Socionext Group CSR Procurement Guidelines

First Edition

July 2023
SocionextDocument Code : AD00-00005-1E

Contents
1. Introduction ......................................................................................................................................... 2
2. Socionext Group Purpose・Philosophy ....................................................................................................... 3
2.1 Purpose（Socionext Basic Philosophy） .......................................................... 3
2.2 Action Guidelines .......................................................................... 4
2.3 Corporate Social Responsibility Guidelines ...................................................... 4
2.4 Management Policy ......................................................................... 4
2.5 Procurement Policy ......................................................................... 4
2.6 Labor Policy .............................................................................. 5
2.7 Environment Policy ......................................................................... 6
2.8 Ethics Policy .............................................................................. 6
2.9 Information Security Policy................................................................... 7
3. What we ask of our suppliers in Socionext Group CSR Procurement Guideline ................................................ 7
3.1 Compliance with the RBA Code of Conduct ..................................................... 7-1-

1. Introduction
Socionext Group has established a code of conduct based on the below values of Change, Technology, Growth,
Speed, and Sustainability as we work to achieve our stated mission of “Together with our global partners, we bringinnovation to everyone everywhere.”
Based on these fundamental principles, our CSR activities are aimed at using our business to further improveenterprise value while solving a variety of social problems and realizing a better society.
We believe that Socionext Group has a social responsibility to look beyond quality, technology, price, delivery
schedules, and other factors that directly impact our business and work toward solutions for societal problems suchas human rights, labor, the environment, and ethics—not just in terms of our own employees, but throughout our
entire supply chain. Socionext Group CSR Procurement Guidelines was created based on this concept. we ask that
our suppliers understand the meaning of the Socionext Group CSR Procurement Guidelines and conduct theirbusiness in accordance with these guidelines. Similarly, we request that our suppliers also ask the members of theirown supply chains to understand and abide by these Socionext Group CSR Procurement Guidelines.

Production Control Group
Socionext-2-2. Socionext Group Purpose・Philosophy
2.1 Purpose（Socionext Basic Philosophy）
Mission“Together with our global partners, we bring innovation to everyone everywhere.”

Value[Change]

We adapt ourselves to the disruptive discontinuous changes in business, technology, mind,
operations, and other environments.

[Technology]

By pursuing cutting-edge technology, we aim to become a company that supports global
innovation through development of competitive technology.

[Growth]Our growth contributes to the growth of all stakeholders, including shareholders, customers,
partners, and employees.

[Speed]We respond quickly to dynamic and rapidly-changing markets and customers.

[Sustainability]

We ensure a sustainable future by creating a cohesive society with customers and partners.

-3-2.2 Action Guidelines
・Each individual takes ownership of his or her work, responds to changes in the environment, and thinks andacts independently from a market oriented customer perspective.to maintain access to growing markets andcompanies, we address customers’ problems with effective solutions backed by the latest technologies andknowledge.
・Each individual’s willingness to take on challenges to persevere toward his or her goals and the desire to
become a professional will lead to personal and company growth.
・We make speedy decisions on an individual and organizational basis, always looking ahead and creating value
for customers.
・As a member of the global society, we will fulfill our corporate social responsibilities and contribute to therealization of a sustainable and prosperous society.

