Bechtel code of conduct (incluye mail no privacidad)

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Bechtel code of conduct (incluye mail no privacidad)

  1. 1. Bechtel Business EthicsOURCODECONDUCT of
  2. 2. Vision + ValuesOur VisionTo be the world’s premier engineering, construction, and project management companyOur ValuesBuilding on a family heritage that spans ■ Return. We earn a return that fairlymore than 100 years, we will continue to be rewards the value we deliver.privately owned by active management and ■ Mutual Respect. We work by ourguided by firmly held values. Bechtel Covenants, which encourage■ Ethics. Uncompromising integrity, openness, teamwork, and trust. We value honesty, and fairness are at the heart an inclusive culture based on diverse of our company. backgrounds, experience, and views.■ Excellence. We set high standards. ■ Safety. Zero accidents is our unwavering We apply advanced technology, and goal—people’s lives depend on it. we continually innovate and improve. ■ Sustainability. We plan and act for the We thrive on challenge and future—for the long-term good of our accomplishment. company, our customers, and our world. Bechtel Covenants1 Treat Bechtel colleagues with mutual 5 Work to understand Bechtel goals and respect, trust, and dignity and believe strategies and proactively support them they are acting in the best interest of through discussions, communications, the company. and actions (for example, sharing resources).2 Help each other; ask for and give help and welcome it freely (it is not a sign 6 Never undermine colleagues directly or of weakness). Go out of the way to indirectly. provide extra support to fellow employees. Share experiences and 7 Work jointly to resolve disagreements lessons learned, both successes and in good faith. If necessary, go to a failures. higher authority together, then accept and support the solution.3 Communicate early, honestly, and completely with all who have a direct 8 Contribute constructively by exercising interest in the subject. Listen to others’ the highest level of professional and points of view. ethical behavior.4 Earn trust by accepting and honoring 9 Promote continuous use of agreements, keeping promises, and the covenants. discussing needed changes before acting.2
  3. 3. Ethics. Uncompromising integrity, honesty, and fairness are at the heart of our company.—from the Bechtel Charter’s Vision + ValuesMore than 110 years ago, my great grandfather, Warren A. Bechtel,started this company on a foundation of integrity. He would say, “If you can’t trusta man’s handshake, you can’t trust his signature.”And he was right. Integrity was a business imperative back then and it remainsa business imperative today—because without it, we have no business.Bechtel’s integrity as a company comes only from our integrity as individuals.Every day, each of us must conduct every aspect of our work fairly according to thehighest ethical business standards, including complying with all applicable laws andregulations. As with safety, there is no room for compromise. Period.This Code of Conduct brings all of our business ethics guidelines together under oneroof. It updates and replaces our previous Bechtel Business Ethics booklet and theformerly separate Standards of Conduct and Business Ethics booklets for BechtelSystems & Infrastructure, Inc. (BSII) and Bechtel Infrastructure, Inc. (BINFRA).The information in this code will help guide you in a business environment thathas become ever more complex. These guidelines cannot cover every conceivablecircumstance, so Bechtel depends on you to use your common sense and goodjudgment to apply these principles in each situation.If you have business ethics questions or concerns, don’t hesitate to ask yoursupervisor, manager, the Legal Department, or your local ethics and complianceofficer. You can always contact the Ethics HelpLine as listed on page 75.No single person can uphold our commitment to ethics and integrity.It takes all of us.Thank you,Riley P. BechtelChairman and Chief Executive Officer 1
  4. 4. Table of Contents Introduction ....................................... 4 On The Job Records and Information Conducting Bechtel’s Business Management ...................................... 48 General Standards .............................. 8 Confidential Information and Diversity and Fair Employment............. 10 Employee Inventions ........................... 50 Commitment to the Environment, Proper Use of Bechtel’s Safety, and Health .............................. 12 Time and Assets .................................. 52 Proper Use of Confidential and Use of E-mail and Internet ................... 54 Proprietary Information ....................... 14 Other Issues at Work ........................... 56 Accurate Recording and Reporting of Information ..................... 16 On Your Own Time Copyright Compliance ......................... 18 Conflicts of Interest ............................. 60 Offering Business Courtesies............... 20 Accepting Business Courtesies............ 64 Political Activities ............................... 22 Proper Relationships Antitrust Compliance .......................... 24 with Suppliers ..................................... 66 Public Service ..................................... 68 Special Issues Related to Insider Information ............................. 70 Doing Business with the U.S. Government Violations of Our Code of Conduct Offering Business Courtesies to How to Report a Violation .................... 74 U.S. Government Employees ............... 28 Consequences for Violations ............... 76 Hiring U.S. and Other Government Employees....................... 30 Other U.S. Government Contracting Issues .............................. 32 Special Considerations for a Global Business Anti-Boycott........................................ 36 Export Control Laws and International Sanctions ................ 38 Anti-Corruption ................................... 422 Our Code of Conduct
  5. 5. 3
  6. 6. Our Code of ConductIntroductionWhat is Bechtel’s Code of Conduct? To whom does it apply?Bechtel’s Code of Conduct is designed Our Code of Conduct summarizes theto help you recognize and resolve the standards of conduct that guide ourethics and compliance issues that may actions and applies globally to allarise in your daily work. It provides Bechtel employees, and to membersgeneral information and practical advice of the board of directors, agents,about the behavior that is expected of consultants, contract labor, and othersBechtel employees both on and off the when they are representing or acting for,job. This Code of Conduct has been or on behalf of, Bechtel. We expect ourendorsed and adopted by our board partners, subcontractors, and suppliersof directors and it replaces all previous worldwide to be guided by theseethics booklets, including the BSII and principles as well. We seek outBINFRA Standards of Conduct booklets. customers and partners who share our values and standards of conduct.4 Our Code of Conduct
  7. 7. How Do I Use This Booklet? Common QuestionsPlease familiarize yourself with this Code What should I do if I still have questions afterof Conduct. If you have questions about consulting this booklet or I need an interpre-the appropriateness of a particular act tation of the applicable Bechtel policy?or contemplated course of conduct, There are several resources you can turnlook through the Table of Contents to to for further guidance. Consider talkingfind the section that most likely applies with your manager, supervisor,to your issue. Each section contains a or local ethics and compliance officer.summary of the relevant Bechtel policy, You can also contact the Bechtel Ethicsexamples of specific behaviors expected HelpLine at ethics@bechtel.com orof us with regard to that policy, practical 1-800-BECHTEL (1-800-232-4835) inexamples in Q&A format, and informa- the United States or one of internationaltion on where to find further guidance. numbers listed on the Ethics andFor example: Compliance site on BecWeb.■ You receive a birthday card from a supplier that contains a $100 gift A lot of the information in this booklet seems certificate. Can you keep it? Go to focused on U.S. law, but I live and work in “Accepting Business Courtesies.” a different country. What does all the U.S. law have to do with me?■ A customer representative offers you some freelance work updating their Because Bechtel is a U.S. corporation, technical procedures. Can you do it the U.S. laws generally apply to Bechtel on your own time? Go to “Proper and its employees around the world. Relationships With Suppliers.” Bechtel complies with all applicable laws, so you need to understand and■ You are active in a social network- follow U.S. and local country laws unless ing site on the Web. Can you identify compliance with local law would violate yourself as a Bechtel employee? U.S. law, such as the Arab League Go to “Proper Use of Bechtel’s boycott of Israel (see Anti-Boycott Time and Assets.” at page 36). Introduction 5
  8. 8. Conducting Bechtel’s Business This section deals with ethics and business conduct issues you may encounter when dealing with people and organizations both inside and outside the company. It also contains information about certain legal issues that may arise in your daily work.6 Our Code of Conduct
