Supplier Code of Conduct

Supplier Code of Conduct¹

供应商行为准则¹

Smith² is committed to upholding the highest standards of labor, human rights, environmental and ethical conduct. Similarly, Smith requires its suppliers (Supplier or collectively, Suppliers) to adhere to the same level of excellence as set forth in our Code of Conduct, the RBA Code of Conduct, and as provided in the governing laws and regulations, recognized international standards and conventions and global best practices.

Smith² 致力于维护劳工权益、人权保护、环境保护及道德规范的最高标准，同时要求所有供
应商（以下简称“供应商”）严格遵守该《行为准则》、责任商业联盟（RBA）《行为准则》以
及其他适用法律法规、公认的国际标准及公约、全球最佳实践所规定的同等标准。

Our suppliers are required to understand and meet these and other requirements as amended. From time to time, Supplier shall be required to participate in Smith’s assessment programs. In cases of non‐ compliance to this Supplier Code of Conduct (Code), Smith reserves the right to take all available action against Supplier for violations of this Code, including without limitation, the termination or reduction of business, onsite compliance auditing at Supplier’s expense, compensation and/or reimbursement to affected workers at Supplier’s expense, seeking damages, and/or termination of Smith’s agreement with Supplier.

供应商须理解并遵守本准则及其修订条款的所有要求。供应商须定期参与 Smith 的评估项目。
如供应商违反本《供应商行为准则》（以下简称“准则”），Smith 保留采取一切法律措施的权
利，包括但不限于：终止或缩减合作业务、由供应商承担费用的现场合规审查、由供应商承
担受影响员工的补偿/赔偿金、追索损害赔偿、终止与供应商的协议关系。

A.                    LABOR AND HUMAN RIGHTS³ 劳工与人权³ 

Smith 致力于维护所有员工的人权，并遵循国际公认准则，尊重并保障每一位员工的
尊严。本原则适用于所有类型的员工，包括临时工、实习生、合同工、正式雇员及其
他任何类型的员工。Smith 要求所有供应商遵守以下劳工与人权标准：

Smith is committed to upholding the human rights of all workers, and to treat them with dignity and respect as understood by the international community. This applies to all workers including temporary, student, contract, direct employees, and any other type of worker. Smith requires all Suppliers to adhere to the following labor and human rights standards:

1)                         Forced Labor, Prison Labor and Trafficking in Persons. 强迫劳动、监狱劳动及人口贩运

All forms of forced, bonded (including debt bondage) or indentured labor, involuntary or exploitative prison labor, slavery or trafficking of persons are strictly prohibited. This includes transporting, harboring, recruiting, transferring, or receiving persons by means of threat, force, coercion, abduction or fraud for labor or services. Supplier shall prohibit the engagement in any form of human trafficking or involuntary labor through threat, force, fraudulent claims, or other coercion.

严禁一切形式的强迫劳动、债役劳动（包括债务奴役）、契约奴役、非自愿或剥削性监狱劳
动、奴役及人口贩运行为。此禁令涵盖通过威胁、暴力、胁迫、诱拐或欺诈等手段运输、窝
藏、招募、转移或接收人员以获取劳动或服务的行径。供应商须严禁以威胁、暴力、虚假陈
述或其他强制手段从事任何形式的人口贩运或非自愿劳动。

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, 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 these changes 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. Suppliers, agents and sub‐agents may not hold or otherwise destroy, conceal, confiscate or deny access by employees to employees’ identity or immigration documents, such as government‐issued identification, passports, or work permits, unless the holding is required by law. In this case, at no time should workers be denied access to their documents. Workers shall not be required to pay for their employment. Suppliers shall maintain adequate controls to ensure that workers have not been charged recruitment or placement fees during their recruitment process. If any such fees are found to have been paid by workers, such fees shall be repaid to the worker.

