Sustainability Reporting Framework Indices

Global Reporting Initiative (GRI)
Standard Disclosure	Disclosure Title	Location
GRI 102-1	Name of the organization	See our 10-K Form (part 1).
GRI 102-2	Activities, brands, products and services	See our 10-K Form (part 1).
GRI 102-3	Location of headquarters	See our 10-K Form (part 1).
GRI 102-4	Location of operations	See our 10-K Form (part 1).
GRI 102-5	Ownership and legal form	See our 10-K Form (part 1).
GRI 102-6	Markets served	See our 10-K Form (part 1).
GRI 102-7	Scale of the organization	See our 10-K Form (part 1).
GRI 102-8	Information on employees and other workers	See Our People section of the Sustainability Report
GRI 102-9	Supply chain	See Our 2020 Corporate Annual Report (pgs. 16-17)
GRI 102-10	Significant changes to the organization and its supply chain	See our 2020 Corporate Annual Report (pgs. 3-7)
GRI 102-11	Precautionary Principle or approach	Ciena's Environment, Health and Safety Policy asserts our commitment to preventing environment, health and safety incidents by integrating environment, health and safety considerations into business processes, and encouraging suppliers to do the same.
GRI 102-12	External initiatives	Ciena has adopted the principles set out in the Responsible Business Alliance (“RBA”) Code of Conduct. The RBA Code of Conduct establishes standards to ensure working conditions in the electronics industry supply chain are safe, that workers are treated with respect
GRI 102-13	Memberships of associations	Responsible Business Alliance, Responsible Minerals Initiative, and Telecommunications Industry Association
GRI 201-1	Direct economic value generated and distributed	See our 2020 Corporate Annual Report (pgs. 142-155)
Strategy
GRI 102-14	Statement from senior decision-maker	See the Letter from our CEO within the sustainability report.
GRI 102-15	Key impacts, risks and opportunities	See the Letter from our CEO within the sustainability report.
Ethics and Integrity
GRI 102-16	Values, principles, standards and norms of behavior	See our Code of Business Conduct and Ethics, Governance Documents, Policies and Reports
Governance
GRI 102-18	Governance structure	Proxy Statement (pgs. 22-26)
Stakeholder Engagement
GRI 102-40	List of stakeholder groups	Materiality Assessment Section of the sustainability report
GRI 102-42	Identifying and selecting stakeholders	Materiality Assessment Section of the sustainability report
GRI 102-43	Approach to stakeholder engagement	Materiality Assessment Section of the sustainability report
GRI 102-44	Key topics and concerns raised	Materiality Assessment Section of the sustainability report
Ciena Material Topic: Sustainability Reporting
Reporting Practice
GRI 102-45	Entities included in the consolidated financial statements	Ciena publishes an annual 10-K and quarterly financial reports, which cover all company-owned or -controlled operations. See our 10-K Form for more information.
GRI 102-46	Defining report content and topic Boundaries	Materiality Assessment Section of the sustainability report
GRI 102-47	List material topics	Materiality Assessment Section of the sustainability report
GRI 102-48	Restatement of information	Relevant restatements are included in respective Issue Briefs. See the Issue Briefs listed on our Reporting Library web page for more information.
GRI 102-49	Changes in reporting	No changes since last report
GRI 102-50	Reporting period	Bi-Annual (cover 2019 and 2020)
GRI 102-51	Date of most recent report	June 2021
GRI 102-52	Reporting cycle	Bi-Annual
GRI 102-53	Contact point for questions regarding the report or its contents	Mark Stevens - Director of Corporate Social Responsibility at Ciena masteven@ciena.com
GRI 102-54	Claims of reporting in accordance with the GRI standards	This GRI index, our 2019/2020 Sustainability Report web page have been prepared in accordance with the GRI Standards: Core option.