  9. 9. If I see something that violates theCode of Conduct, do I have to report it?page 9Can I use an amusing video I found onYouTube in a Safety presentation fora meeting?page 19Can my project buy tickets to a localpolitical fundraiser?page 23 7
  10. 10. Conducting Bechtel’s BusinessGeneral StandardsSummary of Bechtel Policy What behavior is expected?Bechtel is committed to the highest ■ Apply the highest standards of ethicalstandards of ethical business conduct business conduct, in both spirit andand seeks to do business with customers conduct, in your day-to-day workand partners who share these values. ■ Treat all persons with whom BechtelThe company conducts all of its business does business fairly and avoidtransactions properly, fairly, impartially, situations that could create theand ethically, and avoids even the appearance of bias or favoritismappearance of impropriety. Honestyis an integral part of ethical behavior, ■ Communicate honestly; if you believeand trustworthiness is essential for someone may have misunderstoodstrong, lasting relationships. This you, try to clarify the situationethical standard is one of Bechtel’s immediatelymost valuable assets and is a direct ■ Do not misrepresent yourself orresult of the conduct of its employees. Bechtel to anyoneBechtel has developed ethics and ■ Report any observed conduct thatcompliance education and awareness is potentially unethical, unlawful,programs in many subject areas in unsafe, or otherwise at odds withorder to provide employees with job- Bechtel standards of conduct orspecific compliance training and raise company policytheir level of awareness and sensitivity ■ Cooperate fully with any companyto key issues. All employees are investigation regarding an allegationexpected to participate in ethics of behavior that potentially violatesawareness workshops annually and Bechtel’s ethical standardscomplete compliance training asassigned. ■ Participate in ethics awareness training annually and complete all assigned compliance training8 Our Code of Conduct
  11. 11. Common QuestionsWhat does it mean to conduct all business Further Guidancetransactions in a proper, honest, fair, If you find yourself in a situation where youimpartial, and ethical manner? are unsure of the proper business practiceWe should always treat our custom- or are confused about any Bechtel policy,ers, suppliers, competitors, and fellow consult Corporate Policy 102, Standardsemployees with respect and fairness. of Conduct. If you still have questions,No Bechtel employee should ever take ask for help. Consult your supervisor orunfair advantage of anyone through manager, Human Resources, the Legalmanipulation, concealment, mis- Department, your organization’s ethicsrepresentation, abuse of proprietary and compliance officer, or the Bechtelinformation, or any other unfair Ethics HelpLine for guidance.business practice.If I see something that violates theCode of Conduct, do I have to report it?Yes. We all have an obligation toinform the company of any incidentsof unlawful or unethical conduct orviolations of company policy. Bechtelwants to do things right, and we can’tresolve a problem if we don’t knowabout it. Failure to report observedmisconduct may result indisciplinary action.What if I’m not sure about the facts ordon’t have enough information to concludethat a violation has occurred?We are all responsible for raisingquestions if we are concerned that theBechtel standards of conduct are notbeing met. Talk to your manager or yourorganization’s ethics and complianceofficer, or contact the Ethics HelpLine.They can help you determine whetherthere is an ethics issue. General Standards 9
  12. 12. Conducting Bechtel’s BusinessDiversity and Fair EmploymentSummary of Bechtel Policy What behavior is expected?Under the Bechtel Covenants, we ■ Think and act globally by attracting,encourage openness, teamwork, and developing, and retaining a diversetrust. Our success depends on our ability workforce that generates innovationto build dynamic, diverse, mobile teams and promotes inclusionwhenever and wherever they are needed. ■ Maintain a work environment thatWe respect each other and value the promotes respect for all employeesdiversity that comes from our different and for the human rights ofbackgrounds, experience, and views. co-workers, partners, suppliers,Bechtel is an equal opportunity employer customers, and community neighborsand bases employment decisions on ■ Work productively with employees,merit, experience, skills, and potential. customers, and contractors in orderEmployment decisions are made to leverage the talents, skills, andwithout regard to race, color, gender, experiences of everyone to meetage, religion, national origin, ancestry, individual and organizational goalsphysical or mental disability, veteranstatus, sexual orientation, and other ■ Support Bechtel’s commitment togrounds for discrimination prohibited diversity in our global workforceby applicable law. ■ Never engage in inappropriate sexualBechtel maintains a work environment banter or make inappropriate sexualthat is free from unlawful discrimina- advances to employees or others intion, harassment, and/or retaliation. the workplaceWe do not tolerate harassing conduct ■ Tell no off-color, stereotypical, orthat affects tangible job benefits; offensive jokes that may violateinterferes with an individual’s work our policyperformance; or creates an intimidating, ■ Never use derogatory referenceshostile, or offensive work environment, to any race, age, gender, religion,regardless of workplace location, which ethnic group, or disabilitymay include a customer’s premises oran off-site business meeting. ■ Never send e-mails or notes that are sexually suggestive or containBechtel does not tolerate activities that comments, jokes, or pictures that aresupport trafficking in persons or the offensive based on race, age, gender,use of child labor or forced labor in the religion, ethnic group, or disabilityperformance of Bechtel contracts by ouremployees or our subcontractors.10 Our Code of Conduct
  13. 13. Common QuestionsHow does Bechtel benefit from diversity? Further GuidanceBechtel’s commitment to maximizing the If you have questions regardingunique talents and perspectives of our Bechtel’s diversity program, please referworkforce gives us a competitive to Bechtel’s Diversity BecWeb page.advantage because we can leverage Information about Bechtel’s Equalthose differences to achieve better Employment Opportunity policy can beresults. This enables Bechtel to bet- found on Bechtel’s EEO-AA BecWeb page.ter understand and meet the diverse You can also consult the Bechtel Work-requirements and expectations of our place Relationships policy, which isglobal customers. Diversity and inclusion Policy A401J in the Personnel Policyalso helps Bechtel attract and retain Manual—International (“Greenbook”)highly talented employees around and Policy 401J in the Personnel Policythe globe. Manual—U.S. (“Redbook”).What should I do if I experience or witnessan incident of discrimination or harassment?Promptly report any such incident toyour supervisor, manager, or HumanResources. In the United States, youcan also contact the EmployeeDispute Resolution Specialist at1-888-EDR-INFO. Diversity and Fair Employment 11
  14. 14. Conducting Bechtel’s BusinessCommitment to the Environment,Safety, and HealthSummary of Bechtel Policy What behavior is expected?Bechtel conducts all business with ■ Perform all work with a commitmentthe greatest care for the environment to eliminating and/or mitigatingand for the health and safety of its environmental, safety, and healthemployees, partners, contractors, and hazards and impactscustomers, as well as the people in the ■ Conduct all activities in a mannercommunities where we work. We are that protects Bechtel employees,committed to achieving and sustaining customers, subcontractors, and local“Zero Accidents” performance, and to communities, and also respects theworking with all appropriate stakehold- rights of neighbors to communityers to improve ES&H effectiveness in safety and securityour industry. Maintaining that commit-ment demands that the company and ■ Make sure that you and others inits employees understand and comply your area of responsibility understandwith all applicable environmental, and comply with Bechtel standardssafety, and health laws and regulations. and applicable regulations on environmental, safety, and health laws and community health, safety, and security ■ Understand the environmental, safety, and health conditions and the associated hazards of your work area ■ Notify your manager and ES&H of any serious and/or potentially serious safety and health incidents ■ Ensure that lessons learned with regard to environmental, safety, or health incidents; new technologies; and changes in laws and regulations are communicated to others in your work area12 Our Code of Conduct