供应商不得以不合理的方式限制员工自由进出由公司提供的任何设施或工作场所
（适用时包括员工宿舍或生活区），也不得以不合理的方式限制员工在这些场所内的自由行
动。作为招聘流程的一部分，必须向员工提供其母语版本的书面雇佣协议，并在协议中阐明
雇佣条款及条件。外籍移民员工须在离开原籍国/地区前收到雇佣协议，且在抵达接收国/地
区后不得替换或更改该协议，除非这些变更旨在符合当地法律并提供同等或更优的条款。所
有工作必须基于自愿，员工有权根据劳动合同规定，在给予合理通知后，随时离职或终止雇
佣关系而不受任何处罚。供应商、代理商及次级代理商不得扣押或以其他方式销毁、隐匿、
没收或拒绝员工取回其身份或移民文件（如政府签发的身份证件、护照或工作许可），除非
依法要求扣押。在此情况下，任何时候均不得剥夺员工取回文件的权利。不得要求员工为其
受聘支付费用。供应商应建立有效管控机制，确保员工在招聘过程中未被收取招聘或安置费
用。若发现员工已支付此等费用，应将该费用全额退还。

2)                         Young Workers 年轻劳工

Supplier shall not use child labor in any stage of manufacturing or in the provision of services or supplies. 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. Further, Supplier shall not permit any employee under the age of 18 (Young Workers) to perform work that is likely to jeopardize his or her health or safety, including night shifts and overtime. Supplier shall have a process in place to verify the age of workers.

供应商不得在制造的任何阶段、或在提供服务或产品的过程中使用童工。“童工”指未满 15 周
岁、或未达到完成义务教育年龄、或未达到所在国家/地区最低就业年龄者（以其中年龄最大
者为准）。此外，供应商不得允许任何未满 18 周岁（年轻劳工）的员工从事可能危及其健
康或安全的工作，包括夜班和加班。供应商应建立员工年龄核验机制。

The use of legitimate workplace learning programs, which comply with all laws and regulations, is supported. Workers under the age of 18 (young workers) 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. If child labor is identified, assistance/remediation is provided.

支持使用符合所有法律法规的合法工作场所学习计划。未满 18 周岁（年轻劳工）者不得从
事可能危及其健康或安全的工作，包括夜班和加班。供应商应通过妥善维护学生记录、严格
审查教育合作伙伴以及依据适用法律法规保护学生权利，确保对学生员工的适当管理。供应
商应向所有学生员工提供适当的支持和培训。若无当地法律规定，学生员工、实习生和学徒
的薪资标准至少应与从事同等或类似工作的其他初级员工持平。若发现童工，须提供援助/补
救措施。

3)                         Working Hours 工作时间

Supplier’s working hours shall 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.

供应商的工作时间不得超过当地法律规定的上限。此外，除紧急或特殊情况外，每周工作时
间（含加班）不得超过 60 小时。所有加班必须基于自愿原则。员工每七天至少应享有一天
休息日。

4)                         Wages and Benefits 工资与福利

Supplier’s 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 compensated for overtime at pay rates greater than regular hourly rates. Deductions from wages as a disciplinary measure shall not be permitted. For each pay period, workers shall be provided with a timely and understandable wage statement that 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.

供应商向员工支付的工资福利须符合所有适用的薪酬法规，包括与最低工资、加班时长及法
定福利相关的规定。根据当地法律，加班工资应高于常规小时工资标准。严禁以纪律处分为
由扣减工资。每个薪酬支付周期内，须向员工及时提供清晰易懂的工资单，其中应包含足够
的信息以核验工作报酬的准确性。所有临时工、派遣工及外包劳工的使用均须在当地法律允
许范围内进行。

5)                         Humane Treatment 人道待遇

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 of workers; nor is there to be the threat of any such treatment. Disciplinary policies and procedures in support of these requirements shall be clearly defined and communicated to workers.

不得对员工实施任何粗暴或不人道的待遇，包括暴力、性暴力、性骚扰、性虐待、体罚、精
神或身体胁迫、欺凌、公开羞辱或言语虐待；亦不得以任何形式威胁实施上述行为。相关的
纪律政策及程序必须有清晰的定义，并清晰地向员工传达。

6)                         Non‐Discrimination/Non‐Harassment 反歧视/反骚扰

Supplier shall be committed to a workplace free of harassment and unlawful discrimination. Supplier shall not engage in discrimination or harassment based on race, color, age, gender, sexual orientation, gender identity and 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.

