2. Vision + Values
Our Vision
To be the world’s premier engineering, construction, and project management company
Our Values
Building on a family heritage that spans ■ Return. We earn a return that fairly
more than 100 years, we will continue to be rewards the value we deliver.
privately owned by active management and ■ Mutual Respect. We work by our
guided 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 Covenants
1 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. Ethics. Uncompromising integrity,
honesty, and fairness are at the
heart of our company.
—from the Bechtel Charter’s Vision + Values
More 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 trust
a man’s handshake, you can’t trust his signature.”
And he was right. Integrity was a business imperative back then and it remains
a 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 the
highest ethical business standards, including complying with all applicable laws and
regulations. As with safety, there is no room for compromise. Period.
This Code of Conduct brings all of our business ethics guidelines together under one
roof. It updates and replaces our previous Bechtel Business Ethics booklet and the
formerly separate Standards of Conduct and Business Ethics booklets for Bechtel
Systems & Infrastructure, Inc. (BSII) and Bechtel Infrastructure, Inc. (BINFRA).
The information in this code will help guide you in a business environment that
has become ever more complex. These guidelines cannot cover every conceivable
circumstance, so Bechtel depends on you to use your common sense and good
judgment to apply these principles in each situation.
If you have business ethics questions or concerns, don’t hesitate to ask your
supervisor, manager, the Legal Department, or your local ethics and compliance
officer. 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. Bechtel
Chairman and Chief Executive Officer
1
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 ................................... 42
2 Our Code of Conduct
6. Our Code of Conduct
Introduction
What is Bechtel’s Code of Conduct? To whom does it apply?
Bechtel’s Code of Conduct is designed Our Code of Conduct summarizes the
to help you recognize and resolve the standards of conduct that guide our
ethics and compliance issues that may actions and applies globally to all
arise in your daily work. It provides Bechtel employees, and to members
general information and practical advice of the board of directors, agents,
about the behavior that is expected of consultants, contract labor, and others
Bechtel 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 our
endorsed and adopted by our board partners, subcontractors, and suppliers
of directors and it replaces all previous worldwide to be guided by these
ethics booklets, including the BSII and principles as well. We seek out
BINFRA Standards of Conduct booklets. customers and partners who share
our values and standards of conduct.
4 Our Code of Conduct
7. How Do I Use This Booklet? Common Questions
Please familiarize yourself with this Code What should I do if I still have questions after
of 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 turn
look through the Table of Contents to to for further guidance. Consider talking
find 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 Ethics
examples of specific behaviors expected HelpLine at ethics@bechtel.com or
of us with regard to that policy, practical 1-800-BECHTEL (1-800-232-4835) in
examples in Q&A format, and informa- the United States or one of international
tion on where to find further guidance. numbers listed on the Ethics and
For 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. 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. If I see something that violates the
Code of Conduct, do I have to report it?
page 9
Can I use an amusing video I found on
YouTube in a Safety presentation for
a meeting?
page 19
Can my project buy tickets to a local
political fundraiser?
page 23
7
10. Conducting Bechtel’s Business
General Standards
Summary of Bechtel Policy What behavior is expected?
Bechtel is committed to the highest ■ Apply the highest standards of ethical
standards of ethical business conduct business conduct, in both spirit and
and seeks to do business with customers conduct, in your day-to-day work
and partners who share these values. ■ Treat all persons with whom Bechtel
The company conducts all of its business does business fairly and avoid
transactions properly, fairly, impartially, situations that could create the
and ethically, and avoids even the appearance of bias or favoritism
appearance of impropriety. Honesty
is an integral part of ethical behavior, ■ Communicate honestly; if you believe
and trustworthiness is essential for someone may have misunderstood
strong, lasting relationships. This you, try to clarify the situation
ethical standard is one of Bechtel’s immediately
most valuable assets and is a direct ■ Do not misrepresent yourself or
result of the conduct of its employees. Bechtel to anyone
Bechtel has developed ethics and ■ Report any observed conduct that
compliance education and awareness is potentially unethical, unlawful,
programs in many subject areas in unsafe, or otherwise at odds with
order to provide employees with job- Bechtel standards of conduct or
specific compliance training and raise company policy
their level of awareness and sensitivity
■ Cooperate fully with any company
to key issues. All employees are
investigation regarding an allegation
expected to participate in ethics
of behavior that potentially violates
awareness workshops annually and
Bechtel’s ethical standards
complete compliance training as
assigned. ■ Participate in ethics awareness
training annually and complete all
assigned compliance training
8 Our Code of Conduct
11. Common Questions
What does it mean to conduct all business Further Guidance
transactions in a proper, honest, fair,
If you find yourself in a situation where you
impartial, and ethical manner?
are unsure of the proper business practice
We should always treat our custom- or are confused about any Bechtel policy,
ers, suppliers, competitors, and fellow consult Corporate Policy 102, Standards
employees with respect and fairness. of Conduct. If you still have questions,
No Bechtel employee should ever take ask for help. Consult your supervisor or
unfair advantage of anyone through manager, Human Resources, the Legal
manipulation, concealment, mis- Department, your organization’s ethics
representation, abuse of proprietary and compliance officer, or the Bechtel
information, or any other unfair Ethics HelpLine for guidance.
business practice.
If I see something that violates the
Code of Conduct, do I have to report it?
Yes. We all have an obligation to
inform the company of any incidents
of unlawful or unethical conduct or
violations of company policy. Bechtel
wants to do things right, and we can’t
resolve a problem if we don’t know
about it. Failure to report observed
misconduct may result in
disciplinary action.