  15. 15. Common QuestionsHow do I find out about the safety and Further Guidancehealth conditions in my work area? If you are unsure of the properAll Bechtel projects are required to environmental, safety, and/or healthdevelop and keep current an ES&H requirements or procedures, regardlessPlan containing a listing of all safety of whether they are external or internaland health requirements and hazards. requirements, ask for clarification and/orThe plan is also a source for identifying help. First, consult with your supervisorhow the requirements apply at the site or manager, then with the site ES&Hand how the hazards are mitigated. In supervisor. If further clarification isaddition, the plan contains a listing of needed or a concern remains, contactresponsibilities for the site personnel with your GBU and/or corporate ES&Hregard to safety and health requirements. professional. Another resource isHow can I learn about the environmental the ES&H site on BecWeb.requirements for my project work site?All Bechtel projects are required todevelop and keep current a Construc-tion Environmental Control Plan (CECP)containing a listing of all environmentalrequirements and how they apply at thesite. The CECP also develops a listing ofresponsibilities for the site personnel withregard to environmental requirements.How do we try to avoid adverse impact tocommunity health, safety, and security?We seek to engage in our EPC activitiesin a way that does not negatively impactthe physical or mental safety of ourneighbors, infringe upon their securityof property or economic activities, orcontribute to the deterioration of theircommunity by way of increased crimeor social disruptions caused by ouractivities or their immediate side effects. Commitment to the Environment, Safety, and Health 13
  16. 16. Conducting Bechtel’s BusinessProper Use of Confidential andProprietary InformationSummary of Bechtel Policy What behavior is expected?Bechtel employees may have access ■ Never use company, customer,to various types of proprietary, confiden- supplier, or employee confidentialtial, or private information belonging information other than for itsto Bechtel or its customers, suppliers, intended business purposeemployees, or others (confidential ■ Comply with nondisclosure agree-information). Employees must use ments to which Bechtel is a partyconfidential information only for itsintended purposes and as part of their ■ Do not accept confidentialduties at Bechtel. Such information information unrelated to your jobmay be shared with employees or other ■ If you receive information that is notpersons only on a need-to-know basis, marked confidential, but you believeas authorized by the Bechtel person it is confidential, bring it to theresponsible for such information. attention of the person who gave it to you and follow up if necessary to make sure the information is properly classified and protected Confidential information includes busi- ness, financial, marketing, and operating ■ If your duties require you to perform information that is sensitive to Bechtel, its research to gain an understanding customers, or others, including: of competitors’ business and strategies, use only legitimate ■ Engineering and construction resources and avoid actions that procedures and know-how are illegal or unethical or that could ■ Personnel data, such as health cause embarrassment for Bechtel and salary information ■ If someone tries to give you ■ Client-or supplier-provided infor- confidential information you are not mation marked “Confidential” authorized to receive, do not accept it and notify your supervisor or manager ■ Remember that your obligation to protect confidential information learned at Bechtel continues even after you leave the company14 Our Code of Conduct
  17. 17. Common QuestionsI used to work for a Bechtel competitor, and I am about to transfer to another BechtelI have unique insight on their business that project. May I take with me information fromcould be very useful to Bechtel. Can I share my current project that would be useful onthis information with my manager? the next project?No. You are expected to maintain If the information contains customer,the confidentiality of proprietary or supplier, or Bechtel confidentialconfidential information that you information, consult with yourreceived while working for your manager or the Legal Departmentformer employer. first to determine what use, if any, you may make of that information.I received a copy of a competitor’s proposalin the mail from an unknown source.What should I do?Stop reading the document immediately.Do not make any copies or show it toanyone else. Consult with your manager Further Guidanceor the Legal Department immediatelyto determine the next steps. If you have a question about proprietary or confidential information, ask for help.I possess customer information that is marked Consult with your supervisor or manager,confidential. I think it would be very helpful to the Legal Department, or your ethicsmy project and the customer if I were to share and compliance officer for guidance.this information with one of our suppliers. You can always contact theHow do I find out whether I may do so? Bechtel Ethics HelpLine.There should be a Bechtel person onyour project who is responsible foradministering Bechtel’s confidentialityobligations to your customer. It may beyour project manager or your projectadministrator, but if not, one of themshould be able to tell you who theresponsible person is. Proper Use of Confidential and Proprietary Information 15
  18. 18. Conducting Bechtel’s BusinessAccurate Recording andReporting of InformationSummary of Bechtel Policy What behavior is expected?Bechtel employees are expected to use ■ Accurately and honestly provideutmost care to accurately record and information in business reports andreport information in business records recordsand reports. In some cases, the omis- ■ Pay attention to detail to ensure thatsion of necessary information can records are accuraterender a report or record inaccurate.The accuracy of Bechtel’s business ■ Do not mislead or misinform othersrecords is essential to the operation by supplying inaccurate informationof the business. in business records Examples of information that must be reported accurately on business records and reports: ■ Educational qualifications or work history on an employment application ■ Work hours and the correct charge code on a time record ■ Test reports created by engineers ■ Safety incidents, near misses, and lost work days ■ New work booked reports by business development representatives ■ Revenue and cost information in financial reports ■ Expense reports ■ Invoices16 Our Code of Conduct
  19. 19. Common QuestionsWhat are some examples of inaccurate or Further Guidancedishonest reporting on a business record? If you are concerned about potentialSome examples of dishonest reporting false reporting on any Bechtel businessare: record, you should alert your supervisor or■ Approving a time record when manager. You can also seek guidance from you know the person did not work the Legal Department, your organization’s that day ethics and compliance officer, or the Ethics HelpLine.■ Submitting an expense report for meals not eaten, miles not driven, or airline tickets not used■ Signing off on plant test results (e.g., performance or material certification tests) when the test was not actually conductedWhat should I do if I become aware thata fellow employee has put inaccurateinformation on his or her expense report?Talk to your manager about the situation.If you are not comfortable talking to yourmanager, contact Human Resources orthe ethics and compliance officerfor your organization.What consequences can flow from dishonestreporting on company records?Providing false information on a companyreport can lead to discipline up to andincluding termination. It can also leadto civil or criminal liability to you andBechtel. Accurate Recording and Reporting of Information 17
  20. 20. Conducting Bechtel’s BusinessCopyright ComplianceSummary of Bechtel Policy What behavior is expected?Bechtel is committed to fully complying ■ Place an appropriate Bechtelwith the provisions of applicable law or customer copyright and/orand licensing agreements pertaining to intellectual property notice on written,copyrighted materials, including written photographic, or graphics materialsmaterial, photographs, and software. generated by Bechtel employeesThe company licenses or subscribes ■ Obtain permission from theto necessary software and reference copyright holder before makingmaterial such as industry codes and copies of copyrighted written,standards for use within Bechtel. photographic, or graphics materialsBechtel does not infringe upon the originating outside Bechtel, includingintellectual property rights of others. any content found on the InternetUnauthorized reproduction ortransmission of written material or ■ Before making a copy of anysoftware is illegal, harmful to Bechtel’s software, make sure that theinterest and reputation, and against applicable software license permitsBechtel policy. copying (e.g., for backup or archival purposes) “Written material” can be textual or graphic and in printed or electronic form. The term includes: ■ Newspapers, trade journals, and books ■ Drawings and specifications ■ Images available on the Internet18 Our Code of Conduct
