FAQ – Self-Assessment Questionnaire for
Sustainability (SAQ)

FAQ – Self-Assessment Questionnaire for Sustainability (SAQ)

PUBLIC© Schaeffler Technologies AG Version 1.0 vom 08.03.2021

Content
1.

Preface ................................................................................................................................................................ 3

2.

Why is there a Self-Assessment on sustainability for suppliers? ........................................................................ 33.

How is the SAQ related to supplier evaluation or awarding? ............................................................................. 3

4.

Who is NQC Ltd.? ................................................................................................................................................ 3

5.

Why is the supplierassurance.com platform used to query the SAQ?................................................................ 3

6.

What is the benefit of the SAQ and why is it important for Schaeffler?............................................................. 4

7.

Which suppliers must complete the SAQ? .......................................................................................................... 4

8.

How the supplier selection is made? .................................................................................................................. 4

9.

Do suppliers have to pay anything for answering the SAQ on supplierassurance.com? .................................... 4

10.

How long do suppliers have to complete the SAQ? ....................................................................................... 4

11.

In which languages is the SAQ available? ....................................................................................................... 4

12.

How long is the SAQ valid? ............................................................................................................................. 5

13.

Can questions change in the SAQ? ................................................................................................................. 5

14.

What to do if the given DUNS number is not correct? ................................................................................... 515.

How can suppliers deposit the SAQ for multiple locations?........................................................................... 5

16.

How suppliers can continue to work on an SAQ that has already been started? .......................................... 5

17.

What do the different statuses on supplierassurance.com mean? ................................................................ 5

18.

What can suppliers do if a document has not been recognized in the validation of their SAQs? .................. 619.

Can suppliers delete a SAQ or stop sharing? .................................................................................................. 620.

Who can suppliers contact in case of technical problems? ............................................................................ 621.

Who can suppliers contact if they have questions about the content of the SAQ? ....................................... 6

22.

Where can suppliers find further relevant information? ............................................................................... 7

23.

Procedure for service providers/ traders with reference to a parent company ............................................ 7

FAQ – Self-Assessment Questionnaire for Sustainability (SAQ)

PUBLIC© Schaeffler Technologies AG Version 1.0 vom 08.03.2021

1. Preface
With this information, we would like to offer you as our suppliers the opportunity to receive answers to frequently
asked questions about the Self-Assessment Questionnaire (SAQ) and corresponding background information.
We hope this information is helpful and suitable to support the process of self-assessment within the framework of
the sustainability questionnaire.

2. Why is there a Self-Assessment on sustainability for suppliers?
The Self-Assessment Questionnaire (SAQ) is a joint questionnaire of the Drive Sustainability initiative. In thisinitiative, 11 OEMs are working under the leadership of CSR Europe to improve sustainability in the automotive
supply chain.
This goal can only be achieved jointly if OEMs and suppliers work together in the network, which is why Schaeffler
has also opted for this system.
The SAQ includes questions on sustainability management, the environment, human rights and working conditions,ethics and compliance, and responsible sourcing of raw materials. It is based on a common standard of theautomotive industry on sustainability in the supply chain, the so-called "Automotive Industry Guiding Principles toEnhance Sustainability Performance in the Supply Chain" and was created as a standardized tool for measuring theperformance of stakeholders in the automotive industry. It allows you, our suppliers, to complete the samequestionnaire for multiple customers, whether OEM or upstream supplier, and not face many different sets ofquestions. The effort for the supply chain should thus be reduced.

3. How is the SAQ related to supplier evaluation or awarding?
The SAQ is not yet part of the sustainability module in the Schaeffler supplier evaluation. In addition to the complaint
information, a simplified evaluation of your SEHS performance (Sustainability, Environment, Health and Safety) iscurrently still being carried out. This currently considers the status of your certificates for environmental
management systems, occupational health, and safety, and SCoC recognition.
However, for contracts with a higher purchasing volume, the existence of an SAQ is already expected and included in
the award decisions.

4. Who is NQC Ltd.?
The service provider NQC Ltd. is an external service provider that provides the supplierassurance.com platform on
which the SAQ is completed. Currently, in addition to the participating members of Drive Sustainability (BMW,
Daimler, Ford, FCA, Honda, Toyota, Volkswagen Group, Volvo Cars and Volvo Group), numerous suppliers such as
Schaeffler also use this service provider NQC Ltd.

5. Why is the supplierassurance.com platform used to query the SAQ?
The supplierassurance.com platform is used to allow all stakeholders and interested parties to answer the SAQ once
and then share the answers with your customers. Suppliers can also track and predefine with which customers theirdata is shared by entering and sharing it. This ensures that work is done in compliance with antitrust regulations. At
no point can an OEM or upstream supplier in the supply chain see if a supplier has shared their SAQ responses withanother party.
Certificates and other documents requested as part of the SAQ response can be uploaded to the platform. They will
be reviewed by the validation team of NQC Ltd. Based on this validation, suppliers receive recommendations toimprove their sustainability performance as well as a score that provides guidance on sustainability performance(100% as the best possible score). After implementing recommended actions, suppliers can revise their answers in
the SAQ directly on the platform and inform their customers directly about improvements in their sustainability
performance.

