前言 Preface

HOYA 集团制定员工所有决策和行为的基本准则。按照此基本准则，HOYA 的全体员工和董事都必须遵守法律规范和企业伦理。

Hoya as a group of companies has established a set of principles that guide our every decision and action. In accordance with such principles, all employees as well as the management of Hoya are absolutely committed to legal compliance and ethical practices.

所有供应商、供货商、承包商、顾问以及代理商等商品或服务之提供者（以下统称“供应 商”），与全球所属 HOYA 企业进行商业往来时，均须遵守本《供应商行为准则》。供应商 须至少要求其下一级供应商知悉并实施本《准则》。

All providers of goods and services, including but not limited to suppliers, vendors, contractors, consultants and agents (all hereinafter referred to as “Suppliers”), who do business with Hoya’s worldwide entities must comply with this Supplier Code of Conduct. At a minimum, Suppliers must also require their next tier suppliers to acknowledge and implement this Code.

I.简介 Introduction

本《准则》要求企业在开展业务时，须严格遵守当地国家的法律、法规和规章。作为建立商 业关系的基础和前提，Hoya 期望其供应商遵守此原则。具体要件详述如下：

Fundamental to this Code is the understanding that a business, in all of its activities and at any time, must operate in full compliance with the laws, rules and regulations of the countries in which it operates. Hoya expects the Suppliers to abide by such general rule as a basis and precondition for the business relationship. Further and more specifically, the following is required:

II.劳工 Labor

以下劳动规范标准适用于所有员工，包括派遣員工、外地劳工、打工的学生、合同制员工、 正式雇员以及任何其他类型的员工。

The following labor standards apply to all workers, including temporary, migrant, student, contract, direct employees, and any other type of worker.

1.自由选择就业 Freely chosen employment

不得进行强制劳动、抵债劳动、年限强制劳动、非自愿的监狱劳动、奴隶、人口贩卖等行为。 HOYA 企业不认同任何形式的童工、强制劳动或人口贩卖。同时，我们尊重个人人权，不会 与进行任何形式的童工、强制劳动或人口贩卖的供应链有业务往来。供应商承诺确保在其业 务范围和供应链中不存在奴隶和人口贩卖情况。

Forced, bonded or indentured labor, involuntary prison labor, slavery or trafficking of persons shall not be used. We do not accept child labor, forced labor, or human trafficking of any kind. Also, we will respect individual human rights and will not conduct business with supply chains which engage in any form of child labor, forced labor, or human trafficking. Suppliers commit to ensure that slavery and human trafficking are not taking place in their business and supply chains.

2.童工和青少年工人 Child Labor and Young Workers

供应商在制造产品的任何阶段都不得雇用童工。“儿童”的定义为未满 15 岁、未满义务教 育结束年龄、未满该国最低就业年龄三者之中，年龄标准最高者。HOYA 企业支持符合法 律、法规的工作场所学习计划。

Suppliers shall not allow child labor in any stage of manufacturing. The term “child” refers to any person under the age of 15, or under the age of completing compulsory education, or under the minimum age for employment in the country, whichever is greatest. The use of legitimate workplace learning programs, which comply with all laws and regulations, is supported.

青少年劳工（未满 18 岁）不得从事夜班和加班等可能会有损健康安全的工作。供应商对打 工学生的在校表现、教育机关的严格调查，以及学生或学徒的权利，都应按照适用的法律法 规保护，进行妥善管理。供应商应向所有打工的学生提供适当的支持和培训。如当地法律没 有相关规定，打工的学生、实习生和学徒的工资水平应至少达到从事相同或相似工作的入门 级员工的工资水平。

Young workers (under the age of 18) shall not perform work that is likely to jeopardize their health or safety, including night shifts and overtime. Suppliers shall ensure proper management of student workers through proper maintenance of student records, rigorous due diligence of educational partners, and protection of students’ rights in accordance with applicable law and regulations. Suppliers shall provide appropriate support and training to all student workers. In the absence of local law, the wage rate for student workers, interns and apprentices shall be at least the same wage rate as other entry-level workers performing equal or similar tasks.

3.工作条件和福利 Working conditions and benefits

支付给员工的薪酬，应符合最低工资、加班以及法律强制规定的福利等适用所有相关的法律。

Compensation paid to workers shall comply with all applicable laws, including those related to minimum wages, overtime hours and legally mandated benefits

一周的劳动时间不得超过当地法律规定的上限。但如有紧急情况或例外情况，得于当地法律 允许之范围内超过前述上限。

Workweeks are not to exceed the maximum set by local law, except in emergency or unusual situations to the extent permitted by local law.