  21. 21. Common QuestionsI am writing a technical report for our I do a lot of Bechtel work on my computer atcustomer on a project. How do I know what home. May I put a copy of Bechtel softwarecopyright notice to place on my report? on my home computer?An Engineering Department Procedure The answer depends on the softwareon Intellectual Property Protection and the terms of the Bechtel license(3DP-G03-00012) details the form agreement. Consult with your IS&Tof notice to use in various contexts. representative for guidance.A project-specific instruction usuallyclarifies the notice appropriate to your If software is installed on one Bechtelproject. Consult your project engineering computer, is it OK to make a copy for usemanager. on another Bechtel computer? This is not OK unless the softwareI found a great graphic on the Internet. license specifically permits suchMay I copy it into a PowerPoint presentation copying. Consult your IS&TI am giving at an upcoming business meeting? representative.The graphic that you found may becopyrighted. If so, you need to obtainpermission to use it in a businesspresentation. Consult with your manageror the Legal Department for advice on Further Guidancehow to obtain permission to use it. If you have a question regarding copyright compliance, ask for help. Consult with yourI was e-mailed a link to an amusing video on manager, IS&T, the Legal Department,YouTube that would be perfect for a safety or your ethics and compliance officer forpresentation at an upcoming Bechtel guidance. You can always contact themeeting. May I use it? Bechtel Ethics HelpLine.Generally, we may not use videosdownloaded from YouTube without thepermission of the copyright owner, whichis usually the person or entity that madethe video. Sometimes it can be difficultto identify the copyright holder, but thatdoesn’t justify an impermissible use.On the other hand, it is perfectlyacceptable to distribute the link bye-mail to a Bechtel work group if itwould serve a business purpose. Copyright Compliance 19
  22. 22. Conducting Bechtel’s BusinessOffering Business CourtesiesSummary of Bechtel Policy What behavior is expected?Bechtel business should always be won ■ Ensure that all gifts or entertainmentor lost on the basis of merit. Bechtel are appropriate, properly approvedemployees may only offer or approve and accounted for, and in fullbusiness courtesies that are legal, compliance with Bechtel policyproper, and in full compliance with and all applicable lawsBechtel policies and instructions and ■ In geographic areas where exchangesdo not give rise to the reasonable of business gifts are customary,perception that they are being offered ensure that gifts are limited in valuefor the purpose of gaining an unfair (at the level of common courtesies),business advantage. An employee may are not in excess of generally acceptednever use personal funds or resources local business practices, are free ofto avoid reporting or seeking approval for any implication of obligation, and area business courtesy that could not approved by the appropriate level ofbe provided by Bechtel. managementGifts and business courtesies to some ■ Offer only those business courtesiesindividuals, such as government that the recipient is permitted toemployees, officials, and representa- accept under the gift acceptancetives, as well as employees of govern- rules of his or her organizationment-owned entities, are subject tocomplex laws and regulations. ■ When unsure of the rules, seekAnti-corruption laws may also extend guidance from your manager, yourto employees of public international local ethics and compliance officer,organizations and private individuals. or the Legal DepartmentEmployees who are in the position ofoffering or approving such businesscourtesies must familiarize themselveswith company policies and the applicablelaws. (See Offering Business Courtesiesto U.S. Government Employees, atpage 28; and Anti-Corruption,at page 42.)20 Our Code of Conduct
  23. 23. Common QuestionsAre there any categories of gifts or business Before offering a business courtesy,courtesies that can never be offered? ask yourself the following:You must never offer any gift or ■ Is the gift intended to buildentertainment that would be illegal, a business relationship or offerincluding anything offered to a a common business courtesy, orgovernment official in breach of local are you hoping to influence theor international bribery laws. Other recipient’s objectivity in makinggifts that are always unacceptable a business decision?include: ■ Is the timing such that it■ Any gift of cash or cash equivalent could cause others to doubt the (such as gift certificates, discounts, recipient’s objectivity or your loans, stock, stock options) intentions?■ Any gift or entertainment that may ■ Are you sure that the gift or imply an obligation to the donor or entertainment is legal both in that may be considered excessive your country and in the country or in poor taste of the other party? ■ Is the receipt of gift or entertain-■ Any gift or entertainment that is ment allowed by the recipient’s a quid pro quo (offered for something organization? in return) ■ Are you offering a gift that you■ Any entertainment that is indecent, would not be allowed to accept? sexually oriented, does not comply (see Accepting Business with Bechtel’s value of mutual Courtesies at page 64) respect, or that might otherwise adversely affect Bechtel’s reputation Further Guidance If you’re facing an issue about offering business courtesies, consult your manager, your ethics and compliance officer, or the Legal Department. For related guidance, see Accepting Business Courtesies at page 64. Offering Business Courtesies 21
  24. 24. Conducting Bechtel’s BusinessPolitical ActivitiesSummary of Bechtel Policy What behavior is expected?Bechtel employees may voluntarily ■ In the United States, notify theparticipate during their personal time Washington, D.C., office of anyin political causes or political action inquiries or visits (planned orcommittees (PACs). As a matter of unplanned) to or from U.S. executivepolicy, Bechtel does not apply direct branch or legislative branch officialsor indirect pressure on any employee or political candidatesto make any political contribution or ■ Outside the United States, notifyparticipate in the support of a political the Bechtel country manager ofparty, the political candidacy of any any inquiries or visits to or fromindividual, or a political cause. any government official or politicalMoreover, employees are in no way candidaterequired to make a contribution to theBechtel PAC, even if they receive ■ Coordinate any inquiries or visits froma solicitation. any U.S. state or local government officials or political candidates withIn the United States and many other the corporate External Affairs &countries, a corporation’s political Communications organizationactivities are significantly limited by law.As a general rule, political contributions ■ If you engage in any activitiesof corporate funds or use of corporate intended to directly or indirectlyproperty, services, or other assets influence a U.S. executive branch(including employee work time spent on or legislative branch official, be suresuch activities) for political purposes are you understand the reportingprohibited or highly restricted. Where requirements and applicablesuch political activities are permitted, charging practicesany costs incurred in connection with ■ Ensure that any corporate or projectthem must be strictly accounted for. contributions, political events, andU.S. law permits Bechtel to lobby on use of company time or resources forissues that impact its interests. The U.S. political purposes are approved bydefinition of lobbying may include any the Bechtel Washington, D.C., officeactions taken directly or indirectly with (U.S. federal); corporate Externalthe intent of influencing a U.S. execu- Affairs & Communications (U.S. statetive branch or legislative branch official. or local); or the applicable countryLobbying activities can trigger a number manager (non-U.S.)of complex issues, such as reportingrequirements and whether related costsare tax deductible or allowable for U.S.government contract accounting purposes.22 Our Code of Conduct
  25. 25. Common QuestionsWhat if a project receives a request from the What is the Bechtel PAC?local Congressional Representative to attend According to federal law, corporationsa fundraising event and contribute funds? May are not permitted to make contributionswe give corporate funds and attend the event? to federal candidates, but they areAll requests of this nature should be allowed to create political actionforwarded to the Washington, D.C., committees that can make contributions.office. It is illegal for corporate contribu- A PAC is a committee organized withtions to be given to a candidate running the purpose and intent of supportingfor Congress. Funds may be contributed political candidates financially. PACsto a candidate through the Bechtel PAC, receive and raise money from eligiblewhich is managed by the Washington, employees and make donations toD.C., office. Contribution decisions are political campaigns. They thereforemade by the Bechtel PAC Board. provide an indirect way for employees to participate in campaigns.What should I do if I feel pressured tocontribute or participate in a political cause?You have the right to refuse to contributewithout reprisal. If you find yourself in a Further Guidancesituation where you feel pressured, youshould talk to your manager or contact If you are unsure of the proper businessHuman Resources, the Legal Depart- practice with respect to political activi-ment, your ethics and compliance ties, consult your supervisor or manager;officer, or the Bechtel Ethics HelpLine. Human Resources; the Legal Department; corporate External Affairs & Communica-What is the policy regarding local politics? tions; or the Washington, D.C., Office.May a project buy tickets to a political You can also contact your organization’sfundraiser for a local official, such as ethics and compliance officer or thea city council member? Bechtel Ethics HelpLine.This might be OK in some jurisdictions,but many countries have different lawsfor different political offices or jurisdic-tions. For example, in the U.S., the lawsgoverning state and local political contri-butions vary from state to state.Contact corporate External Affairs &Communications or the Legal Depart-ment for guidance. Political Activities 23