FAQ – Self-Assessment Questionnaire for Sustainability (SAQ)

PUBLIC© Schaeffler Technologies AG Version 1.0 vom 08.03.2021

6. What is the benefit of the SAQ and why is it important for Schaeffler?
The response to the SAQ is intended to show the extent to which suppliers meet Schaeffler's sustainability
requirements, i.e. backed up with evidence. These requirements, the Schaeffler Supplier Code of Conduct, areavailable to our business partners on the landing page at www.Schaeffler.de. The requirements are contractuallybinding and apply to suppliers regardless of the production materials, processes, or services provided.
The sustainability performance of suppliers will play a relevant role in the contract award process in the future. In
this context, the SAQ is a central component in the assessment of the sustainability performance of suppliers. Only
with an available assessment can suppliers be considered for new orders in the future.

7. Which suppliers must complete the SAQ?
Basically, the SAQ is relevant for all production material suppliers and selected non-production material suppliers in
the application. As a supplier, you will be actively contacted and asked to answer the query. It is important to notethat this is done via the service provider NQC Ltd. who acts in our name or on our behalf and sends the invitation toyou. Please note that the invitation code can only be used by the contacted e-mail recipient.
If this is not the correct or responsible contact person in your organization, please provide us with the correct contact
person (including email address and phone number).
If you are already registered on NQC Ltd., have answered an SAQ and have not yet been requested to do so by
Schaeffler, you are invited to share it with us. Please contact us via: purchasing-sustainability@schaeffler.com so that
we can send you an invitation code.

8. How the supplier selection is made?
Suppliers are selected in two ways. In order to achieve the target*, which is also reported in the sustainability report
as well as a KPI to the Schaeffler Board, firstly, purchasing volume-oriented campaigns are launched withapproximately 100-150 suppliers each and secondly, suppliers can be invited for business reasons, e.g. for new
projects or in the case of procurement that may be risky.
* As a KPI in our sustainability report, by the end of 2022 we have a target of sourcing 90% of the purchasing volume
of production materials from suppliers who have completed an SAQ.

9. Do suppliers have to pay anything for answering the SAQ on
supplierassurance.com?
No, the SAQ is available free of charge to all suppliers who are requested to respond to the SAQ. The costs are borneby Schaeffler or proportionally by the customers to whom the supplier allows sharing.

10. How long do suppliers have to complete the SAQ?
In the invitations sent by NQC ltd. we specify a time frame for answering the SAQ (usually 4 weeks). The respective
campaigns have a defined duration within which registration with the specified invitation code is possible. This is
usually several weeks, whereby the supplier is continuously reminded by NQC ltd. to fill the SAQ. In the case ofindividual requests from projects, for example, the sourcing decision date or SOP can be defined as the deadline forfinalizing the SAQ.
For more details, please contact your known contact person of the purchasing department at Schaeffler.

11. In which languages is the SAQ available?
The SAQ is available on the Drive Sustainability Website in PDF version in the following languages: Chinese Mandarin,
Czech, English, French, German, Hungarian, Italian, Japanese, Polish, Portuguese, Russian, Spanish, Turkish. The

FAQ – Self-Assessment Questionnaire for Sustainability (SAQ)

PUBLIC© Schaeffler Technologies AG Version 1.0 vom 08.03.2021

supplierassurance.com platform offers Chinese (Mandarin), English, French, German, Hindi, Japanese, Korean andSpanish languages.
However, the documents uploaded as evidence (e.g. certificates, training records, etc.) should be provided in one of
the following languages: English or German. We therefore ask our suppliers to have corresponding documents
translated. This Translation does not have to be notarized.

12. How long is the SAQ valid?
Basically, the answers in the SAQ that you deposit on the platform do not lose their validity. Only uploaded
certificates (e.g. an ISO 14001 certificate) may expire according to the specified validity period. The status on the
supplierassurance.com platform then changes to "Expired". As soon as suppliers have replaced correspondingly
expired certificates, the status "Completed" is displayed again. We expect our suppliers to update expired certificatesas soon as possible. The SAQ with an expired document will otherwise be considered invalid.

13. Can questions change in the SAQ?
Drive Sustainability revises the SAQ approximately every two years and publishes an updated version of the SAQ,
which is also implemented on the supplierassurance.com platform.
As a result of this adaptation, all users are asked to review the SAQ and respond to possible changes. These changes
usually reflect changes in requirements and may thus require additional evidence for existing questions or lead to theaddition of questions on new topics. The changes may also affect the assessment rating.