What if I’m not sure about the facts or
don’t have enough information to conclude
that a violation has occurred?
We are all responsible for raising
questions if we are concerned that the
Bechtel standards of conduct are not
being met. Talk to your manager or your
organization’s ethics and compliance
officer, or contact the Ethics HelpLine.
They can help you determine whether
there is an ethics issue.
General Standards 9
12. Conducting Bechtel’s Business
Diversity and Fair Employment
Summary 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 diverse
trust. Our success depends on our ability workforce that generates innovation
to build dynamic, diverse, mobile teams and promotes inclusion
whenever and wherever they are needed. ■ Maintain a work environment that
We respect each other and value the promotes respect for all employees
diversity that comes from our different and for the human rights of
backgrounds, experience, and views. co-workers, partners, suppliers,
Bechtel is an equal opportunity employer customers, and community neighbors
and bases employment decisions on ■ Work productively with employees,
merit, experience, skills, and potential. customers, and contractors in order
Employment decisions are made to leverage the talents, skills, and
without regard to race, color, gender, experiences of everyone to meet
age, religion, national origin, ancestry, individual and organizational goals
physical or mental disability, veteran
status, sexual orientation, and other ■ Support Bechtel’s commitment to
grounds for discrimination prohibited diversity in our global workforce
by applicable law. ■ Never engage in inappropriate sexual
Bechtel maintains a work environment banter or make inappropriate sexual
that is free from unlawful discrimina- advances to employees or others in
tion, harassment, and/or retaliation. the workplace
We do not tolerate harassing conduct ■ Tell no off-color, stereotypical, or
that affects tangible job benefits; offensive jokes that may violate
interferes with an individual’s work our policy
performance; or creates an intimidating,
■ Never use derogatory references
hostile, or offensive work environment,
to any race, age, gender, religion,
regardless of workplace location, which
ethnic group, or disability
may include a customer’s premises or
an off-site business meeting. ■ Never send e-mails or notes that are
sexually suggestive or contain
Bechtel does not tolerate activities that
comments, jokes, or pictures that are
support trafficking in persons or the
offensive based on race, age, gender,
use of child labor or forced labor in the
religion, ethnic group, or disability
performance of Bechtel contracts by our
employees or our subcontractors.
10 Our Code of Conduct
13. Common Questions
How does Bechtel benefit from diversity? Further Guidance
Bechtel’s commitment to maximizing the If you have questions regarding
unique talents and perspectives of our Bechtel’s diversity program, please refer
workforce gives us a competitive to Bechtel’s Diversity BecWeb page.
advantage because we can leverage Information about Bechtel’s Equal
those differences to achieve better Employment Opportunity policy can be
results. 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 is
global customers. Diversity and inclusion Policy A401J in the Personnel Policy
also helps Bechtel attract and retain Manual—International (“Greenbook”)
highly talented employees around and Policy 401J in the Personnel Policy
the globe. Manual—U.S. (“Redbook”).
What should I do if I experience or witness
an incident of discrimination or harassment?
Promptly report any such incident to
your supervisor, manager, or Human
Resources. In the United States, you
can also contact the Employee
Dispute Resolution Specialist at
1-888-EDR-INFO.
Diversity and Fair Employment 11
14. Conducting Bechtel’s Business
Commitment to the Environment,
Safety, and Health
Summary of Bechtel Policy What behavior is expected?
Bechtel conducts all business with ■ Perform all work with a commitment
the greatest care for the environment to eliminating and/or mitigating
and for the health and safety of its environmental, safety, and health
employees, partners, contractors, and hazards and impacts
customers, as well as the people in the ■ Conduct all activities in a manner
communities 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 the
working with all appropriate stakehold- rights of neighbors to community
ers to improve ES&H effectiveness in safety and security
our industry. Maintaining that commit-
ment demands that the company and ■ Make sure that you and others in
its employees understand and comply your area of responsibility understand
with all applicable environmental, and comply with Bechtel standards
safety, 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 area
12 Our Code of Conduct
15. Common Questions
How do I find out about the safety and Further Guidance
health conditions in my work area?
If you are unsure of the proper
All Bechtel projects are required to environmental, safety, and/or health
develop and keep current an ES&H requirements or procedures, regardless
Plan containing a listing of all safety of whether they are external or internal
and health requirements and hazards. requirements, ask for clarification and/or
The plan is also a source for identifying help. First, consult with your supervisor
how the requirements apply at the site or manager, then with the site ES&H
and how the hazards are mitigated. In supervisor. If further clarification is
addition, the plan contains a listing of needed or a concern remains, contact
responsibilities for the site personnel with
your GBU and/or corporate ES&H
regard to safety and health requirements.
professional. Another resource is
How can I learn about the environmental the ES&H site on BecWeb.
requirements for my project work site?
All Bechtel projects are required to
develop and keep current a Construc-
tion Environmental Control Plan (CECP)
containing a listing of all environmental
requirements and how they apply at the
site. The CECP also develops a listing of
responsibilities for the site personnel with
regard to environmental requirements.
How do we try to avoid adverse impact to
community health, safety, and security?
We seek to engage in our EPC activities
in a way that does not negatively impact
the physical or mental safety of our
neighbors, infringe upon their security
of property or economic activities, or
contribute to the deterioration of their
community by way of increased crime
or social disruptions caused by our
activities or their immediate side effects.