供应商应致力于营造无骚扰和非法歧视的工作环境。在招聘及实际工作中（如薪酬、晋升、
奖励及培训机会等），供应商不得基于种族、肤色、年龄、性别、性取向、性别认同及表达、
民族或国籍、残疾、怀孕、宗教、政治派别、工会会员身份、退伍军人身份、受保护的遗传
信息或婚姻状况实施歧视或骚扰行为。应为员工提供合理的场所进行宗教活动

7)                         Freedom of Association 结社自由

In conformance with local law, Supplier 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 of workers 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.

供应商应遵守当地法律，尊重所有员工自愿组建和加入工会、进行集体谈判、参与和
平集会的权利，同时尊重员工拒绝参与此类活动的权利。员工及其代表应能就工作条
件和管理实践与管理层进行公开沟通，分享想法和关切，且无需担心遭受歧视、报复、
胁迫或骚扰。

B.                         HEALTH AND SAFETY 健康与安全

Smith recognizes that in addition to minimizing the incidence of work‐related injury and illness, a safe and healthy work environment enhances the quality of products and services, consistency of production and worker retention and morale. Smith also recognize that ongoing worker input and education are essential to identifying and solving health and safety issues in the workplace.

Smith 认识到，除了最大限度地降低工伤及职业病发生率外，安全健康的工作环境还
能提升产品与服务质量，保障生产稳定性，并提高员工留存率与士气。Smith 同时认
识到，持续加强对员工的投资和教育培训，是识别和解决工作场所的健康与安全问题
的关键。

The health and safety standards are:

健康与安全标准如下：

1)                         Occupational Safety 职业安全

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 high hazards, 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.

供应商须识别并评估员工可能面临的健康与安全危害（包括化学品、电气及其他能源、
火灾、车辆、坠落风险等），并通过控制措施分级体系实施缓解：包括消除危害、替
代工艺或材料、通过合理设计实施控制、采用工程及行政管控、实施预防性维护及安
全作业规程（含锁定/挂牌操作），并持续开展职业健康安全培训。若上述措施无法充
分控制危害，则须为员工提供适当且维护良好的个人防护装备，以及相关危害风险的
教育材料。同时，必须采取合理措施将孕妇和哺乳期妇女调离高危工作环境，消除或
降低对孕妇和哺乳期妇女的职业健康安全风险（包括与其工作安排相关的风险），并
为哺乳期妇女提供合理便利。

2)                         Emergency Preparedness 应急准备

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 and evacuation procedures, worker training, and drills.

供应商须识别并评估潜在的紧急情况和事件，并通过实施应急计划和响应程序（包括紧急报
告、员工通知和疏散流程、员工培训及演练）将其影响降至最低。

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 and procedures shall focus on minimizing harm to life, the environment, and property.

应急演练必须至少每年执行一次，或按照当地法律要求执行（以较严格者为准）。应急计划
还应包括：适当的消防探测和灭火设备、畅通无阻的疏散通道、充足的逃生出口设施、应急
响应人员的联系信息及复原计划。此类计划和程序应着重最大限度减少对生命、环境和财产
的损害。

3)                         Occupational Injury and Illness 工伤和职业病

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 the return of workers to work.

供应商应制定预防、管理、追踪和报告工伤和职业病的相关程序和体系，包括鼓励员工报告、
分类和记录工伤和职业病案例、提供必要的医疗治疗、调查案例并实施纠正措施以杜绝其根
源，协助员工重返工作岗位等规定。

4)                         Industrial Hygiene 工业卫生

Worker exposure to chemical, biological, and physical agents is to be identified, evaluated, and controlled according to the Hierarchy of Controls. If any potential hazards were identified, Suppliers shall look for opportunities to eliminate and/or reduce the potential hazards. If elimination or reduction of the hazards is not 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.