GRI 102-56	External assurance	No external assurance
Material Topics
Ciena Material Topic: Energy & Emissions
GRI 302: ENERGY
GRI 103-1	Explanation of the material topic and its Boundaries	See CDP Submission
GRI 103-2	The management approach and its components	See CDP Submission
GRI 103-3	Evaluation of the management approach	See CDP Submission
GRI 302-1	Energy consumption within the organization	See CDP Submission
GRI 302-3	Energy intensity	See CDP Submission
GRI 302-4	Reduction of energy consumption	See CDP Submission
GRI 305: EMISSIONS
GRI 305-1	Direct (Scope 1) GHG emissions	Emissions and Energy section of the sustainability report
GRI 305-2	Energy indirect (Scope 2) GHG emissions	Emissions and Energy section of the sustainability report
GRI 305-3	Other indirect (Scope 3) GHG emissions	Emissions and Energy section of the sustainability report
GRI 305-4	GHG emissions intensity	Emissions and Energy section of the sustainability report
GRI 305-5	Reduction of GHG emissions	Emissions and Energy section of the sustainability report
GRI 201-2	Financial implications of climate change	See CDP Submission section C3
Ciena Material Topic: Employee Development and Diversity
GRI 404: TRAINING AND EDUCATION
GRI 103-1	Explanation of the material topic and its Boundaries	Training and Development section of the sustainability report
GRI 103-2	The management approach and its components	Training and Development section of the sustainability report
GRI 103-3	Evaluation of the management approach	Training and Development section of the sustainability report
GRI 404-1	Average hours of training per year per employee	Within the Learning & Development field, it’s common practice to adopt the 70/20/10 model of development, recognizing 10% of an individual’s overall development is formal training (which includes advancements in micro-learning).
GRI 404-2	Programs for upgrading employee skills and transition assistance programs	Training and Development section of the sustainability report; See page 24 of Proxy Statement
GRI 404-3	Percentage of employees receiving regular performance and career development reviews	100%
GRI 103-1	Explanation of the material topic and its Boundaries	Training and Development section of the sustainability report
GRI 103-2	The management approach and its components	Training and Development section of the sustainability report
GRI 103-3	Evaluation of the management approach	Training and Development section of the sustainability report
GRI 405-1	Diversity of governance bodies and employees	Diversity and Inclusion section of the sustainability report; See page 27 of the Proxy Statement
GRI 405-2	Ratio of basic salary and remuneration of women to men	Page 24 of the 2021 Proxy Statement; See Compensation under Company Culture section in the Sustainability Report
Ciena Material Topic: Product Sustainability
N/A
Standard Disclosure	Disclosure Title	Location
GRI 103-1	Explanation of the material topic and its Boundaries	Products section of the sustainability report
GRI 103-2	The management approach and its components	Products section of the sustainability report
GRI 103-3	Evaluation of the management approach	Products section of the sustainability report
N/A	E-waste and product end-of-life management	Products section of the sustainability report
Ciena Material Topic: Community
Standard Disclosure	Disclosure Title	Location
GRI 103-1	Explanation of the material topic and its Boundaries	Materiality Assessment Section of the sustainability report
GRI 103-2	The management approach and its components	Materiality Assessment Section of the sustainability report
GRI 103-3	Evaluation of the management approach	Materiality Assessment Section of the sustainability report
Ciena Material Topic: Employee Health and Safety Standards
GRI 403: Occupational Health and Safety
Standard Disclosure	Disclosure Title	Location
Disclosure 403-1	Occupational health and safety management system	Environment, Health, and Safety section of the sustainability report and see page 25 of 2021 Proxy Statement
Disclosure 403-2	Hazard identification, risk assessment, and incident investigation	Environment, Health, and Safety section of the sustainability report and see page 25 of 2021 Proxy Statement
Disclosure 403-3	Occupational health services	Environment, Health, and Safety section of the sustainability report and see page 25 of 2021 Proxy Statement
Disclosure 403-4	Worker participation, consultation, and communication on occupational health and safety	Environment, Health, and Safety section of the sustainability report and see page 25 of 2021 Proxy Statement
Disclosure 403-5	Worker training on occupational health and safety	Environment, Health, and Safety section of the sustainability report and see page 25 of 2021 Proxy Statement
Disclosure 403-6	Promotion of worker health	Environment, Health, and Safety section of the sustainability report and see page 25 of 2021 Proxy Statement
Disclosure 403-7	Prevention and mitigation of occupational health and safety impacts directly linked by business relationships	Environment, Health, and Safety section of the sustainability report and see page 25 of 2021 Proxy Statement
Disclosure 403-8	Workers covered by an occupational health and safety management system	Environment, Health, and Safety section of the sustainability report and see page 25 of 2021 Proxy Statement
Disclosure 403-9	Work-related injuries	Environment, Health, and Safety section of the sustainability report and see page 25 of 2021 Proxy Statement
Disclosure 403-10	Work-related ill health	Environment, Health, and Safety section of the sustainability report and see page 25 of 2021 Proxy Statement
Ciena Material Topic: Water
GRI 303: Water and Effluents
Standard Disclosure	Disclosure Title	Location
Disclosure 303-1	Interactions with water as a shared resource	See Water stewardship
Disclosure 303-2	Management of water discharge-related impacts	See Water stewardship
Disclosure 303-3	Water withdrawal	See Water stewardship
Disclosure 303-4	Water discharge	See Water stewardship
Disclosure 303-5	Water consumption	See Water stewardship
Ciena Material Topic: Product/Customer Safety
GRI 416-1	Assessment of the health and safety impacts of product and service categories	Ciena has not identified any issues of non-compliance with regulations and/or voluntary codes during the reporting period.
