages & benefits (e.g. no unpaid overtime, etc.) sex, national or ethnic origin, colour, religion, or any other
status. Source: European Commission, Guide for SMEs
Non-discrimination (e.g. age, gender, religion, race,
etc.) Forced or compulsory labour refers to all work or service
Freedom of association exacted from any person under the menace of any
penalty and for which that person has not offered himself
Collective bargaining
voluntarily. Examples include forced overtime, retention of
please upload relevant document identity documents, etc. Source: International Trade Union Confederation
Child labour relates to the prohibition of employment
of children who are under the legal minimum working
age. Young people admitted to work must have working
conditions appropriate to their age and be protected
against economic exploitation and any work likely to harm
their safety, health or physical, mental, moral or social
development or to interfere with their education. Source: EU
Charter of Fundamental Rights

Working conditions refer to the working environment

and aspects of an employee’s terms and conditions
of employment. Examples include health, safety and
well-being; maximum daily and weekly working hours,
including mandatory days off, annual paid leave etc. Source:
EU Charter of Fundamental Rights

Wages & benefits relate to the basic or minimum wage or

salary and any additional entitlements payable directly or
indirectly, in cash or in kind, by the employer to the worker
and arising out of the worker’s employment. Examples
include paid sick days, family and medical leave, paid
overtime, etc. Source: ILO-UNGC
Non-discrimination is a principle that requires the equal
treatment of an individual or group irrespective of their
particular characteristics, including sex, race, colour,
ethnic or social origin, genetic features, language, religion
or belief, political or any other opinion, membership of a
national minority, property, birth, disability, age or sexual
orientation. Source: EU Charter of Fundamental Rights
Freedom of association relates to the right to freedom
of peaceful assembly and to freedom of association at
all levels, in particular in political, trade union and civic
matters, which implies the right of everyone to form and to
join trade unions for the protection of his or her interests.
Source: EU Charter of Fundamental Rights

Collective bargaining is a process of negotiations between

employers and a group of employees aimed at reaching an
agreement that regulates working conditions. Source: EU Charter
of Fundamental Rights
B. Social Sustainability Background

8. Does your site have a certified management system in place to manage

the above mentioned social issues?
A management system is a set of documented controls,
No, on none of the above processes and /or procedures reviewed by management.
It could be internal or developed accroding to a standard
Yes, (please upload SA8000 Social Management System) (Certified Management System).

A documented procedure is a written description of

No, but we have internal documented procedures and
prescribed course of action or process to manage and
policies
control organizations activities.
(please upload relevant documented procedures)
Examples of relevant social standards include:
- ISO26000 Guidance Social Responsibility
- SA8000 Social Management System

9. Have social audits/assessments been conducted at this site?

No

Yes, internal audits

Yes, external 3rd party audits (please provide the
following)

Awarding body Click here to enter text.

Certificate number Click here to enter text.
Date Click here to enter text.
Next Click here to enter text.
please upload relevant document

10. Does your company have a written health & safety policy in place, which Examples of specific activities on Health & Safety include:
complies with industry, national and international standards?
No • Training and use of Personal Protection Equipment
• Training on company Health & Safety policy
Yes please upload relevant document
• Work environment inspections
10a. Have specific activities on health & safety been organized at this • Training on work with hazardous materials
Site during the past year? • Distribution of educational materials on health
No & safety procedures
• Information campaign for workers on health
Yes please upload relevant document
& safety procedures specific to the site
B. Social Sustainability Background
11. Does this site have a health and safety management system Health and safety management system relates to
in place? organized efforts and procedures for identifying workplace
hazards and reducing accidents and exposure to harmful
No
situations and substances. It also includes the training of
Yes please upload relevant document personnel in accident prevention, accident response,
emergency procedures, and use of protective clothing and
equipment.
11a. Is the system certified?
Examples of relevant standards and certification include:
No
• OHSAS 18001
11aa. If answered ‘no’:
• ILO-OSH
Have internal health and safety audits been conducted at this site?
No
Yes
(please upload the relevant document e.g. internal audit report)

Yes
If answered ‘yes’, please provide:

Awarding body: Click here to enter text.

Certificate number: Click here to enter text.