供应商应根据控制措施优先级，识别、评估并控制员工接触化学、生物及物理性危害因子的
情况。若发现任何潜在危害，供应商应寻求消除和/或降低该潜在危害的机会。若危害无法消
除或降低，则须通过合理设计、工程控制及行政管理措施进行管控。当上述手段无法充分控
制危害时，应免费为员工提供适当且维护良好的个人防护装备。防护计划应持续实施，并包
含相关危害风险的教育材料。

5)                         Physically Demanding Work 体力劳动工作

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.

供应商应识别、评估并控制员工接触体力消耗型任务的危害，包括人工物料搬运、重物或重
复性提举、长时间站立以及高度重复性或高强度组装作业。

6)                         Machine Safeguarding 机器防护

Production and other machinery shall be evaluated for safety hazards. Physical guards, interlocks, and barriers are to be provided and properly maintained where machinery presents an injury hazard to workers.

生产设备及其他机械装置须进行安全隐患评估。对于可能对员工造成伤害的机械设备，须设
置物理防护装置、联锁装置及防护屏障，并确保其得到妥善维护。

7)                         Sanitation, Food, and Housing 公共卫生和食宿

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 Supplier 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.

员工应能便捷使用清洁的卫生设施、可饮用水及符合卫生标准的食品用具、储存与用
餐设施。由供应商或劳务代理提供的员工宿舍须保持清洁安全，并配备适当的紧急出
口、洗浴热水、充足的照明与供暖通风设施、个人贵重物品专用保管场所及合理的个
人空间，同时保障出入的合理权限。

8)                         Health and Safety Communication 健康与安全沟通

Suppliers shall provide workers with appropriate workplace health and safety information and training in the language 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 and safety related information shall be clearly posted in the facility or placed in a location identifiable and accessible by workers. Training is provided to all workers prior to the beginning of work and regularly thereafter. Workers shall be encouraged to raise any health and safety concerns without retaliation.

供应商须以员工所用语言或其能理解的语言，为员工提供适当的工作场所健康与安全
信息及培训，内容应涵盖员工接触的所有已识别工作场所危害，包括但不限于机械、
电气、化学、火灾及物理危害。健康与安全相关信息须在设施内醒目张贴，或置于员
工可识别和获取的位置。所有员工应在工作开始前接受培训，并定期接受复训。应鼓
励员工提出健康与安全方面的关切，确保他们不会因此遭受报复。

C.                         ENVIRONMENT 环境

Smith recognizes that environmental responsibility is integral to producing the products and services at the level of excellence expected by our customers. Smith requires all suppliers to operate their facilities and conduct their business in an environmentally responsible and socially conscious manner, in accordance with the following environmental standards, as applicable:

Smith 认识到，环境责任是生产符合客户期望的高品质产品与服务不可或缺的组成部分。
Smith 要求所有供应商在运营设施及开展业务时，须以负责任的态度对待环境、保持社会责任
意识，并遵循以下适用的环境标准：

1)                         Environmental Permits and Reporting 环境许可与报告

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.

供应商须取得、维持并保持所有必需的环境许可（如排放监测）、批准文件及登记证明的有
效性 ，同时须遵守其运营与报告要求。

2)                         Pollution Prevention and Resource Reduction 污染防治与减少资源消耗

Emissions and discharges of pollutants and generation of waste are to be minimized or eliminated at the source or by 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.

污染物排放与废弃物产生应通过源头控制或采取以下措施予以最小化或消除：增设污染控制
设备、改进生产、维护及设施流程；或其他等效手段。对包括水、化石燃料、矿物和原始林
产品在内的自然资源的消耗，须通过改进生产、维护及设施流程、材料替代、重复利用、节
约、回收或其他等效手段予以节约。

3)                         Hazardous Substances 有害物质

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.

供应商须识别、标注和管理对人类或环境构成危害的化学品、废弃物及其他材料，以确保这
些物质得以安全处理、运输、储存、使用、回收或再利用及处置。

4)                         Solid Waste 固体废料

Supplier shall implement a systematic approach to identify, manage, reduce, and responsibly dispose of or recycle solid waste (non‐hazardous).