2.3 Corporate Social Responsibility Guidelines
・Compliance with laws, regulations and social standards
We fully comply with laws, regulations, and social standards, thus earning the trust of society.
・Respect for human rights
We respect each individual’s rights, and do not discriminate or tolerate human rights violations.
・Establishing an improved work environment
We want our employees to be happy. We respect their individuality, treat them fairly and aim to create a healthy
and comfortable work environment.
・Environmental considerations
We conduct our business with consideration for the global environment.
・Promoting fair trade
Our relationships with our customers and suppliers are built on trust, in accordance with the principles of fairtrade.
・Information management
We carefully manage and ensure the confidentiality company information, third party information from and ourcustomers suppliers, and personal information.
・Respect for intellectual property
We value and protect intellectual property, which is the primary corporate asset.
2.4 Management Policy
At the Socionext Group, we are putting our guiding principles into practice through our own distinctive Solution SoC
business model for customers wanting to develop leading-edge custom SoCs whereby we combine an optimal mix oftechnologies to implement the functions they require.
Along with the automotive, networking & data center, and smart device fields that represent our leading growth
sectors, we are also seeking to combine regional balance with the winning of more business from global customers in
the industrial field and in IoT & radar sensing.
Along with winning the trust of customers and supporting their growth by becoming the SoC supplier of choice tomajor global and growth companies, our business activities also serve as a means for us to leverage our technologies
to help overcome the challenges facing society, in areas like low power consumption, for example. Moreover, throughthe development work we undertake in partnership with customers, we seek to create a virtuous circle of growth forboth engineers and the company, enhancing corporate value through this growth and thereby generating returns forour shareholders.
2.5 Procurement Policy“Together with our global partners, we bring innovation to everyone everywhere.” This is the mission that theSocionext Group has set itself.to realize this vision and fulfill our social responsibilities as a global company, we
have established rules for procurement whereby the goods and services we require are purchased from the global
market at appropriate quality, price, and delivery terms in a way that is in keeping with the laws of each country-4-and is based on fair and reasonable trading relationships.
We are also taking steps to reinforce sustainable supply chain arrangements by reducing the risks associated withsocietal challenges throughout our supply chain, including at our customers and suppliers. Along with labor, humanrights, ethics, environmental, and business continuity considerations, this also includes responsible minerals
procurement.
・Coexistence and Co-prosperity with Suppliers
Socionext Group works with many different suppliers and procures a broad range of things for the purpose ofdesigning, developing, and selling products. Based on this understanding, we aim to work closely with Socionext
Group’s suppliers and build mutual relationships of trust over the long term while also working individually to levelup our own abilities so that we can all continue to prosper together.
・Fair and Impartial Evaluation of Suppliers
We evaluate suppliers through a comprehensive evaluation based on economic rationality, including (1) reliability,(2) technological capabilities, (3) quality, price, and delivery time of procured goods, and (4) Status of efforts tofulfill corporate social responsibility. In terms of comprehensive evaluation, regardless of the business scales andregardless of whether it is domestic or overseas, we will always strive to create fair and just opportunities for newmarket entry applicants and respond sincerely to them.
・Select Suppliers through Fair Criteria
In selecting suppliers, we will, in principle, procure from suppliers with the most favorable terms and conditions
based on a comprehensive evaluation of economic rationality, including corporate reliability, technologicalcapabilities, and the specifications, quality, and performance of the goods and services to be procured, as well astransaction terms and conditions and the status of corporate social responsibility initiatives.
・Compliance with Laws and Social Norms
Socionext Group will maintain compliance with all laws and company regulations. In our procurement activities, wewill strive to fully understand and comply with relevant laws and regulations, and respect the spirit of such laws
and regulations in conducting operations.
・Ensure Transparency
To ensure transparency in our business dealings, we will clarify how companies can start doing business with
Socionext Group by outlining the entire process, including our fundamental business policies, criteria for selecting
suppliers, etc. where necessary. Upon request, we will also explain to prospective new entrants in an easy-tounderstand manner where they are in the process of receiving an order.
・Ethical Principles
Socionext Group will comply with social norms and corporate ethics and promote socially responsible procurement
activities such as human rights, labor, health and safety, global environmental conservation, responsible mineralprocurement, security trade control, and information security with our suppliers.

2.6 Labor Policy・Basic Philosophy Regarding Human Rights
In the CSR policies that constitute our group philosophy, the Socionext Group recognizes thatit has an important duty to respect human rights and to maintain a good working environment.
「Respect for human rights」：
We will respect the human rights of each and every employee and have no tolerance for discrimination or othersuch violations of human rights.
「Maintain a good working environment」：
To foster the wellbeing of employees, we will create a healthy and pleasant working environment that respects
individuality and treats people fairly.
At the Socionext Group, we respect the human rights of all stakeholders involved in the conduct of our business(including customers, suppliers, employees, and local communities) and will not treat people in ways that are-5-