Commitment to the Environment, Safety, and Health 13
16. Conducting Bechtel’s Business
Proper Use of Confidential and
Proprietary Information
Summary 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 confidential
tial, or private information belonging information other than for its
to Bechtel or its customers, suppliers, intended business purpose
employees, or others (confidential ■ Comply with nondisclosure agree-
information). Employees must use ments to which Bechtel is a party
confidential information only for its
intended purposes and as part of their ■ Do not accept confidential
duties at Bechtel. Such information information unrelated to your job
may be shared with employees or other ■ If you receive information that is not
persons only on a need-to-know basis, marked confidential, but you believe
as authorized by the Bechtel person it is confidential, bring it to the
responsible 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 company
14 Our Code of Conduct
17. Common Questions
I used to work for a Bechtel competitor, and I am about to transfer to another Bechtel
I have unique insight on their business that project. May I take with me information from
could be very useful to Bechtel. Can I share my current project that would be useful on
this 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 confidential
confidential information that you information, consult with your
received while working for your manager or the Legal Department
former employer. first to determine what use, if any,
you may make of that information.
I received a copy of a competitor’s proposal
in the mail from an unknown source.
What should I do?
Stop reading the document immediately.
Do not make any copies or show it to
anyone else. Consult with your manager
Further Guidance
or the Legal Department immediately
to 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 ethics
my 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 the
How do I find out whether I may do so? Bechtel Ethics HelpLine.
There should be a Bechtel person on
your project who is responsible for
administering Bechtel’s confidentiality
obligations to your customer. It may be
your project manager or your project
administrator, but if not, one of them
should be able to tell you who the
responsible person is.
Proper Use of Confidential and Proprietary Information 15
18. Conducting Bechtel’s Business
Accurate Recording and
Reporting of Information
Summary of Bechtel Policy What behavior is expected?
Bechtel employees are expected to use ■ Accurately and honestly provide
utmost care to accurately record and information in business reports and
report information in business records records
and reports. In some cases, the omis- ■ Pay attention to detail to ensure that
sion of necessary information can records are accurate
render a report or record inaccurate.
The accuracy of Bechtel’s business ■ Do not mislead or misinform others
records is essential to the operation by supplying inaccurate information
of 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
■ Invoices
16 Our Code of Conduct
19. Common Questions
What are some examples of inaccurate or Further Guidance
dishonest reporting on a business record?
If you are concerned about potential
Some examples of dishonest reporting false reporting on any Bechtel business
are: 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 conducted
What should I do if I become aware that
a fellow employee has put inaccurate
information on his or her expense report?
Talk to your manager about the situation.
If you are not comfortable talking to your
manager, contact Human Resources or
the ethics and compliance officer
for your organization.
What consequences can flow from dishonest
reporting on company records?
Providing false information on a company
report can lead to discipline up to and
including termination. It can also lead
to civil or criminal liability to you and
Bechtel.
Accurate Recording and Reporting of Information 17
20. Conducting Bechtel’s Business
Copyright Compliance
Summary of Bechtel Policy What behavior is expected?
Bechtel is committed to fully complying ■ Place an appropriate Bechtel
with the provisions of applicable law or customer copyright and/or
and licensing agreements pertaining to intellectual property notice on written,
copyrighted materials, including written photographic, or graphics materials
material, photographs, and software. generated by Bechtel employees
The company licenses or subscribes ■ Obtain permission from the
to necessary software and reference copyright holder before making
material such as industry codes and copies of copyrighted written,
standards for use within Bechtel. photographic, or graphics materials
Bechtel does not infringe upon the originating outside Bechtel, including
intellectual property rights of others. any content found on the Internet
Unauthorized reproduction or
transmission of written material or ■ Before making a copy of any
software is illegal, harmful to Bechtel’s software, make sure that the
interest and reputation, and against applicable software license permits
Bechtel 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 Internet
18 Our Code of Conduct
21. Common Questions
I am writing a technical report for our I do a lot of Bechtel work on my computer at
customer on a project. How do I know what home. May I put a copy of Bechtel software
copyright notice to place on my report? on my home computer?
An Engineering Department Procedure The answer depends on the software
on Intellectual Property Protection and the terms of the Bechtel license
(3DP-G03-00012) details the form agreement. Consult with your IS&T
of notice to use in various contexts. representative for guidance.
A project-specific instruction usually
clarifies the notice appropriate to your If software is installed on one Bechtel
project. Consult your project engineering computer, is it OK to make a copy for use
manager. on another Bechtel computer?
This is not OK unless the software
I found a great graphic on the Internet. license specifically permits such
May I copy it into a PowerPoint presentation
copying. Consult your IS&T
I am giving at an upcoming business meeting?
representative.
The graphic that you found may be
copyrighted. If so, you need to obtain
permission to use it in a business
presentation. Consult with your manager
or the Legal Department for advice on Further Guidance
how to obtain permission to use it. If you have a question regarding copyright
compliance, ask for help. Consult with your
I 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 for
presentation at an upcoming Bechtel
guidance. You can always contact the
meeting. May I use it?
Bechtel Ethics HelpLine.
Generally, we may not use videos
downloaded from YouTube without the
permission of the copyright owner, which
is usually the person or entity that made
the video. Sometimes it can be difficult
to identify the copyright holder, but that
doesn’t justify an impermissible use.
On the other hand, it is perfectly
acceptable to distribute the link by
e-mail to a Bechtel work group if it
would serve a business purpose.
Copyright Compliance 19
22. Conducting Bechtel’s Business
Offering Business Courtesies
Summary of Bechtel Policy What behavior is expected?