Next review: Click here to enter text.

please upload relevant document

12. Do other production sites/locations have a certified health and safety

Management system?
No

Yes , for s ome s ites

(please upload relevant document e.g. a list of sites)

Yes, for all sites

(please upload relevant document e.g. a list of sites)
C. Business Conduct and Compliance

13. Does your company have a formal policy in place regarding business Business Conduct and Compliance Policy and principles
conduct and compliance? (corruption, extortion, bribery) apply to employees, independent contractors, consultants,
and others with whom business has been done. Formal
No policy on business conduct and compliance helps drive
business ethically, honestly, and in full compliance with
Yes please upload relevant document all laws and regulations. Those principles should apply
to every business decision in every area of the company
13a. Are the following areas covered by this policy or the related (worldwide).
Processes and procedures?
Corruption can take many forms that vary in degree from
the minor use of influence to institutionalized bribery. It is
Corruption, including extortion defined as the abuse of entrusted power for private gain.
Bribery This can mean not only financial gain but also non-financial
advantages. Source: UN Global Compact and Transparency
International
14. Does your company have a formal policy in place regarding Competition
Law Compliance? Extortion: The solicitation of bribes is the act of asking or
enticing another to commit bribery. It becomes extortion
No when this demand is accompanied by threats that
endanger the personal integrity or the life of the private
Yes (please upload company's policy actors involved. Source: UN Global Compact and OECD Guidelines
strategy) for Multinational Enterprises

15. Does this site have a documented business conduct and compliance Bribery is an offer or receipt of any gift, loan, fee, reward or
Ethics management system in place? other advantage to or from any person as an inducement
to do something which is dishonest, illegal or a breach of
No trust, in the conduct of the enterprise’s business. Source: UN
Global Compact and Transparency International
Yes (please upload relevant documented
procedure) Compliance with competition laws: It is the prime
responsibility of large, medium and small companies alike
to comply with competition rules. Companies need to
be aware of the risks of infringing competition rules and
how to develop a compliance policy/strategy that best
suits their needs. An effective compliance policy/strategy
enables a company to minimize the risk of involvement
in competition law infringements, and the costs resulting
from anti-competitive behaviour. Source: European Commission
D. Environmental Sustainability

14. Does your company have a formal environmental policy, which includes An environmental policy shows the company’s overall
a commitment to legal compliance, continuous measurement and intensions and direction related to its environmental
continuous improvements in environmental performance? performance. It reflects the company’s commitment and is
formally expressed by top management.
No
It provides a framework for action, setting environmental
Yes please upload relevant document
objectives which take into account applicable legal and
other requirements and the company’s environmental
14a. Are the following areas covered by this policy or the related impact of its operations, products and services, with the
processes and working procedures? purpose of decreasing the environmental impact, saving
Energy consumption resources and costs.

Water usage

Air emissions

Waste management

Restricted substances and chemical handling

Other areas, please specify:

Click here to enter text.

An environmental management system enables a
company, in a structured and preventive way, to work
with its environmental performance and improve
16b. Do you have annual objectives and activities accordingly in the environmental impact from its operations, products and
areas covered by your environmental policy? services. Examples include: developing a policy/
directions; establishing objectives; subscribing to legal
No and other requirements; risk management; implementing
working procedures to achieve continuous improvements
Yes to support environmental protection; and reducing or
(please upload relevant document explaining the objectives and the activities preventing of pollution.
to achieve them)
Examples of relevant standards and certification include:
17. Does this site have an environmental management system in
place? • ISO14001 EMS

• ISO14064 GHG
No
• PAS 2060 Carbon neutrality
Yes please upload relevant document
•BS/EN/ISO14006:2011/14004:2010/14001:2004
17a. Is the system certified?
Environmental management systems
No
• BS8555 Certification: Implementation of environmental
17aa. If answered ‘no’: management systems
Have internal environmental audits been conducted at this site? • PAS2050 Carbon footprint
No • EU Eco-Management and Audit Scheme (EMAS)
Yes Environmental audits enable an organisation to assess and
(please uploads relevant document e.g. internal audit report)
demonstrate its compliance to legislation; environmental
performance; and the benefits and limitations of its
Yes
environmental policy. It is a way of measuring the extent
If you answered ‘yes’ to 17a, please provide: to which a company lives up to the shared values and
objectives it has committed itself to.
Awarding body: Click here to enter text.
Environmental audits can be conducted internally or by an
Certificate number: Click here to enter text. external body that issues a certificate.

Next review: Click here to enter text.

please upload relevant document

D. Environmental Sustainability

18. Do other production sites/locations have a certified environmental

Management system?

No
Yes, for some sites
(please upload relevant document e.g. a list of sites)

Yes, for all sites

(please upload relevant document e.g. a list of sites)

This question is not relevant for service providers

19. Does your facility use restricted substances or chemicals for your
Examples of regulations on restricted substances and
production?
chemical handling:
No
(1) REACH (Registration, Evaluation, Authorisation, and
Yes Restriction of Chemicals):

If answered ‘yes’, please answer question 19a REACH is a European Union Regulation addressing
the production and use of chemical substances, and
19a. Does your facility have work procedures to manage the use of their potential impact on both human health and the
restricted substances and chemicals? environment. The regulation defines and includes
substances, preparations and articles. Manufacturers
No and importers are required to gather information on the
properties of their chemical substances and to register
Yes the information in a central database run by the European
(please upload relevant document)
Chemicals Agency.
19b. Has the management system used for managing the usage of
(2) RoHS (Restriction of Hazardous Substances):
restricted substances or chemicals been certified?
No RoHS or the Restriction of the Use of Certain
Hazardous Substances in Electrical and Electronic
Yes Equipment Directive (2011/65/EU) bans the placing
on the EU market of new electrical and electronic
If yes, please provide:
equipment containing more than the agreed levels
of lead, cadmium, mercury and other substances.
Awarding body: Click here to enter text.