供应商须采用系统方法识别、管理、减少固体废物（非有害），并负责任地对其进行处置或
回收。

5)                         Air Emissions 废气排放

Air emissions of volatile organic chemicals, aerosols, corrosives, particulates, ozone depleting substances, and combustion byproducts generated from operations are to be characterized, routinely monitored, controlled, and treated as required prior to discharge. Ozone‐ depleting substances are to be effectively managed in accordance with the Montreal Protocol and applicable regulations. Suppliers should conduct routine monitoring of the performance of its air emission control systems.

运营过程中产生的挥发性有机化学品、气溶胶、腐蚀性物质、颗粒物、臭氧消耗物质及燃烧
副产物等空气排放物，须在排放前进行特性分析、常规监测、控制及必要处理。供应商须根
据《蒙特利尔议定书》及适用法规有效管理臭氧层消耗物质。供应商应对其废气排放控制系
统的性能实施常规监测。

6)                         Materials Restrictions 材料限制

Supplier shall 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.

供应商须遵守所有关于产品及制造过程中禁用或限制特定物质的法律法规和客户要求，包括
回收处置的标识规定。

7)                         Water Management 水资源管理

Supplier 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. Supplier shall conduct routine monitoring of the performance of its wastewater treatment and containment systems to ensure optimal performance and regulatory compliance.

供应商须实施水资源管理方案，对水源、用水及排放进行记录、特性分析及监测；寻求节水
机会；并控制污染渠道。所有废水在排放或处置前须按要求进行特性分析、监测、控制及处
理。供应商须对其废水处理及密封系统的性能进行常规监测，以确保最佳性能及合规性。

8)                         Energy Consumption and Greenhouse Gas Emissions 能源消耗和温室气体排放

Supplier shall establish a corporate‐wide greenhouse gas reduction goals. Energy consumption should be tracked, documented, and publicly reported against the greenhouse gas reduction goal. Supplier shall look for methods to improve energy efficiency and to minimize their energy consumption and greenhouse gas emissions.

供应商应制定全公司范围内的温室气体减排目标，对能源消耗情况进行追踪、记录，并公开
报告与减排目标的对比结果。供应商应寻求提高能源效率及最小化能源消耗与温室气体排放
的方法。

D.                        BUSINESS PRACTICES AND ETHICS 商业行为和道德规范

1)                         Business Integrity 商业诚信

The highest standards of integrity are to be upheld in all business interactions. Suppliers shall have a zero‐ tolerance policy to prohibit any and all forms of bribery, corruption, extortion and embezzlement.

所有商业往来中须恪守最高的诚信标准。供应商应采取零容忍政策，禁止任何形式的贪污腐
败、敲诈勒索和挪用公款等行为。

2)                         No Improper Advantage 无不正当收益

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.

供应商不得承诺、提供、授权、给予或接受贿赂或其他获取不当或非法利益的手段。此禁令
涵盖直接或间接通过第三方承诺、提供、授权、给予或接受任何有价值之物，以获取或保留
业务、将业务导向任何个人或其他方式获得不当利益。供应商须实施监测、记录保存及执行
规程，以确保符合反腐败法的规定。

3)                         Disclosure of Information 信息披露

All business dealings should be transparently performed and accurately reflected on Supplier’s business books and records. Information regarding Supplier’s labor, health and safety, environmental practices, business activities, structure, financial situation, and performance is to be disclosed in accordance with applicable regulations and prevailing industry practices. Falsification of records or misrepresentation of conditions or practices in the supply chain are unacceptable.

所有商业往来保持透明公开，并准确记录于供应商的财务账簿及档案中。供应商的劳工、健
康与安全、环保实践、经营活动、组织结构、财务状况及绩效信息，均须依照适用法规及行
业惯例予以披露。伪造记录或虚报供应链的状况和实践的行为均不可接受。

4)                         Intellectual Property 知识产权

Intellectual property rights are to be respected, transfer of technology and know‐how is to be done in a manner that protects intellectual property rights, and customer and supplier information is to be safeguarded.