discriminatory or violate their human rights, whether it be with regard to gender, age, nationality, ethnicity,
beliefs, religion, social status, employment type, marital status, pregnancy, ancestry, sexual orientation orgender identification, physical features, health, disability, or other such attributes.
We will respect the human rights of everyone who works at the Socionext Group or in our supply chain. Alongwith eliminating harassment and providing a healthy and empowering workplace, we will comply with all laborlaws covering matters such as working hours and minimum wage and never engage in forced labor, child labor, or
slavery. We also support freedom of association, the right to collective bargaining, and the right to privacy.
・Basic Philosophy on Human Resource Development
With our leading-edge SoC solution business, the Socionext Group seeks to live up to the many expectations of
our stakeholders (including customers, suppliers, employees, and local communities) by striving to achievesustainable growth as a company that supports global innovation through the pursuit of advanced technology while
also adapting to discontinuous change. To achieve this, we undertake human resource development initiatives toensure that we can continue to foster more talented professionals who take ownership of their work and are willingto take up challenges as enthusiastic self-starters.
・Basic Philosophy on Diversity
The Socionext Group strives to foster a corporate culture that is welcoming of people with different personalities,
attitudes, and values and in which they are able to fulfil their potential. To achieve this, we recruit and appoint staff
regardless of factors such as nationality, gender, or age, and are working to create an environment in which adiverse range of people can thrive in their work.
2.7 Environment Policy
Socionext contributes to the protection of a rich global environment with customer through the design,development, and sale of SoC with superior environmental performance through advanced technology and thesolutions business or services centered on these SoC. Socionext makes efforts to reduce the environmental impact
and environmental pollution based on the following action policy through the entire life cycle from development toprocurement, production, sale, use, and disposal.
(1) Active contribution to reducing the environmental impact, such as reducing CO2 emissions and waste
matter by actively promoting the development of products that consider the environment, electric power
conservation, light-weight products, and the suitable management of items containing chemical substances.
(2) Compliance with each country’s and each region’s environment laws and regulations, and agreements withcustomers.
(3) Aiming for improved awareness of the environment for all Socionext personnel, and promotion ofenvironmental contributions to regional communities.
(4) Continuous improvement of environmental management system to effectively implement these environmental
activities.
2.8 Ethics Policy
From the perspective of complying with social norms and corporate ethics, Socionext Group will evaluate manage
the below items as appropriate in accordance with the RBA as it engages in procurement activities with suppliers.
・Business integrity・Elimination of inappropriate profit
・Disclosure of information
・Protection of intellectual property
・Fair business, advertisements, and competition
・Protection of identities and prohibition of countercharge
・Responsible procurement of minerals
・Protection of privacy
・Managing international trade from a security standpoint
・Information security-6-

2.9 Information Security Policy
In addition to establishing basic systems and measures to protect information security, Socionext Group will
properly manage its own information resources and those of its customers and suppliers to ensure information
security throughout the group, striking a good balance between the confidentiality, integrity, and availability ofthat information security.
3. What we ask of our suppliers in Socionext Group CSR Procurement Guideline① Socionext Group conducts its procurement activities in accordance with its basic CSR policies as well as thecode of conduct defined by the Responsible Business Alliance (RBA), an international industry association.
we ask our suppliers for their understanding and cooperation regarding those activities.
② Socionext Group asks our suppliers for their cooperation in completing a self-assessment (which may include
CSR procurement audit) so that we may better understand their compliance and initiatives related to theprevious item.
③ If it determines that rational changes are necessary based on the results of a supplier’s self-assessment or CSR
procurement audit, Socionext Group will work with them to make those improvements.
3.1 Compliance with the RBA Code of Conduct
The Responsible Business Alliance (RBA) Code of Conduct is a model created by a group of companies primarily
from the electronic devices industry but including those in automobiles, toys, aircraft, and IoT technology. It
defines a set of standards aimed at creating safe workplaces within the electronics industry, industries that
produce products consisting primarily of electronic devices, and their respective supply chains; ensuring thatworkers are treated with respect and dignity; and motivating companies to act ethically while taking responsibility
for the natural environment. The RBA Code of Conduct is applicable to the areas such as labor, health andsanitation, environmental conservation, ethics, as well as their management systems.
It forms the core Socionext’s CSR Procurement Guidelines.