  26. 26. Conducting Bechtel’s BusinessAntitrust ComplianceSummary of Bechtel Policy What behavior is expected?Many countries have laws prohibiting ■ Be aware of the antitrust requirementsanti-competitive behavior. Bechtel is of the laws in the jurisdictions incommitted to conducting its business which Bechtel works and understandactivities in full compliance with the that such laws apply to both formalantitrust and competition laws of the and informal communicationsjurisdictions in which it works, includ- ■ If you are involved in trade associationing the United States and the European activities or in other situations involv-Union. In general, these laws prohibit ing informal communication amongagreements or actions that may restrain competitors, customers, businesstrade or reduce competition. Violations partners, or suppliers, do not discussinclude agreements among competitors prices, pricing policy, terms andto fix or control prices or to rig bids; conditions, marketing plans, andto boycott particular suppliers or similar matters of competitive interestcustomers; to allocate products,territories, or markets; or to limit ■ If a competitor tries to initiatethe production or sale of products or improper discussions regarding theseservices. In some instances, antitrust topics with you, disengage from thelaws may prohibit price discrimination discussion immediately and contactin the sale or purchase of goods. your supervisor or manager and the Legal Department24 Our Code of Conduct
  27. 27. Common QuestionsI have friendly relationships with colleagues Further Guidancewho work at other companies in this industry. If you have any questions or concernsWhat’s wrong with having occasional infor- regarding antitrust compliance, alert yourmal discussions about what’s going on inthe marketplace? manager or supervisor and consult the Legal Department.Even casual conversations withcompetitors could be viewed as anattempt to send “signals” aboutBechtel’s bid strategy or pricingpractices. You must be careful toavoid any conversations or activitiesthat might be viewed as questionableor could lead to allegations of anti-competitive activity. This is not intendedto prohibit strategy discussions onspecific projects or prospects that occuras part of normal teaming to providea customer with enhanced capability.What are the possible penalties that may beimposed due to actions that violate antitrustor competition laws?Antitrust violations expose the companyand any participating employee tocivil lawsuits or criminal prosecution,including fines and imprisonment, andin the United States to the payment ofpunitive treble damages—three timesthe amount of the actual damages. Antitrust Compliance 25
  28. 28. Special Issues Related to Doing Business with the U.S. Government This section deals with ethics and business conduct issues you may encounter when working for a company that does business with the U.S. government. Application of these standards is not limited to those employees who work on U.S. government contracts. All Bechtel employees who come into contact with current or former U.S. government employees or representatives of U.S. government-owned customers should be aware of these Bechtel policies. Common sense and a desire to do the right thing are not enough to ensure compliance with U.S. government regulations. What is acceptable in the commercial business world often is not acceptable, and may even be prohibited, under the complex rules and practices governing doing business with the U.S. government. Commercial business practices commonly accepted around the world, if applied in a government setting, can lead to administrative, civil, and even criminal sanctions, both for the individual employee and for the company.26 Our Code of Conduct
  29. 29. Can I buy a [birthday] present for a friendwho works at a U.S. government agency?page 29What should I do if a current U.S.government employee asks me for a job?page 31Can Bechtel provide lunch at a meetingwith U.S. government customers?page 29 27
  30. 30. Special Issues Related to Doing Business with the U.S. GovernmentOffering Business Courtesies toU.S. Government EmployeesSummary of Bechtel Policy What behavior is expected?Specific requirements and restrictions ■ Never offer or give a business courtesyapply to the offering of business to any U.S. government employeecourtesies to U.S. government officials unless the regulations applicable toor employees. Laws, regulations, and that employee permit acceptance ofrules concerning acceptable meals, gifts, the business courtesyor entertainment for U.S. government ■ Do not offer business courtesies toemployees are extremely complicated members of the U.S. judicial branchand vary depending on the governmentbranch, state, or other jurisdiction. ■ Ensure that all gifts offered or accepted are appropriate, properlyThe U.S. Office of Government Ethics approved and accounted for, and inhas issued restrictive and complex full compliance with Bechtel policyrules regarding the acceptance of and the law; when in doubt, consultgifts, meals, entertainment, travel, your ethics and compliance officerand other business courtesies byU.S. executive branch employees, ■ Contact the manager of theincluding U.S. military personnel. Washington, D.C., office forMany U.S. government agencies have guidance concerning offering businessestablished their own interpretations of courtesies to members of the U.S.these rules, and Bechtel complies with Senate or House of Representativesthese standards. Different rules apply or their staffsto the U.S. legislative branch. Bechtel employees may generally offer the following business courtesies to U.S. Executive Branch employees: ■ Light refreshments such as soft drinks, coffee, and doughnuts, when not part of a meal ■ Modest advertising or promotional items, such as a Bechtel coffee mug, calendar, pen, or similar item displaying the Bechtel logo28 Our Code of Conduct
  31. 31. Common QuestionsI have a friend who works for the U.S. Further GuidanceDepartment of Energy. Am I allowed to If you’re facing an issue about offeringbuy him a birthday present? or accepting business courtesies to U.S.It depends. Bechtel policy and the U.S. government employees, consult yourgovernment rules do not apply to the ethics and compliance officer; theexchange of gifts between friends or manager of the Washington, D.C.,family members as long as the gifts office; or the Legal Department.are exclusively the result of a personalrelationship and not a business relation-ship. However, if your friendship cameabout from years of working together onU.S. government projects, the Office ofGovernment Ethics gift rules still apply.Consult your ethics and complianceofficer or the manager of theWashington, D.C., office for guidance.I am having an all-day meeting with someU.S. government customer representatives.We plan to work through lunch. May I providethem with a meal during the meeting?Yes, but only if the U.S. governmentemployees pay Bechtel the full cost oftheir meals. U.S. government rules andregulations generally prevent U.S.executive branch employees fromaccepting meals from contractors.Arrangements should be coordinatedin advance so that the attendees will beaware of your lunch plans, the cost ofthe meal, and the method provided forpayment. It is not sufficient to “pass thehat” for contributions to the cost. If fullpayment is not received as arranged,you will need to take steps after themeeting to collect their share of thecost of the meal. Offering Business Courtesies to U.S. Government Employees 29
  32. 32. Special Issues Related to Doing Business with the U.S. GovernmentHiring U.S. and OtherGovernment EmployeesSummary of Bechtel Policy What behavior is expected?The U.S. government, as well as many ■ Be aware that employment discus-other countries and state and local sions and other employment-relatedgovernments, have laws that regulate actions involving current or formerthe recruiting and hiring of their current U.S. government employees raiseor former employees (both civilian and unique legal concernsmilitary). These rules and regulations ■ Outside the United States, notifyapply to all of Bechtel, not just those the Bechtel country manager of anybusinesses doing business with U.S. inquiries or visits to or from any gov-government customers. ernment official or political candidateBechtel is strongly committed to ■ Coordinate any inquiries or visits fromcomplying with these laws and to any U.S. state or local governmentavoiding even the appearance of officials or political candidates withany impropriety in the recruiting, the corporate External Affairs &hiring, and employment of U.S. or Communications organizationother government officials. ■ If you engage in any activities intended to directly or indirectly influence a U.S. executive branch or legislative branch official, be sure you under- stand the reporting requirements and applicable charging practices ■ Ensure that any corporate or project contributions, political events, and use of company time or resources for political purposes are approved by the Bechtel Washington, D.C., office (U.S. federal); corporate External Affairs & Communications (U.S. state or local); or the applicable country manager (non-U.S.)30 Our Code of Conduct