GRI 416-2	Incidents of non-compliance concerning the health and safety impacts of products and services	Ciena has not identified any issues of non-compliance with regulations and/or voluntary codes during the reporting period.
Standard Disclosure	Disclosure Title	Location
GRI 103-1	Explanation of the material topic and its Boundaries	Materiality Assessment Section of Sustainability Report
GRI 103-2	The management approach and its components	Materiality Assessment Section of Sustainability Report
GRI 103-3	Evaluation of the management approach	Materiality Assessment Section of Sustainability Report
Ciena Material Topic: Waste
GRI 306: Waste
Standard Disclosure	Disclosure Title	Location
Disclosure 306-1	Waste generation and significant waste-related impacts	See our CDP Report
Disclosure 306-2	Management of significant waste-related impacts	See our CDP Report
Disclosure 306-3	Waste generated	See our CDP Report
Disclosure 306-4	Waste diverted from disposal	See our CDP Report
Disclosure 306-5	Waste directed to disposal	See our CDP Report
Ciena Material Topic: Labor/Social Rights
GRI 412: Human Rights Assessment
Standard Disclosure	Disclosure Title	Location
Disclosure 412-1	Operations that have been subject to human rights reviews or impact assessments	No human rights reviews or assessments done on Ciena operations, all Ciena employees are trained in the companies code of conduct which describes acceptable behaviors.
Disclosure 412-2	Employee training on human rights policies or procedures	See Human Rights in the Sustainable Supply Chain Section of the Sustainability Report
Disclosure 412-3	Significant investment agreements and contracts that include human rights clauses or that underwent human rights screening	See Human Rights in the Sustainable Supply Chain Section of the Sustainability Report
GRI 409: Forced or Compulsory Labor
Disclosure 409-1	Operations and suppliers at significant risk for incidents of forced or compulsory labor	Ciena requires its suppliers to comply with all applicable laws, which include those related to slavery and human trafficking. Additionally, Ciena requires its key suppliers to confirm their compliance with United Nations labor and human rights conventions
GRI 408: Child Labor
Disclosure 408-1	Operations and suppliers at significant risk for incidents of child labor	Ciena maintains a strict set of Supplier Guidelines, to which all Ciena suppliers are expected to adhere. The RBA Code of Conduct, which contains provisions related to freely chosen employment and child labor avoidance, is a fundamental part of these guidance
GRI 407: Freedom of Association and Collective Bargaining
Disclosure 407-1	Operations and suppliers in which the right to freedom of association and collective bargaining may be at risk	Ciena has adopted the principles set out in the Responsible Business Alliance (“RBA”) Code of Conduct. The RBA Code of Conduct establishes standards to ensure working conditions in the electronics industry supply chain are safe, that workers are treated with respect.
Ciena Material Topic: Governance
GRI 206: ANTI-COMPETITIVE BEHAVIOR
Disclosure 206-1	Legal actions for anti-competitive behavior, anti-trust, and monopoly practices	See our 10-K Form (part 1)
GRI 205: ANTI-CORRUPTION
Disclosure 205-1	Operations assessed for risks related to corruption	There have been no risks identified related to corruption during the reporting period.
Disclosure 205-2	Communication and training about anti-corruption policies and procedures	See the Code of Business Conduct and Ethics section in the Sustainability Report
Disclosure 205-3	Confirmed incidents of corruption and actions taken	There have been no risks identified related to corruption during the reporting period.