Bechtel business should always be won ■ Ensure that all gifts or entertainment
or lost on the basis of merit. Bechtel are appropriate, properly approved
employees may only offer or approve and accounted for, and in full
business courtesies that are legal, compliance with Bechtel policy
proper, and in full compliance with and all applicable laws
Bechtel policies and instructions and ■ In geographic areas where exchanges
do not give rise to the reasonable of business gifts are customary,
perception that they are being offered ensure that gifts are limited in value
for the purpose of gaining an unfair (at the level of common courtesies),
business advantage. An employee may are not in excess of generally accepted
never use personal funds or resources local business practices, are free of
to avoid reporting or seeking approval for any implication of obligation, and are
a business courtesy that could not approved by the appropriate level of
be provided by Bechtel. management
Gifts and business courtesies to some ■ Offer only those business courtesies
individuals, such as government that the recipient is permitted to
employees, officials, and representa- accept under the gift acceptance
tives, as well as employees of govern- rules of his or her organization
ment-owned entities, are subject to
complex laws and regulations. ■ When unsure of the rules, seek
Anti-corruption laws may also extend guidance from your manager, your
to employees of public international local ethics and compliance officer,
organizations and private individuals. or the Legal Department
Employees who are in the position of
offering or approving such business
courtesies must familiarize themselves
with company policies and the applicable
laws. (See Offering Business Courtesies
to U.S. Government Employees, at
page 28; and Anti-Corruption,
at page 42.)
20 Our Code of Conduct
23. Common Questions
Are 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 build
entertainment that would be illegal, a business relationship or offer
including anything offered to a a common business courtesy, or
government official in breach of local are you hoping to influence the
or international bribery laws. Other recipient’s objectivity in making
gifts 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. Conducting Bechtel’s Business
Political Activities
Summary of Bechtel Policy What behavior is expected?
Bechtel employees may voluntarily ■ In the United States, notify the
participate during their personal time Washington, D.C., office of any
in political causes or political action inquiries or visits (planned or
committees (PACs). As a matter of unplanned) to or from U.S. executive
policy, Bechtel does not apply direct branch or legislative branch officials
or indirect pressure on any employee or political candidates
to make any political contribution or ■ Outside the United States, notify
participate in the support of a political the Bechtel country manager of
party, the political candidacy of any any inquiries or visits to or from
individual, or a political cause. any government official or political
Moreover, employees are in no way candidate
required to make a contribution to the
Bechtel PAC, even if they receive ■ Coordinate any inquiries or visits from
a solicitation. any U.S. state or local government
officials or political candidates with
In the United States and many other the corporate External Affairs &
countries, a corporation’s political Communications organization
activities are significantly limited by law.
As a general rule, political contributions ■ If you engage in any activities
of corporate funds or use of corporate intended to directly or indirectly
property, services, or other assets influence a U.S. executive branch
(including employee work time spent on or legislative branch official, be sure
such activities) for political purposes are you understand the reporting
prohibited or highly restricted. Where requirements and applicable
such political activities are permitted, charging practices
any costs incurred in connection with ■ Ensure that any corporate or project
them must be strictly accounted for. contributions, political events, and
U.S. law permits Bechtel to lobby on use of company time or resources for
issues that impact its interests. The U.S. political purposes are approved by
definition of lobbying may include any the Bechtel Washington, D.C., office
actions taken directly or indirectly with (U.S. federal); corporate External
the intent of influencing a U.S. execu- Affairs & Communications (U.S. state
tive branch or legislative branch official. or local); or the applicable country
Lobbying activities can trigger a number manager (non-U.S.)
of complex issues, such as reporting
requirements and whether related costs
are tax deductible or allowable for U.S.
government contract accounting purposes.
22 Our Code of Conduct
25. Common Questions
What if a project receives a request from the What is the Bechtel PAC?
local Congressional Representative to attend
According to federal law, corporations
a fundraising event and contribute funds? May
are not permitted to make contributions
we give corporate funds and attend the event?
to federal candidates, but they are
All requests of this nature should be allowed to create political action
forwarded to the Washington, D.C., committees that can make contributions.
office. It is illegal for corporate contribu- A PAC is a committee organized with
tions to be given to a candidate running the purpose and intent of supporting
for Congress. Funds may be contributed political candidates financially. PACs
to a candidate through the Bechtel PAC, receive and raise money from eligible
which is managed by the Washington, employees and make donations to
D.C., office. Contribution decisions are political campaigns. They therefore
made by the Bechtel PAC Board. provide an indirect way for employees
to participate in campaigns.
What should I do if I feel pressured to
contribute or participate in a political cause?
You have the right to refuse to contribute
without reprisal. If you find yourself in a Further Guidance
situation where you feel pressured, you
should talk to your manager or contact If you are unsure of the proper business
Human 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’s
fundraiser for a local official, such as ethics and compliance officer or the
a city council member? Bechtel Ethics HelpLine.
This might be OK in some jurisdictions,
but many countries have different laws
for different political offices or jurisdic-
tions. For example, in the U.S., the laws
governing 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. Conducting Bechtel’s Business
Antitrust Compliance
Summary of Bechtel Policy What behavior is expected?