（reference）RESPONSIBLE BUSINESS ALLIANCE CODE OF CONDUCTThe Responsible Business Alliance (RBA), formerly the Electronic Industry Citizenship Coalition (EICC), Code of
Conduct establishes standards to ensure that working conditions in the electronics industry, or industries in whichelectronics are a key component, and its supply chains are safe, that workers are treated with respect and dignity,
and that business operations are environmentally responsible and conducted ethically.
Considered as part of the electronics industry for purposes of this Code are all organizations that may design,
market, manufacture, or provide goods and services that are used to produce electronic goods. The Code may bevoluntarily adopted by any business in the electronics sector and subsequently applied by that business to its supply
chain and subcontractors, including providers of contract labor.
To adopt the Code and become a participant (“Participant”), a business shall declare its support for the Code andactively pursue conformance to the Code and its standards in accordance with a management system as herein.
Participants must regard the Code as a total supply chain initiative. At a minimum, Participants shall also require its
next tier suppliers to acknowledge and implement the Code.
Fundamental to adopting the Code is the understanding that a business, in all of its activities, must operate in fullcompliance with the laws, rules, and regulations of the countries in which it operates. The Code also encourages
Participants to go beyond legal compliance, drawing upon internationally recognized standards, in order to advancesocial and environmental responsibility and business ethics. In no case can complying with the Code violate local
laws. If, however, there are differing standards between the RBA Code and local law, the RBA defines conformance asmeeting the strictest requirements. In alignment with the UN Guiding Principles on Business and Human Rights, theprovisions in this Code are derived from and respect internationally recognized standards including the ILO
Declaration on Fundamental Principles and Rights at Work and the UN Universal Declaration of Human Rights.
The RBA is committed to obtaining regular input from stakeholders in the continued development
and implementation of the Code of Conduct.
The Code is made up of five sections. Sections A, B, and C outline standards for Labor, Health and Safety, and theEnvironment, respectively. Section D adds standards relating to business ethics. Section E outlines the elements ofan acceptable system to manage conformity to this code.
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A. LABOR
Participants are committed to uphold the human rights of workers, and to treat them with dignity and respect as
understood by the international community. This applies to all workers including temporary, migrant, student,
contract, direct employees, and any other type of worker.
The recognized standards, as set out in the References, were used in preparing the code and may be usefulsources of additional information.
The labor standards are:1) Freely Chosen Employment
Forced, bonded (including debt bondage) or indentured labor, involuntary or exploitative prison labor, slavery or
trafficking of persons is not permitted. This includes transporting, harboring, recruiting, transferring, or receiving
persons by means of threat, force, coercion, abduction or fraud for labor or services. There shall be no
unreasonable restrictions on workers’ freedom of movement in the facility in addition to unreasonable restrictions
on entering or exiting company provided facilities including, if applicable, workers’ dormitories or living quarters.
As part of the hiring process, all workers must be provided with a written employment agreement in their native
language that contains a description of terms and conditions of employment. Foreign migrant workers must receive
the employment agreement prior to the worker departing from his or her country of origin and there shall be no
substitution or change(s) allowed in the employment agreement upon arrival in the receiving country unless thesechanges are made to meet local law and provide equal or better terms. All work must be voluntary, and workers
shall be free to leave work at any time or terminate their employment without penalty if reasonable notice is given
as per worker’s contract. Employers, agents, and sub-agents’ may not hold or otherwise destroy, conceal, or
confiscate identity or immigration documents, such as government-issued identification, passports, or work
permits. Employers can only hold documentation if such holdings are required by law. In this case, at no timeshould workers be denied access to their documents. Workers shall not be required to pay employers’ agents or
sub-agents’ recruitment fees or other related fees for their employment. If any such fees are found to have been
paid by workers, such fees shall be repaid to the worker.
2) Young Workers
Child labor is not to be used in any stage of manufacturing. The term “child” refers to any person under the age of
15, or under the age for completing compulsory education, or under the minimum age for employment in the
country, whichever is greatest. Participants shall implement an appropriate mechanism to verify the age ofworkers. The use of legitimate workplace learning programs, which comply with all laws and regulations, issupported. Workers under the age of 18 (Young Workers) shall not perform work that is likely to jeopardize theirhealth or safety, including night shifts and overtime. Participants shall ensure proper management of student
workers through proper maintenance of student records, rigorous due diligence of educational partners, andprotection of students’ rights in accordance with applicable laws and regulations. Participants 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. If child labor is identified, assistance/remediation is provided.
3) Working Hours
Studies of business practices clearly link worker strain to reduced productivity, increased turnover, and increased
injury and illness. Working hours are not to exceed the maximum set by local law. Further, a workweek should not
be more than 60 hours per week, including overtime, except in emergency or unusual situations. All overtime must
be voluntary. Workers shall be allowed at least one day off every seven days.
4) Wages and Benefits
Compensation paid to workers shall comply with all applicable wage laws, including those relating to minimum
wages, overtime hours and legally mandated benefits. In compliance with local laws, workers shall be compensatedfor overtime at pay rates greater than regular hourly rates. Deductions from wages as a disciplinary measure shallnot be permitted. For each pay period, workers shall be provided with a timely and understandable wage statementthat includes sufficient information to verify accurate compensation for work performed. All use of temporary,dispatch and outsourced labor will be within the limits of the local law.
5) Humane Treatment
There is to be no harsh or inhumane treatment including violence, gender-based violence, sexual harassment,
sexual abuse, corporal punishment, mental or physical coercion, bullying, public shaming, or verbal abuse ofworkers; nor is there to be the threat of any such treatment. Disciplinary policies and procedures in support of-8-