  33. 33. Common QuestionsWhat should I do if I am approached by Should I also be concerned about recruitinga current U.S. government employee or hiring current or former U.S. state or localabout employment with Bechtel? government employees? What about other countries’ government employees?Tell the prospective candidate that youmust contact our Human Resources In much the same manner as theDepartment to determine whether you U.S. government, many other countries,may properly engage in employment states, and local governments have lawsdiscussions. and regulations concerning employ- ment of current and former employees.I am a Bechtel National employee working Therefore, Bechtel policy also requireson a U.S. government project. I have heard that you contact Human Resources orthat my counterpart will be leaving U.S. the Legal Department before recruitinggovernment service and may be interested or hiring current or former employeesin working in the private sector. I think she of foreign, state, or local governmentswould be a great asset for Bechtel and I have to ensure that we comply with the lawa job that would be perfect for her. May I and avoid potential conflicts of interest.have general, exploratory discussions with By taking this precaution, you can avoidher about whether she would be interested in exposing yourself and Bechtel to legalworking at Bechtel? liability.No. Bechtel policy requires that youfirst contact Human Resources or theLegal Department before having anyemployment-related discussions. They Further Guidancecan give you guidance on how the initial If you’re facing an issue about hiringcontact may be made. current or former government employees, consult with the manager of Human Resources for your organization, your ethics and compliance officer, or the Legal Department. Hiring U.S. and Other Government Employees 31
  34. 34. Special Issues Related to Doing Business with the U.S. GovernmentOther U.S. GovernmentContracting IssuesU.S. Anti-Kickback Act Laws Organizational Conflicts of InterestThe U.S. Anti-Kickback Act of 1986 prohibits When acting as a U.S. government contrac-those involved in U.S. government contract- tor, Bechtel must adhere to U.S. governmenting from offering, accepting, or attempting organizational conflicts of interest (OCI)to offer or accept inducements for the restrictions. OCI in this context means thatpurpose of obtaining or rewarding favorable because of other activities or relationshipstreatment in the award of contracts for with other persons or entities, Bechtel ismaterials, equipment, or services of any unable or potentially unable to renderkind. A kickback is any money, fee, com- impartial assistance or advice to the U.S.mission, credit, gift, gratuity, thing of value, government, that Bechtel’s objectivity inor compensation of any kind directly or performing the contract work is or might beindirectly accepted by any prime contractor otherwise impaired, or that Bechtel has anor subcontractor or its employees from a unfair competitive advantage. Somevendor, contractor, or subcontractor for the examples of potential OCI include:purpose of improperly influencing the award (a) serving as the agent of the Architect-of a prime contract or subcontract. The Act Engineer (A-E) or the owner’s agent andestablishes criminal, civil, and administra- as the constructor to the A-E’s design;tive penalties for violations that can include (b) preparing a study that justifies goingfines, jail terms, debarment, and contract ahead with a project that Bechtel wouldtermination. build; and (c) evaluating the quality of our work for an independent regulator. U.S.Human Trafficking government solicitations and contracts may include various requirements or restrictionsIn addition to the general prohibition of traf- regarding OCI, including the disclosure officking in persons and use of forced labor, any potential or actual OCI to the U.S.Bechtel is aware that the U.S. government government, having plans to mitigate anyhas determined that the commercial sex such potential or actual OCI, and ensuringindustry is frequently involved in trafficking, that similar OCI requirements are followedeven where such sex acts are not illegal in subcontracts.under local laws. Accordingly, Bechtelemployees directly engaged in the perfor- Time Records and Expense Reportsmance of work under a U.S. governmentcontract are prohibited from engaging in Although the accurate and timely reportingcommercial sex acts, even while “off duty.” and recording of time records and expenseNoncompliance with this policy may result in reports is important for all employeesactions including, but not limited to, removal (see Accurate Recording and Reportingfrom the contract, reduction in benefits, or of Information at page 18), it is especiallytermination of employment. critical that employees working on U.S. government contracts charge their labor costs to the proper account. Every error on a U.S. government project time record has the potential to be considered a criminal and civil32 Our Code of Conduct
  35. 35. false claim and/or statement, so every claim Disclosurefor payment carries a legal and ethical As required under U.S. government contractsresponsibility for accuracy. Detailed guide- and applicable regulations, Bechtel willlines on U.S. government time-charging disclose whenever, in connection with thepractices are provided to employees working award, performance, or closeout of a coveredon such projects, and employees are U.S. government contract or subcontract,expected to understand them and to Bechtel has credible evidence that aadhere to them strictly. principal, employee, agent, or subcontractorEach employee working on a U.S. government has committed a violation of federal criminalcontract, or charging time to a corporate law involving fraud, conflict of interest,overhead account that has costs allocated bribery, or gratuity violations found in Titleor partially allocated to a U.S. government 18 of the U.S. Code or a violation of the civilcontract, is to complete his or her time record False Claims Act, or credible evidence ofdaily, either manually or electronically, and significant overpayments on the contract.provide explanations of any changes in thecomments section of the time record.Business expenses incurred in performingcompany business must be documented Further Guidancepromptly and accurately, and employeesworking on U.S. government contracts are If you have questions regarding theresponsible for complying with any special or U.S. Anti-Kickback Act; the lawsmore stringent reporting requirements that relating to human trafficking ormay be imposed by a specific customer or OCI, or the disclosure of violations,special situation. Contract terms and condi- contact your Ethics and Compliancetions and U.S. federal regulations impose Officer or the Legal Department.strict limitations on U.S. governmentcontractors with respect to what can andcannot be reimbursed, and employeesworking on U.S. government contracts shouldreview the guidelines and limitations withtheir supervisor before incurring anybusiness expense.The BSII Internal Audit organization peri-odically conducts audits of compliance withU.S. government regulations, including timerecords and expense reports. Externalauditors such as the U.S. Defense ContractAudit Agency, the Inspector General, U.S.government customer organizations, andcustomer auditing firms also may also auditcompliance from time to time. Other U.S. Government Contracting Issues 33
  36. 36. Special Considerations for a Global Business Because Bechtel is a U.S. corporation doing business globally, many U.S. laws apply to Bechtel’s work around the world. All employees who work for Bechtel, regardless of their nationality or country location, need to understand and comply with U.S. laws that apply to their work, including trade laws, as well as all applicable local laws. Bechtel is committed to complying with the applicable laws of the countries in which it does business, except when compliance with local law would constitute a violation of U.S. law, such as the Arab League boycott of Israel.34 Our Code of Conduct
  37. 37. What are some examples of actions thatcould violate U.S. anti-boycott laws?page 36What are “deemed exports” under theU.S. export control laws?page 40Why does Bechtel prohibit facilitatingpayments if they are legal under theU.S. FCPA?page 44 35
