|
HARMAN INTERNATIONAL INDUSTRIES,
INCORPORATED
CODE OF BUSINESS CONDUCT
(Amended and Restated as of June 10,
2004)
Introduction
Our reputation
for integrity and fair dealing is essential to our continued success,
and we believe that we have long fostered a culture which serves to
assure that we so operate with our customers, vendors and service
providers, as well as with each other. In addition to the policies
contained in this Code, we have promulgated policies on specific topics
over the years, and other relevant requirements are incorporated into
specific employment and other agreements (when applicable) or policies
to which we are subject.
This Code of
Conduct applies to all employees of the Company and each of its
subsidiaries, as well as the Company’s directors and officers. By doing
this, we are not replacing or limiting any other applicable
requirements, including the special rules applicable to our executive
officers, directors and accounting personnel related to financial
reporting, nor are we suggesting that a set of rules is preferable to
basic notions of propriety and common sense by which we all operate day
to day.
We have posted
this Code of Conduct on our website, which contains other information of
relevance to the general subject, including our current procedures for
reporting possible violations.
Compliance with Laws, Rules and
Regulations
The Company and
our directors, officers and other employees are committed to obeying all
applicable laws, rules and regulations of the states and countries in
which we do business. If a law, rule or regulation is unclear, seek
advice from your supervisor, a more senior manager or the Company’s
General Counsel. Furthermore, each of us must always seek to act in
accordance with the standards of business conduct as outlined in this
Code of Conduct.
Conflict of Interests
Our stockholders
own the business and we are their stewards. This means that we have to
avoid situations where our personal interests interfere with the
Company’s interests.
Many conflict of
interest situations are obvious, but others are not. They include:
·
No
Insider Trading:
We do not trade in Company stock on the basis of material, non-public
information concerning the Company, nor do we "tip" others who could
reasonably be expected to trade in Company securities. Confidential
information should not be shared with others, even with other employees
(unless of course they have a reasonable business reason for knowing
it).
·
Corporate Opportunities:
We do not personally take investment or other corporate opportunities
that become available to us as a result of employment. The test for
this is simple — do not personally take opportunities that are
discovered through the use of Company property, information or your
position with the Company, excluding customary business entertainment
involving nominal amounts as described below. We don’t give business to
any firm in which we know an employee has an ownership or other interest
(except for small investments in publicly traded companies). Many of us
are also subject to non-competition restrictions, or prohibitions
against soliciting customers, distributors or employees, any or all of
which may apply even after termination of employment. As a matter of
policy, we must vigorously enforce these kinds of limitations, whether
they arise under employment or stock option agreements or otherwise.
·
Competition and Fair Dealing:
We endeavor to always deal fairly with the Company’s customers,
suppliers, competitors and employees. We outperform our competitors
through our innovation, execution and hard work, not unethical or
illegal business practices like stealing competitively sensitive
information or improper inducements.
·
Business Entertainment and Gifts:
Business entertainment and gifts are meant to create goodwill and sound
working relationships, not to gain unfair advantage with customers or
suppliers. Neither we nor our family members may offer, give or accept
any gift or entertainment unless it is not in cash, is only nominal in
value, does not violate any law or regulation and is consistent with
customary business practices. You should contact the General Counsel
with any questions about whether it is permissible to accept or give any
gift or entertainment.
Discrimination and Harassment
We provide equal
opportunity in all aspects of employment and will not tolerate
discrimination or harassment of any kind. Derogatory comments based on
racial or ethnic characteristics, unwelcome sexual advances and similar
behavior is prohibited.
Health and Safety
We strive to
provide a safe and healthful work environment. We can help ensure a
safe work environment by following safety and health rules and practices
and promptly reporting accidents, injuries and unsafe equipment,
practices or conditions to a supervisor or senior manager. We report to
work in condition to perform our duties at our best, and do not tolerate
the use of alcohol or illegal drugs in the workplace.
Accounting and Record-Keeping
We require
honest and accurate recording and reporting of information in order to
make responsible business decisions and accurately calculate our
financial results. We must document and record our Company’s business
affairs accurately. Unrecorded or "off the books" funds or other
assets, charges or obligations are strictly prohibited, as are special
billing or payment procedures that suggest evasion of tax or other
requirements by the other party to them.
Public Reporting
Harman
International is a public company and as a result files reports and
other documents with the Securities and Exchange Commission (“SEC”). We
maintain disclosure procedures designed to ensure that the information
included in the reports or other documents that we file or submit to the
SEC is collected and communicated to senior management in order to
permit timely disclosure of required information. Our objective is to
always make accurate and understandable disclosure in reports and
documents we file with the SEC and in our other public communications.