these requirements shall be clearly defined and communicated to workers.
6) Non-Discrimination/Non-Harassment
Participants should be committed to a workplace free of harassment and unlawful discrimination. Companies shallnot engage in discrimination or harassment based on race, color, age, gender, sexual orientation, gender identityand expression, ethnicity or national origin, disability, pregnancy, religion, political affiliation, union membership,covered veteran status, protected genetic information or marital status in hiring and employment practices such as
wages, promotions, rewards, and access to training. Workers shall be provided with reasonable accommodation for
religious practices. In addition, workers or potential workers should not be subjected to medical tests, including
pregnancy or virginity tests, or physical exams that could be used in a discriminatory way. This was drafted inconsideration of ILO Discrimination (Employment and Occupation) Convention (No.111).
7) Freedom of Association
In conformance with local law, participants shall respect the right of all workers to form and join trade unions of
their own choosing, to bargain collectively, and to engage in peaceful assembly as well as respect the right ofworkers to refrain from such activities. Workers and/or their representatives shall be able to openly communicate
and share ideas and concerns with management regarding working conditions and management practices without
fear of discrimination, reprisal, intimidation, or harassment.

B. HEALTH AND SAFETY
Participants recognize that in addition to minimizing the incidence of work-related injury and illness, a safe andhealthy work environment enhances the quality of products and services, consistency of production and worker
retention and morale. Participants also recognize that ongoing worker input and education are essential toidentifying and solving health and safety issues in the workplace.
Recognized management systems such as ISO 45001 and ILO Guidelines on Occupational Safety and Health wereused as references in preparing the Code and may be useful sources of additional information.
The health and safety standards are:1) Occupational Safety
Worker potential for exposure to health and safety hazards (chemical, electrical and other energy sources, fire,vehicles, and fall hazards, etc.) are to be identified and assessed, mitigated using the Hierarchy of Controls, which
includes eliminating the hazard, substituting processes or materials, controlling through proper design,
implementing engineering and administrative controls, preventative maintenance and safe work procedures(including lockout/tagout), and providing ongoing occupational health and safety training. Where hazards cannot
be adequately controlled by these means, workers are to be provided with appropriate, well-maintained, personal
protective equipment, and educational materials about risks to them associated with these hazards. Reasonable
steps must also be taken to remove pregnant women and ‘nursing mothers from working conditions with highhazards, remove or reduce any workplace health and safety risks to pregnant women and nursing mothers,
including those associated with their work assignments, and provide reasonable accommodations for nursing
mothers.
2) Emergency Preparedness
Potential emergency situations and events are to be identified and assessed, and their impact minimized by
implementing emergency plans and response procedures including emergency reporting, employee notification andevacuation procedures, worker training, and drills.
Emergency drills must be executed at least annually or as required by local law, whichever is more stringent.
Emergency plans should also include appropriate fire detection and suppression equipment, clear and unobstructed
egress, adequate exit facilities, contact information for emergency responders, and recovery plans. Such plans andprocedures shall focus on minimizing harm to life, the environment, and property.
3) Occupational Injury and Illness
Procedures and systems are to be in place to prevent, manage, track and report occupational injury and illness,
including provisions to encourage worker reporting, classify and record injury and illness cases, provide necessary
medical treatment, investigate cases and implement corrective actions to eliminate their causes, and facilitate thereturn of workers to work.
4) Industrial Hygiene
Worker exposure to chemical, biological, and physical agents is to be identified, evaluated, and controlledaccording to the Hierarchy of Controls. If any potential hazards were identified, participants shall look foropportunities to eliminate and/or reduce the potential hazards. If elimination or reduction of the hazards is not-9-feasible, potential hazards are to be controlled through proper design, engineering, and administrative controls.
When hazards cannot be adequately controlled by such means, workers are to be provided with and use
appropriate, well-maintained, personal protective equipment free of charge. Protective programs
shall be ongoing and include educational materials about the risks associated with these hazards.
5) Physically Demanding Work
Worker exposure to the hazards of physically demanding tasks, including manual material handling and heavy or
repetitive lifting, prolonged standing, and highly repetitive or forceful assembly tasks is to be identified, evaluated,and controlled.
6) Machine Safeguarding
Production and other machinery shall be evaluated for safety hazards. Physical guards, interlocks, and barriers areto be provided and properly maintained where machinery presents an injury hazard to workers.
7) Sanitation, Food, and Housing
Workers are to be provided with ready access to clean toilet facilities, potable water and sanitary food preparation,
storage, and eating facilities. Worker dormitories provided by the participant or a labor agent are to be maintained
to be clean and safe, and provided with appropriate emergency egress, hot water for bathing and showering,adequate lighting and heat and ventilation, individually secured accommodations for storing personal and valuable
items, and reasonable personal space along with reasonable entry and exit privileges.
8) Health and Safety Communication
Participants shall provide workers with appropriate workplace health and safety information and training in thelanguage of the worker or in a language the worker can understand for all identified workplace hazards that workers
are exposed to, including but not limited to mechanical, electrical, chemical, fire, and physical hazards. Health andsafety related information shall be clearly posted in the facility or placed in a location identifiable and accessible byworkers. Training is provided to all workers prior to the beginning of work and regularly thereafter. Workers shallbe encouraged to raise any health and safety concerns without retaliation.

