|
HARMAN INTERNATIONAL INDUSTRIES,
INCORPORATED
CORPORATE GOVERNANCE GUIDELINES
(Amended and Restated as of June 10,
2004)
State and
federal law, as well as the securities exchanges, impose numerous
requirements relating to the functioning of the Board of Directors,
including specifying matters as to which Board approval is required,
governing relationships with the Company’s outside auditors and federal
securities law requirements. The Board intends to comply with these
requirements. While the Board is familiar with them, they are imposed
by law and, accordingly, the Board necessarily relies on management and
counsel to identify specific requirements applicable to the Board and
the decisions it is called upon to make.
In addition to
these requirements, the Board has adopted these Corporate Governance
Guidelines to assist it in carrying out its functions. The Board will
operate within and, when applicable, apply these Guidelines to
particular actions or decisions in the manner it determines in good
faith to be in the best interests of the Company.
1.
Stockholders: The
Company exists to create sustainable stockholder value. The Board may
consider the interests of all stakeholders it determines to be relevant
in its decision making.
2. Board
Functions: The Board is
elected to oversee the management of the Company. Senior management is
responsible for the oversight of the day-to-day business of the Company
and all other matters not required by law, stock exchange requirements
or these Guidelines to be determined by the Board. The Board’s
principal oversight functions relate to:
·
the Company’s
fundamental business and financial strategies;
·
CEO and senior
management succession, including when appropriate specific succession
plans;
·
material risks
the Company confronts and methods to mitigate or manage these risks; and
·
the Company’s
procedures for compliance with legal and other requirements.
3. Board
Composition: The Board
presently has seven members, and it is the present sense of the Board
that the number of directors should be kept relatively small to assure
effective operation. The Nominating and Governance Committee shall
recommend candidates for election to the Board in accordance with the
policies and principles set forth in its charter, the factors set forth
in these Guidelines and other criteria approved by the Board or the
Nominating and Governance Committee for selecting new directors.
The Board has
not imposed rigid requirements applicable to its composition or as to
the qualification of its members. However, the Board has adopted the
following guidelines on these subjects:
·
a majority of
the members of the Board will be independent. For this purpose,
independence will mean the standards applicable under SEC and stock
exchange rules as in effect from time to time;
·
the Board will
be comprised of people with diverse backgrounds and experience;
·
employee
directors may not serve as board members for other public companies
without the approval of the Board; and
·
directors
should not serve on an excessive number of boards or have other
commitments that could reasonably be expected to interfere with their
effective service as a director of the Company. Accordingly:
·
Directors
should offer their resignations for consideration by the Board if they
experience material changes in their personal circumstances, including
taking on a new principal occupation; and
·
Non-employee
directors should promptly notify the Executive Chairperson and the Chair
of the Nominating and Governance Committee prior to joining the board of
another public company.
Directors who are unwilling or unable
to commit sufficient time to the discharge of their duties without
adequate justification will be asked to leave the Board.
The Board will annually
assess its and its committee’s composition and performance. This
evaluation will determine Board tenure rather than length of service,
age or other similar rigid standards.
4.
Operations: Other than
with respect to broad strategic and policy issues, the Board intends to
act primarily through or based in substantial part on standing
committees established in three general areas: audit, compensation and
governance. The Audit Committee, the Compensation and Option Committee
and the Nominating and Governance Committee must each have a written
charter approved by the Board (copies of which will be posted on the
Company’s website), which charters will establish the purpose and
responsibilities of each such committee and, together with any other
prescribed functions by the Board, will be that committee’s area of
oversight.
The Board and
any committee may retain at the Company’s expense such advisors as the
Board or a committee may determine to be appropriate. Management will
furnish (or cause to be furnished) to the Board and each committee such
information as may be customary or required for the Board or committee
to act on any particular matter sufficiently in advance of each meeting
(whenever practicable) to provide the directors a reasonable opportunity
to obtain appropriate context as to matters to be considered. In
discharging their obligations, members of the Board are expected to
adequately prepare for and, to the extent possible, attend and
participate in all Board meetings and meetings of Board committees on
which they serve. Management is instructed to be available to the
Board, any committee or an individual director to the extent requested.
The Executive Chairperson of the Board, in consultation with appropriate
committee chairs, will establish a schedule of regular meetings for each
year, as well as agendas for each meeting. Meetings will be conducted
in accordance with the Company’s by-laws, and not less frequently than
quarterly the non-management members of the Board will meet in executive
session. The executive sessions will be chaired by non-management
directors selected on a rotating basis.
5. Ethics
and Conflicts of Interest:
The Board expects all individuals associated with the Company to act in
accordance with the Company’s code of conduct. Furthermore, the Board
will not waive compliance with any ethics policy for any director or
executive officer.
6.
Compensation of Directors:
The Compensation and Option Committee will periodically review and
recommend to the Board compensation and benefits for non-employee
directors. The current arrangements for director compensation are set
forth in the Company’s most recent proxy statement. Employee directors
will not receive compensation for service on the Board or any Board
committee. Non-employee directors may not receive compensation from the
Company or any subsidiary other than directors’ fees. However, this
policy will not prohibit the Company from doing business with a company
or firm which a director has an ownership interest, is an executive
officer or an employee (or his or her immediate family member is an
executive officer) where such company or firm makes payments to, or
receives payments from, the Company for property or services in an
amount which, in any single fiscal year, does not exceed the greater of
$1 million, or 2% of such company’s consolidated gross revenues.
7.
Director Attendance at Annual Meetings of Stockholders:
The Company expects its directors to make reasonable efforts to attend
the Company’s annual meetings of stockholders.
8.
Director Education; Evaluation:
The Company’s management will be responsible for assuring the
orientation of new directors and for periodically providing materials or
briefing sessions for all directors on subjects that would assist them
in discharging their duties.
At least
annually, the Nominating and Governance Committee shall oversee an
evaluation of the performance of the Board and the Company’s management
against these Guidelines and report the results of such evaluation to
the Board. As part of this process, the Board will conduct a
self-evaluation to determine whether it and its committees are
functioning effectively.
9.
Management Evaluation and Succession:
The Board shall select a CEO in a manner that is in the best interests
of the Company. The Compensation and Option Committee shall conduct an
annual review of the performance of the CEO in light of the goals and
objectives established by that committee and shall determine and approve
the CEO’s compensation based on such review. The Compensation and
Option Committee shall also review, determine and approve the
compensation level of the Company’s executive officers, other than the
CEO, based on such factors as it deems appropriate.
The Board shall
determine the Company’s succession plan, which at a minimum shall
include appropriate contingencies in case the CEO retires, is
incapacitated or otherwise becomes unable to serve as the Company’s
CEO. The Board will evaluate potential successors to the CEO. The CEO
shall at all times make available his or her recommendations and
evaluations of potential successors, along with a review of any
development plans recommended for such individuals.
|