Many countries have laws prohibiting ■ Be aware of the antitrust requirements
anti-competitive behavior. Bechtel is of the laws in the jurisdictions in
committed to conducting its business which Bechtel works and understand
activities in full compliance with the that such laws apply to both formal
antitrust and competition laws of the and informal communications
jurisdictions in which it works, includ- ■ If you are involved in trade association
ing the United States and the European activities or in other situations involv-
Union. In general, these laws prohibit ing informal communication among
agreements or actions that may restrain competitors, customers, business
trade or reduce competition. Violations partners, or suppliers, do not discuss
include agreements among competitors prices, pricing policy, terms and
to fix or control prices or to rig bids; conditions, marketing plans, and
to boycott particular suppliers or similar matters of competitive interest
customers; to allocate products,
territories, or markets; or to limit ■ If a competitor tries to initiate
the production or sale of products or improper discussions regarding these
services. In some instances, antitrust topics with you, disengage from the
laws may prohibit price discrimination discussion immediately and contact
in the sale or purchase of goods. your supervisor or manager and the
Legal Department
24 Our Code of Conduct
27. Common Questions
I have friendly relationships with colleagues Further Guidance
who work at other companies in this industry.
If you have any questions or concerns
What’s wrong with having occasional infor-
regarding antitrust compliance, alert your
mal discussions about what’s going on in
the marketplace? manager or supervisor and consult the
Legal Department.
Even casual conversations with
competitors could be viewed as an
attempt to send “signals” about
Bechtel’s bid strategy or pricing
practices. You must be careful to
avoid any conversations or activities
that might be viewed as questionable
or could lead to allegations of anti-
competitive activity. This is not intended
to prohibit strategy discussions on
specific projects or prospects that occur
as part of normal teaming to provide
a customer with enhanced capability.
What are the possible penalties that may be
imposed due to actions that violate antitrust
or competition laws?
Antitrust violations expose the company
and any participating employee to
civil lawsuits or criminal prosecution,
including fines and imprisonment, and
in the United States to the payment of
punitive treble damages—three times
the amount of the actual damages.
Antitrust Compliance 25
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. Can I buy a [birthday] present for a friend
who works at a U.S. government agency?
page 29
What should I do if a current U.S.
government employee asks me for a job?
page 31
Can Bechtel provide lunch at a meeting
with U.S. government customers?
page 29
27
30. Special Issues Related to Doing Business with the U.S. Government
Offering Business Courtesies to
U.S. Government Employees
Summary of Bechtel Policy What behavior is expected?
Specific requirements and restrictions ■ Never offer or give a business courtesy
apply to the offering of business to any U.S. government employee
courtesies to U.S. government officials unless the regulations applicable to
or employees. Laws, regulations, and that employee permit acceptance of
rules concerning acceptable meals, gifts, the business courtesy
or entertainment for U.S. government ■ Do not offer business courtesies to
employees are extremely complicated members of the U.S. judicial branch
and vary depending on the government
branch, state, or other jurisdiction. ■ Ensure that all gifts offered or
accepted are appropriate, properly
The U.S. Office of Government Ethics approved and accounted for, and in
has issued restrictive and complex full compliance with Bechtel policy
rules regarding the acceptance of and the law; when in doubt, consult
gifts, meals, entertainment, travel, your ethics and compliance officer
and other business courtesies by
U.S. executive branch employees, ■ Contact the manager of the
including U.S. military personnel. Washington, D.C., office for
Many U.S. government agencies have guidance concerning offering business
established their own interpretations of courtesies to members of the U.S.
these rules, and Bechtel complies with Senate or House of Representatives
these standards. Different rules apply or their staffs
to 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 logo
28 Our Code of Conduct
31. Common Questions
I have a friend who works for the U.S. Further Guidance
Department of Energy. Am I allowed to
If you’re facing an issue about offering
buy him a birthday present?
or accepting business courtesies to U.S.
It depends. Bechtel policy and the U.S. government employees, consult your
government rules do not apply to the ethics and compliance officer; the
exchange 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 personal
relationship and not a business relation-
ship. However, if your friendship came
about from years of working together on
U.S. government projects, the Office of
Government Ethics gift rules still apply.
Consult your ethics and compliance
officer or the manager of the
Washington, D.C., office for guidance.
I am having an all-day meeting with some
U.S. government customer representatives.
We plan to work through lunch. May I provide
them with a meal during the meeting?
Yes, but only if the U.S. government
employees pay Bechtel the full cost of
their meals. U.S. government rules and
regulations generally prevent U.S.
executive branch employees from
accepting meals from contractors.
Arrangements should be coordinated
in advance so that the attendees will be
aware of your lunch plans, the cost of
the meal, and the method provided for
payment. It is not sufficient to “pass the
hat” for contributions to the cost. If full
payment is not received as arranged,
you will need to take steps after the
meeting to collect their share of the
cost of the meal.
Offering Business Courtesies to U.S. Government Employees 29
32. Special Issues Related to Doing Business with the U.S. Government
Hiring U.S. and Other
Government Employees
Summary 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-related
governments, have laws that regulate actions involving current or former
the recruiting and hiring of their current U.S. government employees raise
or former employees (both civilian and unique legal concerns
military). These rules and regulations ■ Outside the United States, notify
apply to all of Bechtel, not just those the Bechtel country manager of any
businesses doing business with U.S. inquiries or visits to or from any gov-
government customers. ernment official or political candidate
Bechtel is strongly committed to ■ Coordinate any inquiries or visits from
complying with these laws and to any U.S. state or local government
avoiding even the appearance of officials or political candidates with
any impropriety in the recruiting, the corporate External Affairs &
hiring, and employment of U.S. or Communications organization
other 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. Common Questions
What should I do if I am approached by Should I also be concerned about recruiting
a current U.S. government employee or hiring current or former U.S. state or local
about employment with Bechtel? government employees? What about other
countries’ government employees?