Ciena Material Topic: Supply Chain
GRI 414: Supplier Social Assessment
Standard Disclosure	Disclosure Title	Location
Disclosure 414-1	New suppliers that were screened using social criteria	See Page 25 of the 2021 Proxy Statement (sustainability assessments with suppliers representingsignificant spend); See Sustainable Supply Chain Section - Sustainable Supply Chain Results
Disclosure 414-2	Negative social impacts in the supply chain and actions taken	See Page 25 of the 2021 Proxy Statement (sustainability assessments with suppliers representingsignificant spend); See Sustainable Supply Chain Section - Sustainable Supply Chain Results
GRI 308: Supplier Environmental Assessment
Disclosure 308-1	New suppliers that were screened using environmental criteria	See Page 25 of the 2021 Proxy Statement (sustainability assessments with suppliers representingsignificant spend); See Sustainable Supply Chain Section - Sustainable Supply Chain Results
Disclosure 308-2	Negative environmental impacts in the supply chain and actions taken	See Page 25 of the 2021 Proxy Statement (sustainability assessments with suppliers representingsignificant spend); See Sustainable Supply Chain Section - Sustainable Supply Chain Results
Ciena Material Topic: Governance
Standard Disclosure	Disclosure Title	Location
SASB	Accounting Metric
Product Security	Description of approach to identifying and addressing data security risks in products	Ciena has not identified any issues of non-compliance with regulations and/or voluntary codes during the reporting period.
Employee Diversity & Inclusion	Percentage of gender and racial/ethnic group representation for (1) management, (2) technical staff, and (3) all other employees	Diversity and Inclusion; See page 27 of the 2021 Proxy Statement
Product Lifecycle Management	Percentage of products by revenue that contain IEC 62474 declarable substances	Not applicable to the Ciena Portfolio
	Percentage of eligible products, by revenue, meeting the requirements for EPEAT registration or equivalent	Not applicable to the Ciena Portfolio
	Percentage of eligible products, by revenue, meeting ENERGY STAR® criteria	Not applicable to the Ciena Portfolio
	Weight of end-of-life products and e-waste recovered, percentage recycled	Contained within regulatory reporting data for WEEE compliance
Supply Chain Management	Percentage of Tier 1 supplier facilities audited in the RBA Validated Audit Process (VAP) or equivalent, by (a) all facilities and (b) high-risk facilities	100% of our Tier 1 Contract Manufacturers are audited by RBA
	Tier 1 suppliers’ (1) non-conformance rate with the RBA Validated Audit Process (VAP) or equivalent, and (2) associated corrective actionrate for (a) priority non-conformances and (b) other non-conformances	100% of our Tier 1 Contract Manufacturers are audited by RBA
Materials Sourcing	Description of the management of risks associated with the use of critical materials	See our conflict minerals statement
Accounting Metrics	Number of units produced by product category	Not publicly shared data
	Area of manufacturing facilities	We operate an outsourced manufacturing model
	Percentage of production from owned facilities	We operate an outsourced manufacturing model
TCFD
Core Element 1: Governance	Disclose the role of the board of the organization in overseeing climate-related issues	See CDP Submission section C1.1
	Disclose the role of management in assessing and managing climate-related issues	See CDP Submission section C1.2
Core Element 2: Strategy	Disclose the climate-related risks and opportunities the organization has identified over the short, medium, and long term	See CDP Submission section C2
	Disclose the impact of climate-related risks and opportunities on the organization's businesses, strategy and financial planning	See CDP Submission section C3
	Disclose the resilience of the organization’s strategy, taking into consideration different climate-related scenarios including a 2 ̊C or lower scenario.	See CDP Submission section C3.1a
Core Element 3: Risk Management	Describe the organization’s processes for identifying climate-related risks.	See CDP Submission section C3.1d
	Describe the organiation's process for managing climate-related risks.	See CDP Submission section C12.3f
	Describe how processes for identifying, assessing, and managing climate-related risks are integrated into the organization’s overall risk management	See CDP Submission section C2.2a
Core Element 4: Metrics & Targets	Disclose the metrics used by the organization to assess climate-related risks and opportunities in line with its strategy and risk management process.	N/A
	Disclose Scope 1, Scope 2, and, if appropriate, Scope 3 greenhouse gas (GHG) emissions, and the related risks.	See CDP Submission section C6
	Describe the targets used by the organization to manage climate-related risks and opportunities and performance against targets	N/A

Sustainability reporting frameworks