供应商必须接受与育儿假、家庭照顾假、带薪休假等所有相关的适用法律，不允许与怀孕、 生育、育儿假或家庭照顾假相关的任何歧视或骚扰。

Suppliers must accept all applicable laws regarding childcare leave, family care leave, paid vacation and not tolerate any discrimination or harassment concerning pregnancy, childbirth, childcare leave, or nursing care leave.

4.人道待遇和无歧视原则 Humane Treatment and Non-Discrimination

供应商不得允许任何残酷或非人道待遇，或使用此类待遇的威胁。此外，供应商不得实施或 允许任何形式的骚扰（包含性骚扰），或不法歧视。

Supplier shall not use or tolerate any harsh or inhumane treatment or the threat of such treatment. Further, Supplier shall not engage in or tolerate any kind of harassment, including but not limited to sexual harassment, or unlawful discrimination.

5.结社自由 Freedom of association

所有赋予劳工自行选择组建和参加工会、进行集体谈判以及不参与结社之权利的法律，供应 商应予以遵守并尊重。

Suppliers shall conform with and respect all laws which confer to workers the right to form and join trade unions of their own choosing, to bargain collectively as well as to refrain from joining associations.

III.健康与安全 Health and Safety

供应商承诺尽量减少与工作有关的伤害和疾病的发生。为此，应实施以下健康和安全标准。

Suppliers commit to the task of minimizing the incidence of work-related injury and illness. To that end, the following health and safety standards shall apply.

1.职业安全 Occupational Safety

通过适当的设计和流程，降低劳工于工作环境的风险。如果通过这些措施仍无法将安全风险 控制在合理范围内，应向劳工提供适当的个人防护用具。

Worker exposure to safety hazards is to be controlled through proper design and processes. To the extend that hazards cannot be adequately controlled by these means, workers are to be provided with appropriate personal protective equipment.

应对生产和其他机械设备的安全风险情况进行评估，同时按照以上所述对此类风险进行管 理。

Production and other machinery shall be evaluated for safety hazards and such hazards shall be managed as above.

2.工伤和职业病 Occupational Injury and Illness

完善相关程序来管理工伤和职业病，包括完善规定以对工伤和职业病案件进行调查并实施纠 正措施，以尽可能杜绝工伤和职业病根源，同时帮助劳工重返工作岗位。

Procedures are to be in place to manage occupational injury and illness, including provisions to investigate cases and implement corrective action to minimize their causes, and facilitate the return of workers to work.

3.工业卫生 Industrial Hygiene

采取工程或管理手段，识别、评估和控制劳工暴露于化学物质、物理物质和生物制剂的情况。 如果通过这些手段无法将危害控制在合理范围内，应提供适当的个人防护用具。

Worker exposure to chemical, physical and biological agents is to be identified, evaluated and controlled by engineering or administrative controls. To the extent that hazards cannot be adequately controlled by these means, appropriate personal protective equipment shall be provided.

4.应急措施 Emergency Preparedness

识别并评估潜在的紧急情况和事件，通过实施应急计划和应对程序（包括适当的火灾探测和 灭火设备、疏散程序以及撤离设施），将影响降低至最小程度。

Potential emergency situations and events are to be identified and assessed, and their impact minimized by implementing emergency plans and response procedures, including appropriate fire detection and suppression equipment, evacuation procedures and exit facilities.

5.培训 Training

供应商应向劳工提供适当的工作场所安全卫生训练，包括关于个人防护设备的训练，并酌情 提供应急计划训练。

Supplier shall provide workers with appropriate workplace health and safety training, including training on personal protective equipment, where applicable, and on emergency plans.

IV.环境问题 Environmental

保护环境是一个全球性问题。我们致力于以安全、对环境负责任的方式开展业务，并且期望 供应商能够做到以下几点。

Protecting the environment is a global concern. We are committed to conducting our business in a safe and environmentally responsible manner and we expect the following from Supplier.

1.环保许可证 Environmental Permits

获得所有必须的环保许可证（如排放监控）、批准和登记，并必须持续更新。

All required environmental permits (e.g. discharge monitoring), approvals and registrations are to be obtained and kept current at all times.

2.适用法律 Applicable Rules

所有的产品、零件或材料，以及所有的生产过程都必须符合供应商所在国家和地区的所有适 用法律，这是最低要求。

All products, components or substances as well as all production processes must meet the requirements of all applicable law for the country and region in which Supplier operates, as a minimum.

如供应商接受 HOYA 提供的与环境事项（如环保许可证和报告、预防污染与减少资源使用、 危险物质、废水和固体废物、大气污染物质排放、材料限制、雨水管理和／或能源消耗以及 温室气体排放等）有关的任何附加的规范、规章或政策资料，供应商也应严格遵守这些规定。

If we provide any additional material to Suppliers consisting of any rules, regulations or policies on environmental matters, including but not limited to environmental permits and reporting, pollution prevention and resource reduction, hazardous substances, wastewater and solid waste, air emissions, materials restrictions, storm water management, and/or energy consumption and greenhouse gas emissions, Suppliers shall also strictly follow such provisions.