供应商须尊重知识产权，并且在转让技术和专有知识时须妥善保护知识产权以及客户和供应
商信息。

5)                         Fair Business, Advertising and Competition 公平交易、广告和竞争

Standards of fair business, advertising, and competition are to be upheld.

供应商须谨守公平交易、广告及竞争的标准。

6)                         Protection of Identity and Non‐Retaliation 身份保护及防止报复

Programs that ensure the confidentiality, anonymity, and protection of supplier and employee whistleblowers are to be maintained, unless prohibited by law. Supplier should have a communicated process for their workers to be able to raise any concerns without fear of retaliation.

除非法律禁止，供应商须建立保障其供应商及员工举报人的保密性、匿名性及安全性的机制。
供应商须建立沟通程序，使员工能够表达关切，而无需担忧遭到报复。

7)                         Privacy 隐私

Supplier shall commit to protect the reasonable privacy expectations of personal information of everyone they do business with, including suppliers, customers, consumers, and employees. Supplier shall comply with privacy and information security laws and regulatory requirements when personal information is collected, stored, processed, transmitted, and shared.

供应商应承诺保护所有业务往来对象（包括供应商、客户、消费者及员工）个人信息的合理
隐私预期。在收集、存储、处理、传输及共享个人信息时，供应商须遵守隐私及信息安全法
律法规及监管要求。

E.                         LAWS AND REGULATIONS 法律法规

Supplier shall operate in full compliance with all applicable laws and regulations of the countries in which it operates.

供应商须在运营所在国家/地区全面遵守所有适用法律及法规。

 1)                  Trade Compliance 贸易合规

Supplier shall comply with all applicable trade control laws and regulations of the US, the European Union, Hong Kong, Singapore and other applicable jurisdictions. This includes without limitation, export licensing requirements, end user, end‐use, and end‐destination restrictions, prohibitions on dealings with sanctioned individuals and entities, including but not limited to persons on the U.S. Office of Foreign Assets Control’s (OFAC) Specially Designated Nationals and Blocked Persons List, or the U.S. Department of Commerce Denied Persons List, Bureau of Information and Security (BIS) Entity List, Military End‐User List, and Military Intelligence End‐User List as amended, entities otherwise subject to military end‐use restrictions, as well as the Uyghur Forced Labor Prevention Act (UFLPA) Entity List.

供应商须遵守美国、欧盟、中国香港、新加坡及其他适用司法管辖区的所有适用贸易管制法
律法规。这包括但不限于出口许可要求、最终用户、最终用途及最终目的地限制、禁止与受
制裁个人及实体交易（包括但不限于美国财政部外国资产控制办公室（OFAC） 特别指定国
民和被封锁人员名单、美国商务部拒绝人员名单、信息安全局（BIS）实体名单、军事最终用
户名单及军事情报最终用户名单（经修订）、受军事最终用途限制的其他实体，以及《维吾
尔强迫劳动预防法案》（UFLPA）实体名单所列人员。

2)                         Responsible Sourcing of Minerals 负责任矿物采购

Supplier 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 Organisation 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.

供应商须制定政策，并对所制造产品中的钽、锡、钨和黄金的来源及监管链履行尽职调查，
以确保其采购方式符合经济合作与发展组织（OECD）的《受冲突影响和高风险区域矿石负
责任的供应链尽职调查指南》或同等且公认的尽职调查框架。

Further in compliance with the UFLPA, Supplier shall not purchase or otherwise obtain products (including inputs and raw materials) from any entities (a) located in the Xinjiang Uyghur Autonomous Region (Xuar) or a country, region, or territory subject to import restrictions by U.S. Customs and Border Protection (CBP) or the customs authority of other relevant jurisdictions; or (b) subject to CBP’s or the custom authority of other relevant jurisdictions’ import restrictions, including but not limited to the UFLPA Entity List.

