Appendix B
SAM Questionnaire: Examples of Questions1
The economic component contains questions about corporate governance, risk and crisis management, codes of conduct concerning compliance, corruption, and bribery.
Here is an example of a corporate governance question.
1. Respondents are asked to indicate whether the board of directors and supervisory board have issued a formal corporate governance policy. In addition, they are asked if the policy is available to the public and what issues it covers. Respondents are requested to indicate which of the following items apply to their organization.
[ ] Yes. A formal corporate governance statement has been issued.
[ ] It is available:____________ and or Web site:____________
[ ] There is a statement that the formal policy complies with current law.
[ ] There is a compensation framework and performance evaluation of the members of board of directors and or supervisory board, CEO, and senior executives.
[ ] There is a statement of independence from the board of directors and or supervisory board.
[ ] The attendance record of the board of directors and supervisory board meetings is disclosed.
[ ] The curriculum vitae and biographies of the board of directors and supervisory board are disclosed.
[ ] The other formal statements of board of directors and supervisory board members are disclosed.
[ ] There is no formal corporate governance policy.
[ ] The formal corporate governance policy is not applicable. Detailed explanations are requested.
[ ] Not known.
Below is a question pertaining to the company’s crisis and risk management.
1. Respondents are asked to indicate factors that are used by the company to systematically define corporate risk. Supporting documents are requested.
[ ] What is the probability that a risky event will occur?
[ ] What is the magnitude of that probability?
[ ] Over what time will the company be exposed to the risk?
[ ] How are the risks correlated?
[ ] Respondents are requested to specify others.
[ ] Not applicable. Explanations are requested.
[ ] Not known.
Here is an example of codes of conduct, compliance, corruption, and bribery.
1. Respondents are asked to indicate which items listed below are covered by the company’s anticorruption and bribery policy at a group level (including subsidiaries). References are requested.
[ ] There were bribes paid on any portion of contract payments or soft dollar practices.
[ ] There were direct or indirect political contributions made.
[ ] Political contributions publicly disclosed. Please attach supporting documents and or indicate Web address.
[ ] The organization made charitable contributions and provided sponsorship.
[ ] The company’s charitable contributions and sponsorship are publicly disclosed. Supporting documents and or Web address are requested.
[ ] There is a group-wide anticorruption and bribery policy to be installed within the next months.
[ ] The company has no anticorruption and bribery policy.
[ ] Not known.
[ ] Not applicable. Explanations are requested.
The environmental assessments are divided between environmental performance (eco-efficiency) and content of environmental report.
1. The chart below requests information about eco-efficiency.
[ ] No data collected.
[ ] Not applicable. Explanations requested.
[ ] Not known.
The social section covers labor practices, human capital development, talent attraction and development, corporate citizenship and philanthropy, and social reporting.
Here is a question relating to labor practices.
1. Respondents are asked to indicate systems that have to do with employee grievances and complaints. In addition, they are to indicate what is in place to ensure that employees can come forward about concerns in confidentiality.
[ ] There is a help line.
[ ] There is a whistle-blowing policy.
[ ] There is an independent person or department responsible for resolving complaints by employees. A diversity committee and a company ombudsman are examples.
[ ] There is counseling available.
[ ] Confidentiality is ensured. Specific examples are requested.
[ ] The company policies and related information are circulated throughout the company and in the appropriate languages for the employees.
[ ] There are no systems available.
[ ] Not applicable. Explanations are requested.
[ ] Not known.
A question on human capital is below.
1. The respondent is asked to indicate the tools and processes adopted throughout the company to manage training and knowledge management.
[ ] There are formal knowledge and learning networks that have regular meetings and staff support.
[ ] There are intranet-based databases.
[ ] The company’s intranet-based interactive databases are integrated into the daily processes.
[ ] Key Performance Indicators (KPI) from peer groups are compared across business segments.
[ ] Descriptions of best practice processes are systematically accessible.
[ ] There is a company university or access to external facility that is comparable.
[ ] There is an integrated employee idea management system.
[ ] The company does not use these tools.
[ ] Not applicable. Explanations are requested.
[ ] Not known.
The next question is relevant to talent attraction and retention.
1. The respondent should indicate how often the employees receive the company’s interim results that are used to determine variable pay from their line superiors?
[ ] Quarterly
[ ] Semiannually
[ ] Annually
[ ] The company’s interim results are not internally communicated.
[ ] Not applicable. Explanations are requested.
[ ] Not known.
The next question is about corporate philanthropy and citizenship.
1. Is there a system in place to systematically measure the impact of the company’s contributions? The intent of this systematic approach is to adjust or improve the company’s philanthropic and social investment strategy.
[ ] There is a measure for business outcomes and impact.
[ ] There is a measure for social outcomes and impact.
[ ] There is a measure for the impact on company reputation and stakeholder satisfaction.
[ ] If there are other measures, specific details are requested.
[ ] No system is in place.
[ ] Not applicable. Explanations are requested.
[ ] Not known.