14. What to do if the given DUNS number is not correct?
As a supplier, you will be contacted based on the Schaeffler contact information from the ERP system (SAP).
Therefore, if any of this information, e.g. the DUNS, is incorrect, we request that you immediately contact thepurchasing contact at Schaeffler known to you to correct the data.
Only the e-mail recipient is authorized to register on the platform with the Schaeffler invitation code.
A query of the identification number (UPIK-DUNS) is possible under the following link: UPIK®-Plattform - Bisnode.de

15. How can suppliers deposit the SAQ for multiple locations?
Suppliers can use an already completed SAQ as a template for other company locations. For this purpose, when fillingout the SAQ for a new location, the template can be selected via the function "Reuse SAQ already filled out". Afterappropriate adjustments have been made in the SAQ, the adjusted SAQ must be shared with Schaeffler again.
In case of problems, the NQC technical support can assist.

16. How suppliers can continue to work on an SAQ that has already been started?
To continue working on an SAQ that has already been started, the corresponding location on the
supplierassurance.com platform must be located on the dashboard and "Respond" clicked.
If the option "Start new SAQ 4.0" on the right side of the dashboard is clicked instead, a new SAQ is created insteadof working on an already existing questionnaire. Suppliers should therefore ensure that the "Start new SAQ 4.0"
option is only clicked if a new SAQ is to be answered for a site for which no SAQ already exists

17. What do the different statuses on supplierassurance.com mean?
If a self-assessment is started, it is in the status "Responding". The supplier can edit the self-assessment andupload documents.

FAQ – Self-Assessment Questionnaire for Sustainability (SAQ)

PUBLIC© Schaeffler Technologies AG Version 1.0 vom 08.03.2021

Once all questions have been answered as best as possible, the SAQ must be "Submit" using the orange button on
the final page of the SAQ.
The SAQ is then given the status "Validating". In this phase, the answers in the SAQ are validated by NQC, i.e. NQCchecks whether the document uploaded for the respective answers can be accepted as evidence. This process usuallytakes within 5 business days. During this time, the SAQ cannot be processed by the supplier.
Once validation has been completed by NQC, the SAQ receives the status "Completed" and the score will be visible.
After that, further work can be done on the SAQ, documents can be updated or newly provided to further
improve the result. It should be noted, however, that the SAQ must be resubmitted and validated after eachprocessing, thus triggering a new review process by NQC.

18. What can suppliers do if a document has not been recognized in the validationof their SAQs?
Should a document (or several) not be accepted, suppliers will be informed by e-mail. On the supplierassurance.com
platform, suppliers have the possibility to view the reasons for rejection. To do this, the respective SAQ and the"View" option must be selected. In the overview of the SAQ's questions, the option "Workflow" can then be selected
and the last validation in the drop-down menu. Suppliers can then view the reviewers' comments and adjust the
documents accordingly.
Common reasons for rejection are insufficient coverage of relevant individual topics in the submitted guidelines, e.g.,
air pollution prevention is covered but wastewater prevention or disposal are missing. Other reasons can be that thescope is not sufficiently defined, e.g. the requested location is not included, management systems cannot be
documented or the proper assignment via documents without company logo is not given.
To complete the SAQ, either a valid document must be uploaded, or the question must be answered with "no" which
may lower the rating result.

19. Can suppliers delete a SAQ or stop sharing?
Yes, suppliers can delete an SAQ themselves using the "Delete" button on the corresponding SAQ but must remove
all active sharing before it will take action, this is to prevent accidental deletion of an SAQ.
Suppliers can deny a sharing relationship with a business partner at any time. They can stop sharing an SAQ byclciking on the "Share" button for the corresponding SAQ adn then "Deny" for the relationship they want to stop.
The business partner can no longer view the responses in the SAQ. However, removing the sharing access is not thesame as deleting an SAQ.

20. Who can suppliers contact in case of technical problems?
If you have any technical questions about the SAQ, NQC's support team will be happy to help, either by e-mail via thecontact form or by phone on +44 (0)1614137983. German-speaking support is also available there. Suppliers can also
use the live chat function on the platform once they are in the logged-in area.

21. Who can suppliers contact if they have questions about the content of the
SAQ?
Questions regarding content can be sent to the Purchasing & Supplier Management Sustainability Function at
Schaeffler via the following e-mail address: purchasing-sustainability@Schaeffler.com.

FAQ – Self-Assessment Questionnaire for Sustainability (SAQ)

PUBLIC© Schaeffler Technologies AG Version 1.0 vom 08.03.2021

It goes without saying that every effort will be made to answer all questions as quickly as possible. You can support
this by providing your contact and business data in full and describing the problem in concrete terms.

22. Where can suppliers find further relevant information?
In general, you will find all information on the Schaeffler company pages, also in several languages.

23. Procedure for service providers/ traders with reference to a parent company
If the documents, evidence or policies requested in the SAQ are not specific to your organization, but the relevant
documents of your parent company also apply to your organization, please answer "Yes" to the relevant questions in
the SAQ and upload the documents of your parent company.
In addition, please add the following in category J "Additional Information" in the SAQ:
"We are a service provider/trader and are unable to provide evidence of the required documents. We have uploaded
the documents and evidence of our parent company NAME as these are also valid for our organization."

FAQ – Self-Assessment Questionnaire for Sustainability (SAQ)

PUBLIC© Schaeffler Technologies AG Version 1.0 vom 08.03.2021