Selecting and Managing Our Vendors

CODE PRINCIPLES

The effective procurement of goods, services and raw materials is critical to the development and expansion of our sites, and the manufacture and supply of our products to customers. We select vendors based on objective criteria and their alignment with our Core Values.

  • We seek to ensure that prospective and existing vendors comply with applicable laws; supply with integrity; minimize their adverse impact on the environment and local communities; provide a safe and healthy workplace; and respect basic human rights of employees and laws relating to conflict minerals and child labor.
  • We conduct tender processes with transparency, treat vendor bids as confidential and do not provide any current or prospective vendor with an unfair or improper advantage.
  • We monitor prospective and existing vendors to ensure they are not engaging in collusion or inappropriately exchanging competitively sensitive information relating to Albemarle.
  • We seek to avoid actual or potential conflict of interest arising from the selection or use of a vendor.
  • We treat our vendors with respect, communicate our requirements with clarity and transparency, and pay valid invoices on time.
  • We expect our contractors and vendors to comply with our health and safety requirements.
  • We prohibit our vendors from engaging in bribery, including facilitation payments, on Albemarle’s behalf.
  • We only pay for goods and services provided, and monitor our vendors for evidence of fraud or corruption.
  • We do not use vendors if we suspect that such activity will contravene export or sanctions laws or regulations.
  • We do not ask, expect or allow a vendor to carry out acts that would be a violation of this Code or applicable laws.
  • We avoid business relationships with vendors that may be engaged in money laundering.

Our Code Principles in Action

  • Comply with the Global Procurement Policy when undertaking procurement-related activity.
  •  Only use your travel & expenses credit card in accordance with this Code (Managing your Business Expenses) and company purchasing cards in accordance with the Purchasing Card Policy.
  • Conduct appropriate checks on prospective vendors in accordance with the Vendor Qualification Policy. 
  • Obtain pre-approval in accordance with the Global Procurement Policy, Anti-Corruption Policy and Compliance Sensitive Vendor Procedure before:
  • Negotiate, authorize and sign vendor agreements in accordance with the Vendor Agreements Policy, and ensure that they clearly reflect the services or products to be purchased, as well as the price.
  • Ensure that the vendor has received a valid purchase order before they start supplying the goods or services.
  • Check vendor invoices carefully to ensure they accurately reflect goods and services purchased, and ensure they are charged to the correct Group Ledger account.
  • Prior to approving invoices, check for red flags such as:
    • vague or unclear descriptions of items to be paid;
    • unexpected deviations from agreed-upon goods, services or amounts;
    • payments directed to anyone other than the vendor that actually provided the goods and services; and
    • payments to bank accounts that are outside of the vendor’s home country, where it does business or where goods or services were provided.
  • 請遵循有效監督供應商指南如果您懷疑供應商的行為違反了本準則或我們的核心價值觀,要馬上聯絡全球道德&合規部門。
  • 如果您、您的配偶、您的伴侶或親屬有對潛在或現有產品或服務供應商的重大利益,而您對相關供應商的選擇具有影響力,請遵循準則(管理利益衝突)。
  • 如果您有意接受現有或潛在供應商給予的禮品、餐飲、娛樂或任何其他有價物品,請遵循此準則(給予或接受禮品&招待)。
  • 為所有現有和潛在供應商提供 Albemarle 的商業合作夥伴行為準則副本。
  • 如果供應商要求 Albemarle 簽署最終用途證書、道德和合規證明或任何其他類型的證明,請諮詢法律部門全球道德&合規部門。
  • 如果您知道或懷疑客戶或第三方銷售代表有以下情形,請馬上聯絡 法律部門全球貿易合規營運部門 :
    • 要求 Albemarle 拒絕與以色列、或在以色列或具有以下情況之實體展開業務:
      • 在以色列經營的企業;
      • 與在以色列經營之其他企業有關係的企業;或
      • 基於種族、宗教、性別、族裔或國籍的其他人;或
    • 尋求有關 Albemarle 與以色列或在以色列之直接或間接商業活動的資訊。

待定

DEFINED TERMS

賄賂

賄賂是指給予、提供或接收任何有價之物,意圖不適當地影響任何人採取行動來獲得不適當的利益,包括以下之類情況的不適當影響:

  • 是否接受申請、正式表格或任何其他類型之文書工作的決定;
  • 執照、許可、配額、簽證或允許接受者從事特定活動之任何其他授予的准予或撤銷;
  • 商業採購或銷售合約的授予;
  • 對公司或個人是否執行特定法律或法規的決定;
  • 是否執行例如履約保證等合約條款的決定;
  • 是否要求支付或支付多少金額(例如稅金)的決定;以及
  • 倡議或核准現有法律的變更。

賄賂還包括支付疏通費

合規敏感供應商

Vendors who:

  • you know, or suspect, are directly or indirectly owned by a government official or a close relative of a government official;
  • will, or may, engage with a government official with or on behalf of Albemarle; or
  • are recommended by a government official (including employees of a state-owned enterprise).
衝突礦產

在武裝衝突區域內開採並非法交易,以資助或以其他方式使戰鬥永久持續的礦產。 示例包括但不限於鈷、錫石(用於錫)、黑鎢礦(用於鎢)、鈮鐵礦–鉭鐵礦(用於鉭)、金礦和鑽石。

貪腐

由具有影響力或權威之人士為其個人利益所做出的不誠實或不道德行為

進出口管制法

Laws and regulations, which regulate the movement of specific items across national borders. For example, export control laws may require a licence to be obtained or otherwise prohibit (whether a license is required depends on the classification of the item to be exported, the intended destination, and the intended end use as well as end user):

  • any export or re-exports of specific items listed on various ‘controlled lists’ maintained by the United States, the European Union and other countries. These items are often capable of being used in military applications, i.e., they are dual use items that have a predominantly commercial end use but that also have some military utility, which is why their export is restricted;
  • transfer of controlled technology, including via email and other online or physical means; and
  • exports (and temporary imports) of defence-related articles, technical data, and services
疏通費

Small payments made to lower-level government officials as a personal benefit to them to secure or speed up a performance of a routine action (e.g. licenses, permits, visas, customs clearance).

clearance). Facilitation payments are illegal in most countries and can open the door to more serious corruption issues.

制裁法

Sanctions laws consist of a wide range of political and/or economic measures to influence the decisions and behavior of a particular country’s regimes, individuals, or groups.  They may be comprehensive, prohibiting commercial activity with a country (absent a license), or targeted, blocking transactions of and with specific businesses, individuals, or groups. Generally, these laws, regulations, and compulsory measures directly or indirectly restrict trade or other dealings, e.g., financial restrictions with particular countries, regimes, entities and/or individuals. For example, trade sanctions laws may prohibit:

  • imports from or exports to a sanctioned country or region (e.g. Cuba, Iran, Syria, North Korea, or Crimea);
  • exports/imports or other dealings in property originating from a sanctioned country, or other transactions and/or dealings, directly or indirectly, with sanctioned governments, individuals or entities, such as designated terrorist groups; or
  • U.S. persons from approving, financing, facilitating or guaranteeing any transaction by a foreign person where that transaction would be prohibited if performed by a U.S. person.
重大利益

一般而言,如果您擁有與 Albemarle 展開業務之實體的比例不到 5%,您的利益將不會被視為重大利益。 然而,即使少於 5%,如果您的利益足以使您的工作表現出現或實際上影響到您的業務判斷和對 Albemarle 的忠誠度,那麼您仍應將該利益視為重大的。 例如,如果利益佔您個人淨資產很大的一部分,儘管不到實體的 5%,仍應視為重大的。

競爭性敏感資訊

The following types of information are considered to be examples of CSI:

  • marketing plans and proprietary perspectives on the market;
  • cost data less than 12 months old;
  • details of negotiations with individual customers or suppliers;
  • current or recent terms of sale or purchase (price, margins, commission and credit terms);
  • strategic information (site expansion and closure plans);
  •  salaries and other terms of employee remuneration less than 12 months old;
  • innovation plans and intellectual property; and
  • production, export, sales and purchase data less than 12 months old.

CSI does not include:

  • information that is publicly available, including through subscription services;
  • information that is more than 12 months old and would not be considered to give a competitive advantage if shared with, or by, a competitor;
  • health, safety or environmental data; or
  • information relating to the technical performance of equipment.
洗錢

確保與犯罪活動相關資金的性質和來源隱藏在合法商業交易中,或者當合法資金用於支持包括恐怖主義在內的犯罪活動時的過程。這通常包括三個步驟:處置、多層化和整合。

選單