前言 Preface

HOYA 集團制定員工(gōng)所有(yǒu)決策和行為(wèi)的基本準則。按照此基本準則，HOYA 的全體(tǐ)員工(gōng)和董事都必須遵守法律規範和企業倫理(lǐ)。
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(yǒu)供應商(shāng)、供貨商(shāng)、承包商(shāng)、顧問以及代理(lǐ)商(shāng)等商(shāng)品或服務(wù)之提供者（以下統稱“供應 商(shāng)”），與全球所屬 HOYA 企業進行商(shāng)業往來時，均須遵守本《供應商(shāng)行為(wèi)準則》。供應商(shāng) 須至少要求其下一級供應商(shāng)知悉并實施本《準則》。
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.簡介 Introduction

本《準則》要求企業在開展業務(wù)時，須嚴格遵守當地國(guó)家的法律、法規和規章。作(zuò)為(wèi)建立商(shāng) 業關系的基礎和前提，Hoya 期望其供應商(shāng)遵守此原則。具(jù)體(tǐ)要件詳述如下：
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.勞工(gōng) Labor

以下勞動規範标準适用(yòng)于所有(yǒu)員工(gōng)，包括派遣員工(gōng)、外地勞工(gōng)、打工(gōng)的學(xué)生、合同制員工(gōng)、 正式雇員以及任何其他(tā)類型的員工(gōng)。
The following labor standards apply to all workers, including temporary, migrant, student, contract, direct employees, and any other type of worker.

1.自由選擇就業 Freely chosen employment

不得進行強制勞動、抵債勞動、年限強制勞動、非自願的監獄勞動、奴隸、人口販賣等行為(wèi)。 HOYA 企業不認同任何形式的童工(gōng)、強制勞動或人口販賣。同時，我們尊重個人人權，不會 與進行任何形式的童工(gōng)、強制勞動或人口販賣的供應鏈有(yǒu)業務(wù)往來。供應商(shāng)承諾确保在其業 務(wù)範圍和供應鏈中(zhōng)不存在奴隸和人口販賣情況。
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(gōng)和青少年工(gōng)人 Child Labor and Young Workers

供應商(shāng)在制造産(chǎn)品的任何階段都不得雇用(yòng)童工(gōng)。“兒童”的定義為(wèi)未滿 15 歲、未滿義務(wù)教 育結束年齡、未滿該國(guó)最低就業年齡三者之中(zhōng)，年齡标準最高者。HOYA 企業支持符合法 律、法規的工(gōng)作(zuò)場所學(xué)習計劃。
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.
青少年勞工(gōng)（未滿 18 歲）不得從事夜班和加班等可(kě)能(néng)會有(yǒu)損健康安(ān)全的工(gōng)作(zuò)。供應商(shāng)對打 工(gōng)學(xué)生的在校表現、教育機關的嚴格調查，以及學(xué)生或學(xué)徒的權利，都應按照适用(yòng)的法律法 規保護，進行妥善管理(lǐ)。供應商(shāng)應向所有(yǒu)打工(gōng)的學(xué)生提供适當的支持和培訓。如當地法律沒 有(yǒu)相關規定，打工(gōng)的學(xué)生、實習生和學(xué)徒的工(gōng)資水平應至少達到從事相同或相似工(gōng)作(zuò)的入門 級員工(gōng)的工(gōng)資水平。
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(gōng)作(zuò)條件和福利 Working conditions and benefits

支付給員工(gōng)的薪酬，應符合最低工(gōng)資、加班以及法律強制規定的福利等适用(yòng)所有(yǒu)相關的法律。
Compensation paid to workers shall comply with all applicable laws, including those related to minimum wages, overtime hours and legally mandated benefits
一周的勞動時間不得超過當地法律規定的上限。但如有(yǒu)緊急情況或例外情況，得于當地法律 允許之範圍内超過前述上限。
Workweeks are not to exceed the maximum set by local law, except in emergency or unusual situations to the extent permitted by local law.
供應商(shāng)必須接受與育兒假、家庭照顧假、帶薪休假等所有(yǒu)相關的适用(yòng)法律，不允許與懷孕、 生育、育兒假或家庭照顧假相關的任何歧視或騷擾。
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.人道待遇和無歧視原則 Humane Treatment and Non-Discrimination

供應商(shāng)不得允許任何殘酷或非人道待遇，或使用(yòng)此類待遇的威脅。此外，供應商(shāng)不得實施或 允許任何形式的騷擾（包含性騷擾），或不法歧視。
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.結社自由 Freedom of association

所有(yǒu)賦予勞工(gōng)自行選擇組建和參加工(gōng)會、進行集體(tǐ)談判以及不參與結社之權利的法律，供應 商(shāng)應予以遵守并尊重。
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.健康與安(ān)全 Health and Safety

供應商(shāng)承諾盡量減少與工(gōng)作(zuò)有(yǒu)關的傷害和疾病的發生。為(wèi)此，應實施以下健康和安(ān)全标準。
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.職業安(ān)全 Occupational Safety

通過适當的設計和流程，降低勞工(gōng)于工(gōng)作(zuò)環境的風險。如果通過這些措施仍無法将安(ān)全風險 控制在合理(lǐ)範圍内，應向勞工(gōng)提供适當的個人防護用(yòng)具(jù)。
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.
應對生産(chǎn)和其他(tā)機械設備的安(ān)全風險情況進行評估，同時按照以上所述對此類風險進行管 理(lǐ)。
Production and other machinery shall be evaluated for safety hazards and such hazards shall be managed as above.