  38. 38. Special Considerations for a Global BusinessAnti-BoycottSummary of Bechtel Policy ■ Make sure that actions taken by persons acting on behalf of Bechtel,It is Bechtel’s policy to fully comply such as Bechtel’s agent consultants,with the U.S. government’s laws and consortium members, and alliance orregulations relating to foreign economic joint venture partners, are carefullyboycotts. The U.S. anti-boycott laws and scrutinized for compliance with theregulations prohibit Bechtel from U.S. anti-boycott laws and regulationscooperating with or supporting acountry’s boycott of another country ■ Make sure that every boycott requestthat is friendly to the United States. They received by a Bechtel organization isalso require Bechtel to report to the U.S. reported promptly to Bechtel’s Legalgovernment any request that has the Departmenteffect of furthering or supporting such ■ Make sure that cases in which doubta boycott. The most frequently exists regarding the applicability ofencountered boycott is the current U.S. anti-boycott laws and regulationsArab League boycott of Israel. are submitted to Bechtel’s LegalThe rules governing Bechtel’s obliga- Department for prior review ortions under the anti-boycott laws are guidancecomplex, and the penalties for violat-ing them are severe. In all cases, you Common Questionsshould be attentive to situations whereboycott requests may occur and What are some real-world examples ofimmediately consult the Legal actions that would constitute participatingDepartment when a boycott-related in or cooperating with a boycott of a countrymatter comes to your attention. friendly to the United States? A couple of examples:What behavior is expected? ■ Eliminating firms with Israeli business■ Make certain that every purchase interests from a Bechtel-developed order, contract, commitment, activity, bidders’ list to be used for procuring act, or omission made, carried out, goods and services in a boycotting or conducted by or within the Bechtel Arab country organization is in full compliance with ■ Certifying that a shipment of goods the U.S. anti-boycott laws and on board a vessel does not contain regulations goods of Israeli origin or that the vessel is eligible to enter ports in the boycotting Arab country36 Our Code of Conduct
  39. 39. I am the procurement manager for a Project If I refuse to comply with a request thatManagement Consultancy (PMC) contract has the effect of furthering or supportingin the Middle East in which we are acting as a boycott of a country friendly to the Unitedthe customer’s agent in carrying out manage- States, do I still need to report receipt of thement duties with respect to certain of the request to the Legal Department?customer’s contracts and purchase orders. Yes. Even when a company refusesThe procurement regulations of the Arab to comply with a prohibited boycott,financial institution providing the owner’s U.S. law requires companies to reportfinancing require compliance with the ArabLeague boycott of Israel—something we could promptly to the U.S. government anynot agree to do ourselves. May we prepare request the company receives toprocurement documentation on behalf of the support or furnish informationcustomer that includes language requiring regarding a boycott.bidders to comply with the financial institu-tions procurement regulations? Further GuidanceThe U.S. Anti-Boycott laws are extremely If you are dealing with a situation that maycomplex and fact specific. While it may concern the matters covered by the U.S.be possible for Bechtel to manage the anti-boycott laws and regulations, consultprocurement activities and still be the Legal Department. You should alsocompliant with U.S. law, you must review Corporate Policy 105, Complianceconsult with the Legal Department with Export Administration Amendmentsbefore proceeding further. of 1977 and The Tax Reform Act of 1976.Where might I expect to see boycott requests Also see Legal Instruction 118, Compli-in performing my duties for Bechtel? ance with Export Administration Amend- ments of 1977, the Tax Reform Act ofAn illegal boycott request might appear 1976 and Boycott Reporting Procedures;in such documents as bid invitations, Human Resources Instruction 7, Guide-purchase contracts, and letters of credit, lines and Procedures Relating to Recruit-or be made orally in connection with a ing and Employment in or in Respect oftransaction. Such a request might even Boycotting Countries; and Procurementtake the form of a contractual provision Procedure 3.01, Procedure for Bechtelthat simply requires compliance with Procurement in or in Respect of a Boycot-a country’s laws that, in turn, includean obligation to engage in a prohibited ting Country. If in doubt regarding theboycott. meaning of the guidance contained in these sources, consult your supervisor or manager, the Legal Department, or your organization’s ethics and compliance offi- cer or contact the Bechtel Ethics Helpline. Anti-Boycott 37
  40. 40. Special Considerations for a Global BusinessExport Control Laws andInternational SanctionsSummary of Bechtel PolicyMany countries, including the United ■ Be aware that “deemed exports” canStates, impose restrictions on exports occur under U.S. export control lawsand other dealings with certain coun- when controlled information, sourcetries, entities, and individuals, including code, technology, or data is disclosedforeign nationals. Bechtel complies with verbally or visually to a foreign na-all export and import laws and regula- tional person, regardless of whethertions that apply to us wherever we do that foreign national is a Bechtelbusiness. These laws are extremely employee or not and/or located in thecomplex and apply to intercompany and United States or abroadintra-company transactions; transactions ■ Make sure that every import, tem-with suppliers, equipment manufactur- porary import, export, or re-export ofers, and alliance, joint venture, or consor- commodities, technical data, soft-tium partners; and disclosures of certain ware, permanent plant equipment,transactions to Bechtel employees. In ad- construction equipment, and otherdition, the U.S. economic sanctions laws equipment complies with all relevantprohibit Bechtel from engaging in busi- local or international trade laws andness activities with specified sanctioned rules, including customs regulationscountries, individuals, and entities. Viola-tions of these laws can result in serious ■ Avoid inadvertent violations of thesepenalties, including fines, revocation of complex laws by seeking guidancepermits to export, and imprisonment. from the Legal Department or the export-import compliance manager within the corporate ProcurementWhat behavior is expected? organization before entering into an■ If your work involves the shipment of activity that might implicate export commodities, technologies, technical control laws data, equipment, or software across ■ Stay up to date on the frequently international borders, make sure changing sanctions and embargoes you are familiar with the informa- laws by consulting with the Legal tion and guidance concerning export Department before entering into any control laws provided in Management transaction that might involve sanc- Instructions and on BecWeb tions concerns38 Our Code of Conduct
  41. 41. Examples of activities that might involve Examples of activities that might involvethe U.S. export control laws: economic sanctions:■ Exporting any commodities, ■ Imports from, or dealings in equipment, service, or technical property originating from, information from the U.S. or a sanctioned country moving it between or among ■ Travel to or from a sanctioned countries. Technical information country can consist of manufacturing ■ New investments and other processes, product use, commercial dealings in a sanctioned country and technical expertise, data, or or with designated individuals software ■ Trans-shipment of goods through■ Transferring restricted software, a sanctioned country technical data, or technology by e-mail, download, fax, service work, ■ Wire transfers of funds to banks meetings, or visits to Bechtel in a sanctioned country facilities ■ Providing any product, service,■ Discussing with or displaying to or technical information to parties foreign nationals (including Bechtel that previously have been denied employees) any Bechtel technical an export license data, equipment, or non-public information or its application, whether in the U.S. or abroad, either on company or personal business continued Export Control Laws and International Sanctions 39
  42. 42. Special Considerations for a Global BusinessExport Control Laws andInternational Sanctions (continued)Common QuestionsWhich countries are subject to U.S. What are some examples of howeconomic sanctions laws? “deemed exports” can occur under theAs of the date of this document, U.S. export control laws?Cuba, Iran, Sudan, and Syria are under Examples of how deemed exports cana general embargo and are subject to occur include telephone conversations,comprehensive restrictions. U.S. e-mails, facsimiles, letters, mail/couriereconomic sanctions laws place packages, computer/intranet accesses,substantial restrictions on transactions technical presentations, proposalwith the governments of, and persons activities, plant/office tours, and projectand entities associated with, Afghani- meetings. Any verbal or visual disclosurestan, Angola, Iraq, Libya, North Korea, to a foreign national person has the riskRwanda, and the former Yugoslavia of being a “deemed export.”(Serbia, Montenegro, and the WesternBalkans). These change frequently, soyou must consult the Export/Import siteon BecWeb for current information.Who is a foreign national for the purposesof the U.S. export control laws?Any person who is not a lawfulpermanent resident of the UnitedStates, including a Bechtel employee,any employee of a foreign corporationthat is not incorporated or organized todo business in the United States, andany foreign government or foreigngovernment employee.40 Our Code of Conduct