V.企业伦理和公司治理 Ethics and Business Governance

我们希望我们的供应商遵守所有适用的法律，包括但不限于英国反贿赂法（UK Bribery Act） 和美国反海外腐败法（United States Foreign Corrupt Practices Act），并坚持高标准的道德 规范。Hoya 集团合规的具体重点是在以下领域：

We expect our Suppliers to comply with all applicable law, including but not limited to the UK Bribery Act and the United States Foreign Corrupt Practices Act, and to uphold high standards of ethics. A specific focus for Hoya is compliance in the following fields:

1.反腐败之商务礼品和娱乐 Anti-Corruption/ Gifts and Entertainment

Hoya 要求供应商在与所有商业伙伴的所有交易中充分遵守反腐败和反贿赂的适用法律和法 规，包括但不限于《经合组织打击国际商业交易中贿赂外国公职人员公约》、英国《反贿赂 法》、美国《反海外腐败法》以及任何进一步或更严格的地方规则。

Hoya requires from Suppliers to comply fully and in all transactions with all business partners with the applicable laws and regulations of anti-corruption and anti-bribery, including but not limited to the OECD Convention on Combating Bribery of Foreign Public Officials in International Business Transactions, the UK Bribery Act, the United States Foreign Corrupt Practices Act, and any further or stricter local rules.

不容许为获取不正当或不恰当利益之贿赂或为其他目的所为之承诺、提供、许可、给予、收 受等行为。这一禁止规定涵盖了直接或通过第三方间接承诺、提供、许可、给予、接受任何 有价值之物，以获取或保留业务、将业务介绍给第三方或者获取不正当利益之行为。

For clarification, bribes or other means of obtaining undue or improper advantage are not to be promised, offered, authorized, given or accepted. This prohibition covers promising, offering, authorizing, giving or accepting anything of value, either directly or indirectly through a third party in order to obtain or retain business, direct business to any third party, or otherwise gain an improper advantage.

HOYA 有正当理由相信供应商未能遵守上述任何规则，HOYA 在法律允许的范围内，应有 权对该供应商实行延迟付款，和／或终止业务关系并立即生效。如 HOYA 在本规定下实行 的决策对供应商造成任何损失或损害，HOYA 概不负责。

In case Hoya has reason to believe in good faith that Suppliers do not comply with any of the above mentioned rules, to the extent permitted by law, Hoya shall be entitled to withhold any payment due to such Suppliers, and/or terminate the business relationship with immediate effect. Hoya is not liable to Suppliers for any loss or damage related to Hoya’s decision to exercise its right under this provision.

供应商应仅在适用规则的许可范围内向业务伙伴提供或接受来自业务伙伴和／或政府官员 的任何礼物及款待。我们期望供应商了解任何可能适用的此类规定，包括适用于全球和／或 在各自原籍国外的规定，如英国《反贿赂法》和美国《反海外腐败法》。

Suppliers shall offer and accept any gifts and entertainment to or by business partners and/or governmental officials only within the scope of the applicable rules. We expect Suppliers to be aware of any of such rules that might apply, including but not limited to those that apply worldwide and/or outside of the respective countries of origin, e.g. the UK Bribery Act and the United States Foreign Corrupt Practices Act.

2.商业廉洁性 Business Integrity

除上述外，供应商不得实施或容忍任何形式的敲诈勒索或挪用公款行为。供应商应遵守关于 公平竞争的所有适用规则。实施任何商业行为时均应透明公开，并如实反映在会计账册中。

Further to the above, Supplier shall not engage nor tolerate any form of extortion and embezzlement. Supplier shall abide by all applicable rules regarding fair competition. All business dealings shall be transparently performed and accurately reflected in Suppliers’ books.

3. 国际和平与安全保障 International Peace and Security

国际社会通过多种条约和协议管制出口，以防止武器落入可能带来安全隐患的团体手中。特 定产品和技术不只可以用在一般产品上，但也可以用来生产武器，因此出口应受到严格管制。 供应商应遵守适用于该地区以及适用于供应商供应产品的所有输出管理法规。供应商应提供 符合输出管理法规要求所有信息和文件，且不得无故拖延。

The international community regulates export under various treaties and agreements to prevent arms from getting into the hands of groups that present security concerns. Certain products and technologies can be used for the production of peaceful products as well as for weapons. Hence the export is strictly regulated. Suppliers shall abide by all export control legislation applicable to the region and the products Suppliers offer. Suppliers shall support us with all information and documentation needed to fulfill the preconditions of any export control regulation completely and without undue delay.