Tell the prospective candidate that you
must contact our Human Resources In much the same manner as the
Department to determine whether you U.S. government, many other countries,
may properly engage in employment states, and local governments have laws
discussions. and regulations concerning employ-
ment of current and former employees.
I am a Bechtel National employee working Therefore, Bechtel policy also requires
on a U.S. government project. I have heard that you contact Human Resources or
that my counterpart will be leaving U.S. the Legal Department before recruiting
government service and may be interested or hiring current or former employees
in working in the private sector. I think she of foreign, state, or local governments
would be a great asset for Bechtel and I have to ensure that we comply with the law
a 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 avoid
her about whether she would be interested in exposing yourself and Bechtel to legal
working at Bechtel? liability.
No. Bechtel policy requires that you
first contact Human Resources or the
Legal Department before having any
employment-related discussions. They Further Guidance
can give you guidance on how the initial If you’re facing an issue about hiring
contact 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. Special Issues Related to Doing Business with the U.S. Government
Other U.S. Government
Contracting Issues
U.S. Anti-Kickback Act Laws Organizational Conflicts of Interest
The 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. government
ing from offering, accepting, or attempting organizational conflicts of interest (OCI)
to offer or accept inducements for the restrictions. OCI in this context means that
purpose of obtaining or rewarding favorable because of other activities or relationships
treatment in the award of contracts for with other persons or entities, Bechtel is
materials, equipment, or services of any unable or potentially unable to render
kind. 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 in
or compensation of any kind directly or performing the contract work is or might be
indirectly accepted by any prime contractor otherwise impaired, or that Bechtel has an
or subcontractor or its employees from a unfair competitive advantage. Some
vendor, 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 and
establishes 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 going
fines, jail terms, debarment, and contract ahead with a project that Bechtel would
termination. 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 restrictions
In addition to the general prohibition of traf- regarding OCI, including the disclosure of
ficking 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 any
has determined that the commercial sex such potential or actual OCI, and ensuring
industry is frequently involved in trafficking, that similar OCI requirements are followed
even where such sex acts are not illegal in subcontracts.
under local laws. Accordingly, Bechtel
employees directly engaged in the perfor-
Time Records and Expense Reports
mance of work under a U.S. government
contract are prohibited from engaging in Although the accurate and timely reporting
commercial sex acts, even while “off duty.” and recording of time records and expense
Noncompliance with this policy may result in reports is important for all employees
actions including, but not limited to, removal (see Accurate Recording and Reporting
from the contract, reduction in benefits, or of Information at page 18), it is especially
termination 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 civil
32 Our Code of Conduct
35. false claim and/or statement, so every claim Disclosure
for payment carries a legal and ethical
As required under U.S. government contracts
responsibility for accuracy. Detailed guide-
and applicable regulations, Bechtel will
lines on U.S. government time-charging
disclose whenever, in connection with the
practices are provided to employees working
award, performance, or closeout of a covered
on such projects, and employees are
U.S. government contract or subcontract,
expected to understand them and to
Bechtel has credible evidence that a
adhere to them strictly.
principal, employee, agent, or subcontractor
Each employee working on a U.S. government has committed a violation of federal criminal
contract, or charging time to a corporate law involving fraud, conflict of interest,
overhead account that has costs allocated bribery, or gratuity violations found in Title
or partially allocated to a U.S. government 18 of the U.S. Code or a violation of the civil
contract, is to complete his or her time record False Claims Act, or credible evidence of
daily, either manually or electronically, and significant overpayments on the contract.
provide explanations of any changes in the
comments section of the time record.
Business expenses incurred in performing
company business must be documented Further Guidance
promptly and accurately, and employees
working on U.S. government contracts are If you have questions regarding the
responsible for complying with any special or U.S. Anti-Kickback Act; the laws
more stringent reporting requirements that relating to human trafficking or
may be imposed by a specific customer or OCI, or the disclosure of violations,
special situation. Contract terms and condi- contact your Ethics and Compliance
tions and U.S. federal regulations impose Officer or the Legal Department.
strict limitations on U.S. government
contractors with respect to what can and
cannot be reimbursed, and employees
working on U.S. government contracts should
review the guidelines and limitations with
their supervisor before incurring any
business expense.
The BSII Internal Audit organization peri-
odically conducts audits of compliance with
U.S. government regulations, including time
records and expense reports. External
auditors such as the U.S. Defense Contract
Audit Agency, the Inspector General, U.S.
government customer organizations, and
customer auditing firms also may also audit
compliance from time to time.
Other U.S. Government Contracting Issues 33
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. What are some examples of actions that
could violate U.S. anti-boycott laws?
page 36
What are “deemed exports” under the
U.S. export control laws?
page 40
Why does Bechtel prohibit facilitating
payments if they are legal under the
U.S. FCPA?
page 44
35
38. Special Considerations for a Global Business
Anti-Boycott
Summary 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 or
regulations relating to foreign economic
joint venture partners, are carefully
boycotts. The U.S. anti-boycott laws and
scrutinized for compliance with the
regulations prohibit Bechtel from
U.S. anti-boycott laws and regulations
cooperating with or supporting a
country’s boycott of another country ■ Make sure that every boycott request
that is friendly to the United States. They received by a Bechtel organization is
also require Bechtel to report to the U.S. reported promptly to Bechtel’s Legal
government any request that has the Department
effect of furthering or supporting such ■ Make sure that cases in which doubt
a boycott. The most frequently exists regarding the applicability of
encountered boycott is the current U.S. anti-boycott laws and regulations
Arab League boycott of Israel. are submitted to Bechtel’s Legal
The rules governing Bechtel’s obliga- Department for prior review or
tions under the anti-boycott laws are guidance
complex, and the penalties for violat-
ing them are severe. In all cases, you Common Questions
should be attentive to situations where
boycott requests may occur and What are some real-world examples of
immediately consult the Legal actions that would constitute participating
Department when a boycott-related in or cooperating with a boycott of a country
matter 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 country
36 Our Code of Conduct
39. I am the procurement manager for a Project If I refuse to comply with a request that
Management Consultancy (PMC) contract has the effect of furthering or supporting
in the Middle East in which we are acting as a boycott of a country friendly to the United
the customer’s agent in carrying out manage- States, do I still need to report receipt of the
ment duties with respect to certain of the request to the Legal Department?
customer’s contracts and purchase orders.