此外，为遵守《维吾尔强迫劳动预防法案》（UFLPA），供应商不得从以下实体采购或以其
他方式获取产品（包括投入品和原材料）：(a) 位于新疆维吾尔自治区（Xuar）或受美国海关
与边境保护局（CBP）或其他相关司法管辖区海关机构实施进口限制的国家、地区或领土的
实体；(b) 受 CBP 或其他相关司法管辖区海关机构进口限制的实体，包括但不限于 UFLPA 实
体清单所列实体。

At Smith’s request, Supplier shall:

应 Smith 要求，供应商须：

• Certify that forced labor was not employed in any stage of manufacture of the merchandise or any component thereof and that Suppliers do not purchase or otherwise obtain (directly or indirectly) any inputs (e.g., raw materials) used to produce the goods sold to Smith from any entities (a) located in Xuar or a country, region, or territory subject to import restrictions by CBP or the customs authority of other relevant jurisdictions; or (b) subject to CBP’s or the custom authority of other relevant jurisdictions’ import restrictions, including but not limited to the UFLPA Entity List;
• 证明在商品或其任何部件的制造过程中未使用强迫劳动，且供应商未从以下实
  体直接或间接采购或获取任何用于生产售予Smith商品的投入品（如原材料）：
  (a) 位于新疆维吾尔自治区（Xuar）或受美国海关与边境保护局（CBP）或其他
  相关司法管辖区海关机构实施进口限制的国家、地区或领土的实体；或(b) 受
  CBP或其他相关司法管辖区海关机构进口限制的实体，包括但不限于UFLPA实
  体清单所列实体；
• Provide information to Smith with respect to the providers of the inputs (including downstream suppliers) used to produce the goods, including, but not limited to, purchase orders, invoices, bill of ladings, transportation documents, importation documents, pictures of raw materials, etc.;
• 向Smith提供用于生产商品的原材料供应商（包括下游供应商）相关信息， 包
  括但不限于：采购订单、发票、提单、运输文件、进口文件、原材料图片等；
• Respond to Smith’s due diligence inquiries or requests for information made by Smith to ensure the compliance of the Suppliers goods with U.S. Customs and Border Protection or other customs authorities’ requirements; and
• 应Smith要求，供应商须及时回应其尽职调查或信息请求，确保商品符合美国
  海关与边境保护局（CBP）或其他海关机构的要求
• Fully cooperate in any forced labor related enforcement action brought by CBP or the customs authority of other relevant jurisdictions.
• 供应商须全力配合美国海关与边境保护局（CBP）或其他相关司法管辖区海关
  发起的强迫劳动相关执法行动。

F.                          MANAGEMENT SYSTEMS 管理体系

Supplier shall adopt or establish a system to manage the elements of this Code. The management systems should consist of the following:

供应商应采用或建立一套管理体系，以规范本守则的各项要素。该体系须包含以下内容：

1)                         Company Commitment 公司承诺

Corporate social and environmental responsibility policy statements affirming Supplier’s commitment to compliance and continual improvement, endorsed by executive management, and posted in the facility in the local language.

供应商须制定企业社会责任及环境责任政策声明，明确承诺遵守本准则并持续改进，该声明
须经高管层批准，并以当地语言张贴于工作场所。

2)                         Management Accountability and Responsibility 管理责任与义务

Supplier shall clearly identify senior executive and company representative(s) responsible for ensuring implementation of the management systems and associated programs. Senior management shall review the status of the management systems on a regular basis.

供应商须明确指定负责保证管理体系及相关项目实施的高级管理人员及公司代表。高管层须
定期审查管理体系的运行状况。

3)                         Legal and Customer Requirements 法律与客户要求

Supply shall have a process to identify, monitor and understand applicable laws, regulations, and customer requirements, including the requirements of this Code.

供应商须建立流程，以识别、监控并理解适用的法律法规及客户要求（包括本准则的要求）。

4)                         Risk Assessment and Risk Management 风险评估与风险管理

Supplier shall have a process to identify the legal compliance, environmental, health and safety, and labor practice and ethics risks associated with Supplier’s operations. Determination of the relative significance for each risk and implementation of appropriate procedural and physical controls to control the identified risks and ensure regulatory compliance.