2.工(gōng)傷和職業病 Occupational Injury and Illness

完善相關程序來管理(lǐ)工(gōng)傷和職業病，包括完善規定以對工(gōng)傷和職業病案件進行調查并實施糾 正措施，以盡可(kě)能(néng)杜絕工(gōng)傷和職業病根源，同時幫助勞工(gōng)重返工(gōng)作(zuò)崗位。
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(gōng)業衛生 Industrial Hygiene

采取工(gōng)程或管理(lǐ)手段，識别、評估和控制勞工(gōng)暴露于化學(xué)物(wù)質(zhì)、物(wù)理(lǐ)物(wù)質(zhì)和生物(wù)制劑的情況。 如果通過這些手段無法将危害控制在合理(lǐ)範圍内，應提供适當的個人防護用(yòng)具(jù)。
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.應急措施 Emergency Preparedness

識别并評估潛在的緊急情況和事件，通過實施應急計劃和應對程序（包括适當的火災探測和 滅火設備、疏散程序以及撤離設施），将影響降低至最小(xiǎo)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.培訓 Training

供應商(shāng)應向勞工(gōng)提供适當的工(gōng)作(zuò)場所安(ān)全衛生訓練，包括關于個人防護設備的訓練，并酌情 提供應急計劃訓練。
Supplier shall provide workers with appropriate workplace health and safety training, including training on personal protective equipment, where applicable, and on emergency plans.

IV.環境問題 Environmental

保護環境是一個全球性問題。我們緻力于以安(ān)全、對環境負責任的方式開展業務(wù)，并且期望 供應商(shāng)能(néng)夠做到以下幾點。
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.環保許可(kě)證 Environmental Permits

獲得所有(yǒu)必須的環保許可(kě)證（如排放監控）、批準和登記，并必須持續更新(xīn)。
All required environmental permits (e.g. discharge monitoring), approvals and registrations are to be obtained and kept current at all times.

2.适用(yòng)法律 Applicable Rules

所有(yǒu)的産(chǎn)品、零件或材料，以及所有(yǒu)的生産(chǎn)過程都必須符合供應商(shāng)所在國(guó)家和地區(qū)的所有(yǒu)适 用(yòng)法律，這是最低要求。
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.
如供應商(shāng)接受 HOYA 提供的與環境事項（如環保許可(kě)證和報告、預防污染與減少資源使用(yòng)、 危險物(wù)質(zhì)、廢水和固體(tǐ)廢物(wù)、大氣污染物(wù)質(zhì)排放、材料限制、雨水管理(lǐ)和／或能(néng)源消耗以及 溫室氣體(tǐ)排放等）有(yǒu)關的任何附加的規範、規章或政策資料，供應商(shāng)也應嚴格遵守這些規定。
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.企業倫理(lǐ)和公(gōng)司治理(lǐ) Ethics and Business Governance

我們希望我們的供應商(shāng)遵守所有(yǒu)适用(yòng)的法律，包括但不限于英國(guó)反賄賂法（UK Bribery Act） 和美國(guó)反海外腐敗法（United States Foreign Corrupt Practices Act），并堅持高标準的道德(dé) 規範。Hoya 集團合規的具(jù)體(tǐ)重點是在以下領域：
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.反腐敗之商(shāng)務(wù)禮品和娛樂 Anti-Corruption/ Gifts and Entertainment

Hoya 要求供應商(shāng)在與所有(yǒu)商(shāng)業夥伴的所有(yǒu)交易中(zhōng)充分(fēn)遵守反腐敗和反賄賂的适用(yòng)法律和法 規，包括但不限于《經合組織打擊國(guó)際商(shāng)業交易中(zhōng)賄賂外國(guó)公(gōng)職人員公(gōng)約》、英國(guó)《反賄賂 法》、美國(guó)《反海外腐敗法》以及任何進一步或更嚴格的地方規則。
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.
不容許為(wèi)獲取不正當或不恰當利益之賄賂或為(wèi)其他(tā)目的所為(wèi)之承諾、提供、許可(kě)、給予、收 受等行為(wèi)。這一禁止規定涵蓋了直接或通過第三方間接承諾、提供、許可(kě)、給予、接受任何 有(yǒu)價值之物(wù)，以獲取或保留業務(wù)、将業務(wù)介紹給第三方或者獲取不正當利益之行為(wèi)。
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(yǒu)正當理(lǐ)由相信供應商(shāng)未能(néng)遵守上述任何規則，HOYA 在法律允許的範圍内，應有(yǒu) 權對該供應商(shāng)實行延遲付款，和／或終止業務(wù)關系并立即生效。如 HOYA 在本規定下實行 的決策對供應商(shāng)造成任何損失或損害，HOYA 概不負責。
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.
供應商(shāng)應僅在适用(yòng)規則的許可(kě)範圍内向業務(wù)夥伴提供或接受來自業務(wù)夥伴和／或政府官員 的任何禮物(wù)及款待。我們期望供應商(shāng)了解任何可(kě)能(néng)适用(yòng)的此類規定，包括适用(yòng)于全球和／或 在各自原籍國(guó)外的規定，如英國(guó)《反賄賂法》和美國(guó)《反海外腐敗法》。
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(shāng)業廉潔性 Business Integrity