Yes. Even when a company refuses
The procurement regulations of the Arab
to comply with a prohibited boycott,
financial institution providing the owner’s
U.S. law requires companies to report
financing require compliance with the Arab
League boycott of Israel—something we could promptly to the U.S. government any
not agree to do ourselves. May we prepare request the company receives to
procurement documentation on behalf of the support or furnish information
customer that includes language requiring regarding a boycott.
bidders to comply with the financial institu-
tions procurement regulations? Further Guidance
The U.S. Anti-Boycott laws are extremely If you are dealing with a situation that may
complex 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, consult
procurement activities and still be the Legal Department. You should also
compliant with U.S. law, you must review Corporate Policy 105, Compliance
consult with the Legal Department
with Export Administration Amendments
before 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 of
An 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 of
transaction. Such a request might even
Boycotting Countries; and Procurement
take the form of a contractual provision
Procedure 3.01, Procedure for Bechtel
that simply requires compliance with
Procurement in or in Respect of a Boycot-
a country’s laws that, in turn, include
an obligation to engage in a prohibited ting Country. If in doubt regarding the
boycott. 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. Special Considerations for a Global Business
Export Control Laws and
International Sanctions
Summary of Bechtel Policy
Many countries, including the United ■ Be aware that “deemed exports” can
States, impose restrictions on exports occur under U.S. export control laws
and other dealings with certain coun- when controlled information, source
tries, entities, and individuals, including code, technology, or data is disclosed
foreign nationals. Bechtel complies with verbally or visually to a foreign na-
all export and import laws and regula- tional person, regardless of whether
tions that apply to us wherever we do that foreign national is a Bechtel
business. These laws are extremely employee or not and/or located in the
complex and apply to intercompany and United States or abroad
intra-company transactions; transactions ■ Make sure that every import, tem-
with suppliers, equipment manufactur- porary import, export, or re-export of
ers, 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 other
dition, the U.S. economic sanctions laws equipment complies with all relevant
prohibit Bechtel from engaging in busi- local or international trade laws and
ness activities with specified sanctioned rules, including customs regulations
countries, individuals, and entities. Viola-
tions of these laws can result in serious ■ Avoid inadvertent violations of these
penalties, including fines, revocation of complex laws by seeking guidance
permits to export, and imprisonment. from the Legal Department or the
export-import compliance manager
within the corporate Procurement
What 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 concerns
38 Our Code of Conduct
41. Examples of activities that might involve Examples of activities that might involve
the 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. Special Considerations for a Global Business
Export Control Laws and
International Sanctions (continued)
Common Questions
Which countries are subject to U.S. What are some examples of how
economic sanctions laws? “deemed exports” can occur under the
As of the date of this document, U.S. export control laws?
Cuba, Iran, Sudan, and Syria are under Examples of how deemed exports can
a general embargo and are subject to occur include telephone conversations,
comprehensive restrictions. U.S. e-mails, facsimiles, letters, mail/courier
economic sanctions laws place packages, computer/intranet accesses,
substantial restrictions on transactions technical presentations, proposal
with the governments of, and persons activities, plant/office tours, and project
and entities associated with, Afghani- meetings. Any verbal or visual disclosure
stan, Angola, Iraq, Libya, North Korea, to a foreign national person has the risk
Rwanda, and the former Yugoslavia of being a “deemed export.”
(Serbia, Montenegro, and the Western
Balkans). These change frequently, so
you must consult the Export/Import site
on BecWeb for current information.
Who is a foreign national for the purposes
of the U.S. export control laws?
Any person who is not a lawful
permanent resident of the United
States, including a Bechtel employee,
any employee of a foreign corporation
that is not incorporated or organized to
do business in the United States, and
any foreign government or foreign
government employee.
40 Our Code of Conduct
43. Further Guidance
Additional information about U.S. export
control or international sanctions laws can
be found in Corporate Policy 105
(Compliance with Export Administration
Amendments of 1977 and The Tax Reform
Act of 1976), Legal Instructions 118
(Compliance with Export Administration
Amendments of 1977, the Tax Reform Act
of 1976 and Boycott Reporting Procedures)
and 121 (Compliance with U.S. Export
Control and International Economic Sanc-
tions Regulations), and BSII Policy 203
(Export Control Regulations), or on the
Export/Import site on BecWeb. If you have
questions, consult with the export-import
compliance manager in the corporate
Procurement organization or contact the
Legal Department for advice.
Export Control Laws and International Sanctions 41
44. Special Considerations for a Global Business
Anti-Corruption
Summary of Bechtel Policy What behavior is expected?