C. ENVIRONMENT
Participants recognize that environmental responsibility is integral to producing world-class products. Participants
shall identify the environmental impacts and minimize adverse effects on the community, environment, and natural
resources within their manufacturing operations, while safeguarding the health and safety of the public. Recognizedmanagement systems such as ISO 14001 and the Eco Management and Audit System (EMAS) were used as
references in preparing the Code and may be a useful source of additional information.
The environmental standards are:1) Environmental Permits and Reporting
All required environmental permits (e.g. discharge monitoring), approvals, and registrations are to be obtained,
maintained, and kept current and their operational and reporting requirements are to be followed.
2) Pollution Prevention and Resource Reduction
Emissions and discharges of pollutants and generation of waste are to be minimized or eliminated at the source orby practices such as adding pollution control equipment; modifying production, maintenance, and facility
processes; or by other means. The use of natural resources, including water, fossil fuels, minerals, and virgin forest
products, is to be conserved by practices such as modifying production, maintenance and facility processes,
materials substitution, re-use, conservation, recycling, or other means.
3) Hazardous Substances
Chemicals, waste, and other materials posing a hazard to humans or the environment are to be identified, labeled,and managed to ensure their safe handling, movement, storage, use, recycling or reuse, and disposal.
4) Solid Waste
Participants shall implement a systematic approach to identify, manage, reduce, and responsibly dispose of or
recycle solid waste (non-hazardous).
5) Air Emissions
Air emissions of volatile organic chemicals, aerosols, corrosives, particulates, ozone depleting substances, andcombustion byproducts generated from operations are to be characterized, routinely monitored, controlled, andtreated as required prior to discharge.
Ozone-depleting substances are to be effectively managed in accordance with the Montreal protocol and applicableregulations. Participants shall conduct routine monitoring of the performance of its air emission control systems.
6) Materials Restrictions- 10 -

Participants are to adhere to all applicable laws, regulations, and customer requirements regarding the prohibition
or restriction of specific substances in products and manufacturing, including labeling for recycling and disposal.
7) Water Management
Participants shall implement a water management program that documents, characterizes, and monitors water
sources, use and discharge; seeks opportunities to conserve water; and controls channels of contamination. All
wastewater is to be characterized, monitored, controlled, and treated as required prior to discharge or disposal.
Participants shall conduct routine monitoring of the performance of its wastewater treatment and containment
systems to ensure optimal performance and regulatory compliance.
8) Energy Consumption and Greenhouse Gas Emissions
Participants are to establish a corporate-wide greenhouse gas reduction goal. Energy consumption and all relevant
Scopes 1 and 2 greenhouse gas emissions are to be tracked, documented, and publicly reported against thegreenhouse gas reduction goal. Participants are to look for methods to improve energy efficiency and to minimize
their energy consumption and greenhouse gas emissions.