Certificate number: Click here to enter text.

Next review: Click here to enter text.

please upload relevant document

This question is not relevant for service providers

20. Do you upload your material data to the International Material Data
Environmental a u d i t s e n a b l e a n organization t o
System (IMDS Database)?
assess and demonstrate its compliance to legislation;
No environmental performance; and the benefits and
limitations of its environmental policy. It is a way of
Yes measuring the extent to which a company lives up
to the shared values and objectives it has committed itself
to.

Environmental audits can be conducted internally

or by an external body that issues a certificate.
E. Supplier Management

21. Does your company have a supplier CSR/Sustainability Policy? Examples of Supplier CSR/Sustainability Policy could be a
specific Supplier Code of Conduct or a Company Conduct
document which applies to both internal employees as
No well as external business partners, such as suppliers.
Yes (please upload relevant document)
The objective should be to promote healthy working
conditions and environmental responsibility throughout
the entire supply chain.

21a. Which areas are covered by this policy? Direct procurement refers to third-party services and
goods that are part of or used in the manufacturing of the
Respect for human rights organisation’s products and/or services.
No forced or compulsory labour
Indirect procurement refers to categories of goods and
No human trafficking services that are supporting the organization’s business
No child labour processes.

Working conditions
Remuneration
Non-discrimination
Freedom of association
Collective bargaining
Anti-corruption and bribery
Healthy and safety
Environment

21b. Which supplier category is covered by your CSR/Sustainability

policy? Please tick all that apply:

Direct procurement suppliers

Indirect procurement suppliers

22. Does your company communicate its CSR/Sustainability policy to its

Suppliers?

No

Yes
22a. How is the Supplier CSR/Sustainability policy communicated?

During supply meetings

In contractual terms

Through brochures, magazines, newsletter, webpage

E. Supplier Management

23. Which processes do you have in place to ensure that your Supplier
Sustainability Policy is efficiently implemented by your suppliers?
Self-assessment questionnaire
Audits conducted by the company
Supply meetings
Audits conducted by an external 3rd party auditor
Other (please specify)
None
Please upload any documents relevant to your answer.

F. Special Areas
This question is not relevant for service providers
Example of legislation relating to “conflict minerals”:
24. Is the 3TG (tantalum, tin, gold or tungsten) necessary to the production
of your company’s products and contained in the finished product that Dodd-Frank Wall Street Reform and Consumer Protection
your company manfuactures or contracts to manufacture? Act, US federal law
No The Dodd-Frank Act requires companies listed in the US
stock exchange or American companies of a certain size to
Yes (please upload CMRT template)
disclose their use of so called conflict minerals (tantalum,
tin, gold and tungsten sourced from the Democratic
Republic of Congo and its neighbouring states)

Companies that are at risk of using conflict minerals are

required to undertake due diligence on the sourcing and
file a conflict minerals report.

Examples of conflict minerals reporting template:

(1) EICC-GeSI Conflict Minerals Reporting Template

This template was created by the Electronic Industry

Citizenship Coalition (EICC) and the Global e-Sustainability
Initiative (GeSI). It is used by some companies as a means
for the collection of sourcing information related to
“Conflict Minerals”.

EICC GeSI conflict minerals reporting template

G. Additonal Information

25. Please use the space provided below to provide addtional information
(e.g. comments regarding policy, timing for certification) or feedback:
Click here to enter text.
 About the European Automotive Working Group on Supply Chain
The European Automotive Working Group on Supply Chain Sustainability coordinated by CSR Europe consists of several automotive
manufacturers working together – in addition to their own efforts – to enhance sustainability in their supply chains.

In respect to their products and services, people and environment are vital resources in their automotive industry. Therefore, they work
together to improve the social, ethical and environmental performance of automotive supply chains. It is of great importance to this
group of responsible automotive manufacturers that the individuals making vehicles, components, or providing services, are afforded
decent working conditions and are treated with dignity and respect, while minimising the environmental impact of the industry. As the
automotive industry has complex value chains and a deep structured supplier base, the group believes in the benefits of a common
approach and common messages towards suppliers, i.e. trainings and other activities. However, every party of the group shall maintain
the management of their independent supply chains. In the process of collaboration, the participants strongly agreed to work together
in compliance with competition law.

About CSR Europe

CSR Europe is the leading European business network for Corporate Social Responsibility. Representing 60 corporate members and
45 National Partners, it is a platform for supporting over 5,000 companies from different industrial sectors to positively contribute
to society

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