Bechtel is committed to full compliance ■ Comply with all applicable laws and
with all domestic and international regulations prohibiting payment
anti-bribery laws, regulations, and or giving anything of value, either
conventions that prohibit corrupt directly or indirectly, to a government
actions 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 wholly
Organization for Economic Cooperation or partially owned by a government
and Development (OECD) Convention entity
on Combating Bribery of Foreign Public ■ Be aware that Bechtel policy prohibits
Officials in International Business making facilitating payments; make
Transactions, the U.S. Foreign Corrupt no payments to ensure or expedite
Practices Act (FCPA), and the United the performance of ministerial or
Nations Convention Against Corruption. clerical duties by government
Corruption is against the law and functionaries
contrary to everything that Bechtel
stands for. Bechtel policy prohibits ■ Ensure that all interactions and
making facilitating payments, i.e., transactions with government of-
payments to secure performance of ficials, or employees of companies
routine government actions. Engaging wholly or partially owned by a
in or not reporting behavior that government entity, are clearly and
violates, or has the potential to violate, accurately recorded
the standards set forth in the FCPA or ■ Never allow joint venture or
the 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 laws
42 Our Code of Conduct
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. Special Considerations for a Global Business
Anti-Corruption (continued)
Common Questions continued
What should I do if I face an issue related to I understand that facilitating payments
the 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 an
a payment, provide a gift, reimburse exception for facilitating payments,
hospitality expenses, etc., or become there is no similar exception in the
aware that others have done so), do not OECD Convention or the United Nations
try to resolve the issue yourself. Rather, Convention Against Corruption. These
you should seek guidance from the payments are prohibited because they
Legal Department or your ethics and are a form of corruption and are illegal
compliance officer to ensure that under the local laws of almost every
appropriate actions are taken and country. Such payments often open the
documented. 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 making
payments and who is likely to request them? follow-on payments for the same
Facilitating payments are small service.
payments to secure routine actions
to which Bechtel or its employees,
customers, subcontractors, or suppliers
are otherwise entitled such as process-
ing government paperwork, providing
police services, issuing licenses or visas,
and processing goods through customs.
These requests are likely to come
from government employees such as
customs agents, tax collectors, harbor
masters, permitting authorities, mail
carriers, and police officers, all with
regard to providing personal benefit
to the individual for the performance
of services that they are in any event
required to perform as a consequence
of their position.
44 Our Code of Conduct
47. Further Guidance
If you’re facing an issue about
anti-corruption compliance, consult the
Legal Department, the Bechtel chief ethics
and compliance officer, or the Foreign
Corrupt Practices Act compliance
representative identified under
Key Contacts on the Ethics and
Compliance site on BecWeb.
Anti-Corruption 45
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. Can I identify myself as a Bechtel
employee on Facebook?
page 53
Can I expect my personal e-mail on the
Bechtel network to remain private?
page 55
Can I use my company Diners Club card
for personal charges if I pay the bill
promptly?
page 53
47
50. On The Job
Records and Information Management
Summary of Bechtel Policy
Company records must be managed ■ Destroy business records as part
in a manner that supports the conduct of our normal course of business
of Bechtel’s business efficiently, eco- according to the Records Retention
nomically, securely, and in compliance Schedule, or applicable law, and
with applicable laws. information that is no longer of value,
Bechtel business records must be unless it is under a preservation hold
separated from other information and ■ If you are outside the U.S., check the
retained in an appropriate repository Records Retention Schedule (paying
for at least the period of time stipulated particular attention to jurisdiction-
in the Corporate Records Retention specific requirements) or consult
Schedule, and may need to be kept for with the Legal Department as to
longer periods outside of the United what legal requirements apply to
States to comply with local country law. the relevant record
Information that is no longer of value
should be deleted or discarded, as long
as the information is not subject to a
preservation hold from Bechtel Legal All Bechtel information, whether in hard
or Risk Management and there are no copy or electronic form, falls into three
other circumstances (such as pending, categories:
threatened, or anticipated litigation, or ■ Business Record – A document
government audit or investigation) that or other record of information
would warrant retention. that evidences significant project
or other Bechtel business activity
What 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 hold
48 Our Code of Conduct
51. Common Questions
Who is responsible for determining if a Where can I find information about proper
document or data qualifies as a Bechtel handling of the different categories of
business record? Bechtel information?
The Bechtel person who is the The three categories of Bechtel
“owner” of a document or other Bechtel information (Business Record, Work in
information (usually the originator) is Progress/Reference, and Information
responsible for determining if it should No Longer of Value) and their proper
be classified as a business record. handling are explained in Corporate
If information comes from external Policy 116, Records and Information
sources, the person within Bechtel who Management, and Records and
receives it should determine whether it Information Management (RIM)
constitutes a Bechtel business record. Instruction MI-100, Records and
In such cases, care must be taken to Information Management Program.
ensure compliance with any applicable
agreements between Bechtel and its
customers, suppliers, or other entities Further Guidance
governing the protection and handling
of their information. A good source of information on this
topic is the IS&T Records and Information
How can I tell the difference between Management site on BecWeb. This
a business record and a non-record? site contains links to RIM policies,
In general, a business record is a management instructions, and procedures,
document with legal or compliance as well as to Bechtel University RIM
significance; or that is required to be courses, which are very good references to
retained by law or regulation; or that learn more about Bechtel’s RIM program.
reflects a decision or commitment by Your organization’s records manager or
Bechtel or others regarding deliverables, the corporate records manager can also
schedule, cost, design, construction, provide guidance to you on this subject.
procurement, payment of funds, or
other business transactions. If you are
uncertain about whether a document is
a business record, consult your manager
or the Legal Department.
Records and Information Management 49