D. ETHICS
To meet social responsibilities and to achieve success in the marketplace, Participants and their agents are to
uphold the highest standards of ethics including:1) Business Integrity
The highest standards of integrity are to be upheld in all business interactions. Participants shall have a zerotolerance policy to prohibit any and all forms of bribery, corruption, extortion and embezzlement.
2) No Improper Advantage
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
person, or otherwise gain an improper advantage. Monitoring, record keeping, and enforcement procedures shall be
implemented to ensure compliance with anti-corruption laws.
3) Disclosure of Information
All business dealings should be transparently performed and accurately reflected on the participant’s businessbooks and records. Information regarding participant’s labor, health and safety, environmental practices, businessactivities, structure, financial situation, and performance is to be disclosed in accordance with applicableregulations and prevailing industry practices. Falsification of records or misrepresentation of conditions orpractices in the supply chain are unacceptable.
4) Intellectual Property
Intellectual property rights are to be respected, transfer of technology and know-how is to be done in a mannerthat protects intellectual property rights, and customer and supplier information is to be safeguarded.
5) Fair Business, Advertising and Competition
Standards of fair business, advertising, and competition are to be upheld.
6) Protection of Identity and Non-Retaliation
Programs that ensure the confidentiality, anonymity, and protection of supplier and employee whistleblowers are to
be maintained, unless prohibited by law. Participants should have a communicated process for their personnel to beable to raise any concerns without fear of retaliation.
7) Responsible Sourcing of Minerals
Participants shall adopt a policy and exercise due diligence on the source and chain of custody of the tantalum, tin,tungsten, and gold in the products they manufacture to reasonably assure that they are sourced in a way
consistent with the Organization for Economic Co-operation and development (OECD) Guidance for Responsible
Supply Chains of Minerals from Conflict-Affected and High-Risk Areas or an equivalent and recognized due
diligence framework.
8) Privacy
Participants are to commit to protecting the reasonable privacy expectations of personal information of everyone
they do business with, including suppliers, customers, consumers, and employees. Participants are to comply withprivacy and information security laws and regulatory requirements when personal information is collected, stored,
processed, transmitted, and shared.

E. QUALITY AND SAFETY- 11 -

1) Ensuring Product Safety
When participants design products, they must ensure adequate product safety and consider their responsibility asa manufacturer when providing products. They must also consider the safety that the product should ordinarily
provide, in addition to legal compliance.
Example Japanese laws regarding product safety include the Electrical Appliance and Material Safety Act,
Consumer Product Safety Act, and Household Goods Quality Labeling Act. Safety standards are defined in bylaws
and JIS standards, etc. Overseas safety standards include UL, BSI, and CSA standards, etc.
Effective measures for ensuring product safety include management such as traceability (history of materials,
components, and processes, etc.) and swift handling to solve problems.
2) Quality Management
Participants must comply with all laws and regulations that apply to the quality of products and services, and arealso required to establish appropriate frameworks and management systems for complying with their own quality
standards and customer requirements.
3) Providing Accurate Information on Products and Services
Participants are required to provide information to customers and consumers that is correct, accurate and does
not lead to misunderstandings. They must not provide false information or information that has been falsified.

F. INFORMATION SECURITY
Participants must prevent leaks of confidential and personal information and strengthen information security. With
the development of the advanced information technology society in recent years, information management is
becoming more and more important. Problems with information management such as the leak of confidential
information and personal information can have a profound effect on various stakeholders including the supply chain,in addition to the company itself and its customers.
Recognized management systems such as ISO27001 were referred to when establishing these guidelines, and may
contain additional useful information.
1) Defense from Cyber Attacks
Participants are required to prevent trouble caused by cyber attacks, such as the leak or modification of
information and the stopping of information systems. Since attackers can expand their target of attack based on
customer and client information they obtain, the scope of damage from cyber attacks is not limited to the company
in question. The devices subject to cyber attacks are expanding from conventional computers and servers toindustrial systems and devices part of the IoT (Internet of Things), and countermeasures must also be implemented
for such devices. It is also important to establish a plan for quickest recovery from a remedy of cyber attack. Plans
include data back up and redundancy of data server or data center.
2) Protecting Personal Information
Participants are required to comply with local laws and regulations to carefully handle the personal information of
suppliers, customers, consumers, and employees. Personal information must only be collected, stored, processed,transmitted, and shared within the scope required to achieve the specified purpose it is used for.
3) Preventing Leak of Confidential Information
Participants are required to establish an appropriate framework and management system for managing theconfidential information collected by the company or received from third parties and customers. This includes
defining information management levels and employee training.