供应商须建立流程，以识别其运营中涉及的法律合规、环境、健康与安全以及劳工实践与道
德风险。对各项风险的相对重要性进行评估，并实施适当的程序控制与物理控制措施，以管
控已识别风险并确保符合监管要求。

Areas to be included in a risk assessment for environmental health and safety are production areas, warehouse and storage facilities, plant/facilities support equipment, laboratories and test areas, sanitation facilities (bathrooms), kitchen/cafeteria and worker housing/dormitories.

环境健康与安全风险评估范围应包括：生产区域、仓库及储存设施、工厂/设施辅助设备、实
验室及测试区域、卫生设施（卫生间）、厨房/餐厅及员工宿舍/住房。

5)                         Improvement Objectives 改进目标

Supplier shall have written performance objectives, targets and implementation plans to improve the Supplier’s social, environmental, and health and safety performance, including a periodic assessment of Supplier’s performance in achieving those objectives.

供应商应制定书面绩效目标、指标及实施计划，以提升其社会责任、环境保护、健康与安全
方面的表现，并接受定期评估以衡量目标达成情况。

6)                         Training 培训

Supplier shall implement programs to train managers and workers to implement Supplier’s policies, procedures, and improvement objectives and to meet applicable legal and regulatory requirements.

供应商应实施培训计划，对管理人员及员工进行培训，以确保其能够执行供应商的政策、程
序及改进目标，并满足适用的法律及监管要求。

7)                         Communication 沟通

Supplier shall have a process for communicating clear and accurate information about Supplier’s policies, practices, expectations, and performance to workers, suppliers, and customers.

供应商应建立流程，向员工、供应商及客户清晰准确地传达关于其政策、实践、期望及绩效
的信息。

8)                         Worker Feedback, Participation and Grievance 工人反馈、参与及申诉

Supplier shall have 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.

供应商应建立持续流程（包括有效的申诉机制），以评估员工对本准则所涉实践与条
件的理解程度，并获取相关反馈或违规报告，从而推动持续改进。供应商须为员工提
供安全环境，使其能够提出申诉和反馈，无需担心遭受报复或惩罚。

9)                         Audits and Assessments 审计与评估

Supplier shall conduct periodic self‐evaluations to ensure conformity to legal and regulatory requirements, the content of the Code, and customer contractual requirements related to social and environmental responsibility.

供应商应定期开展自我评估，以确保符合法律法规要求、本准则内容及与客户合同中相关的
社会责任与环境责任要求。

10)                      Corrective Action Process 纠正措施流程

Supplier shall have a process for timely correction of deficiencies identified by internal or external assessments, inspections, investigations, and reviews.

供应商应建立流程，及时纠正内部或外部评估、检查、调查及审查中发现的缺陷。

11)            Documentation and Records 归档与记录

Supplier shall create and maintain documents and records to ensure regulatory compliance and conformity to Supplier corporate requirements along with appropriate confidentiality to protect privacy.

供应商应创建并保存文档及记录，以确保符合法规要求及供应商企业规范，同时采取适当的
保密措施以保护隐私。

12)            Supplier Responsibility 供应商责任

Supplier shall have a process to communicate Code requirements to suppliers and to monitor supplier compliance to the Code.

供应商应建立流程，向其供应商传达本准则的要求，并监督供应商对本准则的遵守情况。

¹ As amended and, effective May 1, 2023. The Code may be further amended from time to time. Additionally, the information contained is subject to change without notice. 本准则经修订后自 2023 年 5 月 1 日起生效。本准则内容可能不时进一步修订。此外，
所含信息如有变更恕不另行通知。

² Smith includes N.F. Smith & Associates, L.P., Smith & Associates Europe B.V., Smith & Associates Far East Ltd. and its affiliated companies. 及其关联企业。

³ This Code is not intended to create new or additional third party rights, including for workers. 本准则无意创设新的或额外的第三方权利，包括对工人的权利。