As a result, when
called upon, all of us must cooperate and fairly communicate with our
internal and outside auditors. Moreover, while it is, of course, fine
to argue the merits of your point of view, it is illegal to take any
action to fraudulently influence, coerce, manipulate or mislead any
internal or external auditor engaged in the performance of an audit.
The laws and
regulations applicable to filings made with the SEC, including those
applicable to accounting matters, are complicated. If you have
questions or are uncertain as to how our disclosure controls and
procedures may apply in a specific circumstance, promptly contact your
supervisor or a more senior manager.
Confidentiality
We are committed
to protecting confidential information relating to the Company.
Confidential information includes proprietary information such as our
trade secrets, marketing plans, forecasts, designs, databases and
employee information, as well as any other non-public information that
might be of use to competitors or harmful to us or our customers if
disclosed. It also includes information that others have entrusted to
us on a confidential basis. Our obligations not to disclose
confidential information continue even after employment ends.
Protection and Proper Use of Assets
Theft, careless
treatment and waste of Company assets have a direct impact on our
profitability. All Company assets should, therefore, be properly
protected and used only for legitimate business purposes. In addition,
people sometimes forget that reproducing licensed software (except for
backup and security purposes) or other copyrighted material without
authorization violates U.S. copyright law and can subject both the
Company and any employee or representative making such copies to serious
legal consequences. Any suspected incident of fraud, theft or similar
improper conduct should be immediately reported.
Reporting any Illegal or Unethical
Behavior; Enforcement
Each of us must work to ensure prompt
and consistent action against unethical or illegal behavior. A
violation of our Company rules, including any provision of this Code of
Conduct, may be easy to recognize and should be promptly reported to a
supervisor or, if appropriate, a senior manager. However, in some
situations it may be difficult to know right from wrong. Since none of
us can anticipate every situation that will arise, it is important that
we have a way to approach a new or sensitive question or problem. The
important thing to remember is to ask first, act later. Here are some
questions that could be asked.
1.
What do I need to know?
In order to reach the right solutions, we must be as fully informed as
possible.
2.
What specifically am I being asked to do? Does it feel unethical or
improper? This
will focus the inquiry on the specific action in question, and the
available alternatives. Use judgment and common sense; if something
feels unethical or improper, it probably is.
3.
What is my responsibility?
In most situations, there is shared responsibility. Should colleagues
be informed? It may help to get others involved and discuss the issue.
However, you should do this with care so you don’t expose yourself to
criticism or even litigation if your suspicions prove to have been
unfounded.
4.
Have I discussed the issue with a supervisor?
This is the basic guidance for all situations. In many cases, a
supervisor will be more knowledgeable about the question, may know the
right senior manager to talk to and will appreciate being brought into
the decision-making process. Remember that it is the supervisor’s
responsibility to help solve problems.
5.
Should I seek help from management?
In the rare case where it may not be appropriate to discuss an issue
with a supervisor, or if approaching a supervisor with your question
makes you uncomfortable, you should feel completely free to discuss it
locally with the human resources manager in your office or if you prefer
a more senior manager.
The Company does
not allow retaliation of any type for good faith reports of misconduct
by others. Any employee that is found to have engaged in retaliatory
activities will be subject to disciplinary action, up to and including
termination of his or her employment with the Company. A knowing
violation of this anti-retaliation policy could also constitute a
federal crime punishable with a fine, imprisonment or both.
Should an
employee believe that he or she has been discriminated against because
he or she filed a complaint or cooperated in an investigation of alleged
misconduct, the employee should immediately report in writing to the
General Counsel the basis for this belief and the alleged retaliatory
action.
Implementation and Enforcement
Our Board of
Directors has adopted this Code of Conduct and has instructed that it be
published and enforced. Acts by employees or representatives that
violate this Code will be considered outside the scope of employment or
representation and may result in disciplinary action and legal sanctions
being taken against you, including where appropriate the immediate
termination of employment.
Any employee who
has exhausted normal reporting procedures or concludes that the normal
procedures is not feasible under the circumstances, should report the
matter as described on our website. All reports of possible violations
about which management becomes aware will be promptly considered and, if
asked, we will protect the anonymity of reporting employees, to the
maximum extent we can under the circumstances. We will not punish any
employee or representative for making any report in good faith,
regardless of how it ultimately comes out.
Conclusion
The Company’s
reputation depends, to a very large measure, on you taking personal
responsibility for maintaining and adhering to the policies and
guidelines set forth in this Code. Your cooperation in this regard is
appreciated.
|