4. 保密责任、知识产权 Duty of Confidentiality, Intellectual Property

技术信息对 HOYA 保持竞争力至关重要，必须严格保护、防止泄露。这一规定同样适用于 与新发明或共同开发的产品相关的保密信息。

Technical information is of great importance to us in staying competitive and must be protected from leakage. This also applies to confidential information on new inventions or co-developed items.

5.数据隐私 Data Privacy

无论我们在哪里开展业务，我们致力于遵守所有适用的隐私和数据保护法律。供应商必须尊 重其员工的隐私。Hoya 集团所收集到的任何关于员工或第三方的个人信息，都将被谨慎对 待，受到保护，并合法合理地使用。

We are committed to complying with all applicable privacy and data protection laws, wherever we do business. Suppliers must respect their employees’ privacy. Any personal information Hoya collects, regarding employees or any third party, will be treated with care, protected, and used lawfully and properly.

6.反社会势力 / 有组织犯罪 Anti-Social Forces/ Organized Crime

反社会势力指下列情形之一

Anti-Social Forces means

(a) 织性犯罪团伙、组织犯罪团伙成员或与组织犯罪团伙有关连、或与上述等同的团伙、成 员或关连，无论其组织形式或法定形式如何；

an organized crime group, a member of such group, or any association of organized crime groups, or any equivalent to the aforementioned, regardless of the form of organization or legal form, or

(b) 亲自或通过第三方使用暴力实施要求，超出法定权利范围实施不正当要求，使用欺诈 手段或实施等同于以上所述行为者。

a person or group who themselves or through the use of third parties conducts demands with the means of violence, conducts unreasonable demands beyond its legal entitlement, uses fraudulent means, or any equivalent of the above.

供应商保证并表明不属于上述定义的反社会势力。并且，供应商无与反社会势力有任何牵连、 无受到反社会势力协助或向反社会势力提供资金、及不得与遭社会谴责的反社会势力力有任 何关系。

Suppliers warrant and represent to not fall themselves under the above definition of Anti- Social Forces. Further, Suppliers shall not have any relationship with Anti-Social-Forces that shows the involvement of Anti-Social-Forces in Suppliers’ management, that shows reliance on Anti-Social Forces, that consists of any kind of cooperation with or funding of Anti-Social Forces or that is socially condemnable.

不论是否有任何其他适用的法律救济措施，HOYA 及 HOYA 集团各企业得直接终止与违反 第五条第 6 项之供应商之契约。

Notwithstanding any other applicable legal remedies, Hoya and any of Hoya’s worldwide entities shall be entitled to terminate any agreement with Suppliers who do not operate in accordance with this clause V.6 with immediate effect for good cause.

7.负责任的矿产品采购 Responsible Sourcing of Minerals

供应商应实行相应政策，合理保证其生产的产品、零件、部件、材料所使用的钶钽铁矿（钽）、 锡石、金、黑钨矿及其任何衍生物，如钽、锡、钨以及任何其他美国《多德－弗兰克华尔街 改革和消费者保护法》（Dodd-Frank Wall Street Reform and Consumer Protection Act）第 1502 部分定义为冲突矿石的矿石，不会直接或间接资助刚果民主共和国或其相邻国家的武 装部队，或使之受益。供应商应对矿石的采购源和保管链认证展开尽职调查，并在 HOYA 要求时提供尽职调查的方法。

Suppliers shall have a policy to reasonably assure that the columbite-tantalite (coltan), cassiterite, gold, wolframite, any of their derivatives, including but not limited to tantalum, tin, and tungsten, or any other mineral as defined as conflict mineral in Sec. 1502 of the US Dodd-Frank Wall Street Reform and Consumer Protection Act, in the products, parts, components, and materials they manufacture does not directly or indirectly finance or benefit armed groups in the Democratic Republic of the Congo or an adjoining country. Suppliers shall exercise due diligence on the source and chain of custody of these minerals and make their due diligence measures available to Hoya upon request.

Ⅵ.问题和报告 Questions and Reporting

如对本《准则》有任何疑问，供应商应联系其在 HOYA 的直接联系人。违反本《准则》的 行为可通过 supplierconduct@hoya.com 进行举报。不论保密信息的法律要件为何，HOYA 将尽力保护举报人之身份，并对举报内容进行调查。

Supplier shall direct any questions on this Code to his/her direct contact at Hoya. Violations of this Code can be reported to supplierconduct@hoya.com. Hoya will, notwithstanding legal requirements for disclosure, use reasonable effort to maintain the confidentiality of the identity of anyone reporting a violation of this Code and still investigate any reported violation.