G. BUSINESS CONTINUITY PLANNING
The occurrence of large-scale natural disasters such as earthquakes and typhoons as well as terrorism, riots,
infectious disease, and accidents may cause a major impact on business continuity. Participants must makeappropriate preparations for such events to ensure that production operations can quickly resume, and thereby
minimize impact on the supply chain.
Recognized management systems such as ISO22301 were referred to when establishing these guidelines and may
contain additional useful information.
1) Developing and Preparing a Business Continuity Plan
Business continuity risks include large-scale natural disasters (such as earthquakes, tsunamis, floods, heavy
rainfall, heavy snowfall, and tornadoes) as subsequent power outages, water outages, and traffic obstructions,accidents (such as fires or explosions), the spread of infectious and contagious diseases, and terrorism or riots.
Advance countermeasures required include local recovery strategies indicating how to protect, mitigate, and- 12 -

recover the various elements of production sites from estimated damage. It is also important to secure alternative
methods of recovery from damage when it takes longer than expected.
Participants must provide continuous training to employees so that they can act in the event of an actual disaster,and establish a manual for quickly recovering business according to a business continuity plan (BCP).

H. MANAGEMENT SYSTEMS
Participants shall adopt or establish a management system with a scope that is related to the content of this Code.
The management system shall be designed to ensure: (a) compliance with applicable laws, regulations and customer
requirements related to the participant’s operations and products; (b) conformance with this Code; and (c)identification and mitigation of operational risks related to this Code. It should also facilitate continual
improvement. the management system should contain the following elements:
1) Company Commitment
Corporate social and environmental responsibility policy statements affirming Participant’s commitment tocompliance and continual improvement, endorsed by executive management, and posted in the facility in the local
language.
2) Management Accountability and Responsibility
The Participant clearly identifies senior executive and company representative(s) responsible for ensuring
implementation of the management systems and associated programs. Senior management reviews the status of the
management systems on a regular basis.
3) Legal and Customer Requirements
A process to identify, monitor and understand applicable laws, regulations, and customer requirements, including
the requirements of this Code.
4) Risk Assessment and Risk Management
A process to identify the legal compliance, environmental, health and safety and labor practice and ethics risks
associated with Participant’s operations. Determination of the relative significance for each risk andimplementation of appropriate procedural and physical controls to control the identified risks and ensure regulatorycompliance.
5) Improvement Objectives
Written performance objectives, targets and implementation plans to improve the Participant’s social,environmental, and health and safety performance, including a periodic assessment of Participant’s performance inachieving those objectives.
6) Training
Programs for training managers and workers to implement Participant’s policies, procedures, and improvement
objectives and to meet applicable legal and regulatory requirements.
7) Communication
A process for communicating clear and accurate information about Participant’s policies, practices, expectations,and performance to workers, suppliers, and customers.
8) Worker Feedback, Participation and Grievance
Ongoing processes, including an effective grievance mechanism, to assess workers’ understanding of and obtain
feedback on or violations against practices and conditions covered by this Code and to foster continuous
improvement. Workers must be given a safe environment to provide grievance and feedback without fear of reprisal
or retaliation.
9) Audits and Assessments
Periodic self-evaluations to ensure conformity to legal and regulatory requirements, the content of the Code, andcustomer contractual requirements related to social and environmental responsibility.
10) Corrective Action Process
A process for timely correction of deficiencies identified by internal or external assessments, inspections,investigations, and reviews.
11) Documentation and Records
Creation and maintenance of documents and records to ensure regulatory compliance and conformity to company
requirements along with appropriate confidentiality to protect privacy.
12) Supplier Responsibility
A process to communicate Code requirements to suppliers and to monitor supplier compliance to the code.
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REFERENCES・RBA https://www.responsiblebusiness.org/media/docs/RBACodeofConduct7.0_English.pdf- 14 -