  43. 43. Further GuidanceAdditional information about U.S. exportcontrol or international sanctions laws canbe found in Corporate Policy 105(Compliance with Export AdministrationAmendments of 1977 and The Tax ReformAct of 1976), Legal Instructions 118(Compliance with Export AdministrationAmendments of 1977, the Tax Reform Actof 1976 and Boycott Reporting Procedures)and 121 (Compliance with U.S. ExportControl and International Economic Sanc-tions Regulations), and BSII Policy 203(Export Control Regulations), or on theExport/Import site on BecWeb. If you havequestions, consult with the export-importcompliance manager in the corporateProcurement organization or contact theLegal Department for advice. Export Control Laws and International Sanctions 41
  44. 44. Special Considerations for a Global BusinessAnti-CorruptionSummary of Bechtel Policy What behavior is expected?Bechtel is committed to full compliance ■ Comply with all applicable laws andwith all domestic and international regulations prohibiting paymentanti-bribery laws, regulations, and or giving anything of value, eitherconventions that prohibit corrupt directly or indirectly, to a governmentactions in obtaining or retaining official or family member of a gov-business or obtaining any other ernment official, a private individual,improper advantage, including the or employees of companies whollyOrganization for Economic Cooperation or partially owned by a governmentand Development (OECD) Convention entityon Combating Bribery of Foreign Public ■ Be aware that Bechtel policy prohibitsOfficials in International Business making facilitating payments; makeTransactions, the U.S. Foreign Corrupt no payments to ensure or expeditePractices Act (FCPA), and the United the performance of ministerial orNations Convention Against Corruption. clerical duties by governmentCorruption is against the law and functionariescontrary to everything that Bechtelstands for. Bechtel policy prohibits ■ Ensure that all interactions andmaking facilitating payments, i.e., transactions with government of-payments to secure performance of ficials, or employees of companiesroutine government actions. Engaging wholly or partially owned by ain or not reporting behavior that government entity, are clearly andviolates, or has the potential to violate, accurately recordedthe standards set forth in the FCPA or ■ Never allow joint venture orthe other anti-bribery laws and consortium partners, subcontractors,regulations will not be condoned suppliers, agents, consultants,or tolerated by Bechtel. intermediaries, or others to make prohibited payments on Bechtel’s behalf; ensure that all Bechtel business associates agree contractually that they will not engage in any behavior that would constitute a violation of the standards of the FCPA, the OECD, or the United Nations convention or other anti-corruption laws42 Our Code of Conduct
  45. 45. Common Questions■ Seek advice in advance from the What is the Foreign Corrupt Practices Act? Legal Department, your organization’s The FCPA is the U.S. anti-corruption ethics and compliance officer, or the law that prohibits U.S. companies and Ethics Helpline before offering any their employees from trying to obtain gifts, entertainment or other or retain business by offering improper hospitality, meals, travel expenses, gifts or payments to foreign government or charitable donations to a officials. government official■ Report any observed conduct that Do other countries have similar laws? potentially violates any anti-corruption Virtually all countries have or are in the law to the Legal Department, your process of enacting and implementing ethics and compliance officer, or anti-corruption legislation that is similar the Ethics HelpLine to and in some instances even more restrictive than the U.S. FCPA. Why is compliance with anti-corruption laws important? Compliance is a key underpinning to maintaining confidence in our company and our reputation as the premier engineering, procurement, and construction company in the world. Corrupt actions do not help Bechtel, our customers, or the people who will benefit from our work. A violation may subject Bechtel and Bechtel employees to criminal or civil liability, or both, including imprisonment and substantial penalties and fines. continued Anti-Corruption 43
  46. 46. Special Considerations for a Global BusinessAnti-Corruption (continued)Common Questions continuedWhat should I do if I face an issue related to I understand that facilitating paymentsthe FCPA or a local anti-corruption law? are legal under the FCPA. Why are they prohibited by Bechtel?If you think you have an issue(e.g., you are approached to make Although the FCPA does include ana payment, provide a gift, reimburse exception for facilitating payments,hospitality expenses, etc., or become there is no similar exception in theaware that others have done so), do not OECD Convention or the United Nationstry to resolve the issue yourself. Rather, Convention Against Corruption. Theseyou should seek guidance from the payments are prohibited because theyLegal Department or your ethics and are a form of corruption and are illegalcompliance officer to ensure that under the local laws of almost everyappropriate actions are taken and country. Such payments often open thedocumented. door for additional requests that may be more serious. Once a payment is made,What are some examples of facilitating it is virtually impossible to avoid makingpayments and who is likely to request them? follow-on payments for the sameFacilitating payments are small service.payments to secure routine actionsto which Bechtel or its employees,customers, subcontractors, or suppliersare otherwise entitled such as process-ing government paperwork, providingpolice services, issuing licenses or visas,and processing goods through customs.These requests are likely to comefrom government employees such ascustoms agents, tax collectors, harbormasters, permitting authorities, mailcarriers, and police officers, all withregard to providing personal benefitto the individual for the performanceof services that they are in any eventrequired to perform as a consequenceof their position.44 Our Code of Conduct
  47. 47. Further GuidanceIf you’re facing an issue aboutanti-corruption compliance, consult theLegal Department, the Bechtel chief ethicsand compliance officer, or the ForeignCorrupt Practices Act compliancerepresentative identified underKey Contacts on the Ethics andCompliance site on BecWeb. Anti-Corruption 45
  48. 48. On The Job This section focuses on some of the behaviors expected of employees in the workplace and discusses some of our key responsibilities and obligations as Bechtel employees worldwide.46 Our Code of Conduct
  49. 49. Can I identify myself as a Bechtelemployee on Facebook?page 53Can I expect my personal e-mail on theBechtel network to remain private?page 55Can I use my company Diners Club cardfor personal charges if I pay the billpromptly?page 53 47
  50. 50. On The JobRecords and Information ManagementSummary of Bechtel PolicyCompany records must be managed ■ Destroy business records as partin a manner that supports the conduct of our normal course of businessof Bechtel’s business efficiently, eco- according to the Records Retentionnomically, securely, and in compliance Schedule, or applicable law, andwith applicable laws. information that is no longer of value,Bechtel business records must be unless it is under a preservation holdseparated from other information and ■ If you are outside the U.S., check theretained in an appropriate repository Records Retention Schedule (payingfor at least the period of time stipulated particular attention to jurisdiction-in the Corporate Records Retention specific requirements) or consultSchedule, and may need to be kept for with the Legal Department as tolonger periods outside of the United what legal requirements apply toStates to comply with local country law. the relevant recordInformation that is no longer of valueshould be deleted or discarded, as longas the information is not subject to apreservation hold from Bechtel Legal All Bechtel information, whether in hardor Risk Management and there are no copy or electronic form, falls into threeother circumstances (such as pending, categories:threatened, or anticipated litigation, or ■ Business Record – A documentgovernment audit or investigation) that or other record of informationwould warrant retention. that evidences significant project or other Bechtel business activityWhat behavior is expected? or otherwise has long-term value■ Identify, classify, protect, and control to Bechtel Bechtel information ■ Work in Progress/Reference –■ Use appropriate technologies for A document or other record that records management is not in final form, constitutes reference material available in■ Upon becoming aware of possible the public domain, or has only litigation or a government investiga- temporary value to Bechtel tion or audit, ensure the preserva- tion of all information (both record ■ Information No Longer of Value – and non-record) that may potentially A document or other record that relate to the matter and promptly is to be deleted if not subject to inform the Legal Department a preservation hold48 Our Code of Conduct

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