除上述外，供應商(shāng)不得實施或容忍任何形式的敲詐勒索或挪用(yòng)公(gōng)款行為(wèi)。供應商(shāng)應遵守關于 公(gōng)平競争的所有(yǒu)适用(yòng)規則。實施任何商(shāng)業行為(wèi)時均應透明公(gōng)開，并如實反映在會計賬冊中(zhōng)。
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. 國(guó)際和平與安(ān)全保障 International Peace and Security

國(guó)際社會通過多(duō)種條約和協議管制出口，以防止武器落入可(kě)能(néng)帶來安(ān)全隐患的團體(tǐ)手中(zhōng)。特 定産(chǎn)品和技(jì )術不隻可(kě)以用(yòng)在一般産(chǎn)品上，但也可(kě)以用(yòng)來生産(chǎn)武器，因此出口應受到嚴格管制。 供應商(shāng)應遵守适用(yòng)于該地區(qū)以及适用(yòng)于供應商(shāng)供應産(chǎn)品的所有(yǒu)輸出管理(lǐ)法規。供應商(shāng)應提供 符合輸出管理(lǐ)法規要求所有(yǒu)信息和文(wén)件，且不得無故拖延。
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. 保密責任、知識産(chǎn)權 Duty of Confidentiality, Intellectual Property

技(jì )術信息對 HOYA 保持競争力至關重要，必須嚴格保護、防止洩露。這一規定同樣适用(yòng)于 與新(xīn)發明或共同開發的産(chǎn)品相關的保密信息。
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.數據隐私 Data Privacy

無論我們在哪裏開展業務(wù)，我們緻力于遵守所有(yǒu)适用(yòng)的隐私和數據保護法律。供應商(shāng)必須尊 重其員工(gōng)的隐私。Hoya 集團所收集到的任何關于員工(gōng)或第三方的個人信息，都将被謹慎對 待，受到保護，并合法合理(lǐ)地使用(yòng)。
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.反社會勢力 / 有(yǒu)組織犯罪 Anti-Social Forces/ Organized Crime

反社會勢力指下列情形之一
Anti-Social Forces means
(a) 織性犯罪團夥、組織犯罪團夥成員或與組織犯罪團夥有(yǒu)關連、或與上述等同的團夥、成 員或關連，無論其組織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) 親自或通過第三方使用(yòng)暴力實施要求，超出法定權利範圍實施不正當要求，使用(yòng)欺詐 手段或實施等同于以上所述行為(wèi)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.
供應商(shāng)保證并表明不屬于上述定義的反社會勢力。并且，供應商(shāng)無與反社會勢力有(yǒu)任何牽連、 無受到反社會勢力協助或向反社會勢力提供資金、及不得與遭社會譴責的反社會勢力力有(yǒu)任 何關系。
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.
不論是否有(yǒu)任何其他(tā)适用(yòng)的法律救濟措施，HOYA 及 HOYA 集團各企業得直接終止與違反 第五條第 6 項之供應商(shāng)之契約。
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.負責任的礦産(chǎn)品采購(gòu) Responsible Sourcing of Minerals

供應商(shāng)應實行相應政策，合理(lǐ)保證其生産(chǎn)的産(chǎn)品、零件、部件、材料所使用(yòng)的钶钽鐵礦（钽）、 錫石、金、黑鎢礦及其任何衍生物(wù)，如钽、錫、鎢以及任何其他(tā)美國(guó)《多(duō)德(dé)－弗蘭克華爾街(jiē) 改革和消費者保護法》（Dodd-Frank Wall Street Reform and Consumer Protection Act）第 1502 部分(fēn)定義為(wèi)沖突礦石的礦石，不會直接或間接資助剛果民(mín)主共和國(guó)或其相鄰國(guó)家的武 裝(zhuāng)部隊，或使之受益。供應商(shāng)應對礦石的采購(gòu)源和保管鏈認證展開盡職調查，并在 HOYA 要求時提供盡職調查的方法。
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.問題和報告 Questions and Reporting

如對本《準則》有(yǒu)任何疑問，供應商(shāng)應聯系其在 HOYA 的直接聯系人。違反本《準則》的 行為(wèi)可(kě)通過 supplierconduct@hoya.com 進行舉報。不論保密信息的法律要件為(wèi)何，HOYA 将盡力保護舉報人之身份，并對舉報内容進行調查。
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.