Engaging with Government Officials

CODE PRINCIPLES

Government and regulatory decision-making directly affect our legal and social license to operate in every country in which Albemarle conducts business. We will proactively engage with governments on issues of concern to Albemarle, its businesses or its stakeholders (employees, investors, communities) to inform their decisions.

  • We are courteous, truthful, cooperative and constructive when engaging with government officials.
  • We apply or compete for government permits, licenses and business with humility, integrity, transparency and free of any conflict of interest.
  • We prohibit all forms of bribery of government officials or activity which could give the impression of bribery, whether by our employees, contractors or third parties acting on our behalf. This includes the making of facilitation payments.
  • We do not offer or provide anything of value directly or indirectly with the intent to improperly influence any government official in order to gain business or an improper advantage.
  • We ensure that information we provide to government officials is accurate, timely and in accordance with applicable laws.
  • We cooperate with any government request or investigation and answer questions honestly.
  • We do not obstruct legitimate government investigations by intentionally withholding, concealing or destroying relevant documents.
  • We do not retaliate or discriminate against anyone who reports wrongdoing or lawfully cooperates with a government inquiry or investigation.

Our Code Principles in Action

  • Be aware that the definition of government official is broad, including employees of state-owned entities and community representatives.
  • Consult with Government Affairs and any relevant country manager in advance of:
  • Prepare a summary of any sensitive or non-routine meeting with government officials and provide a copy to Government Affairs.
  • Consult with Government Affairs, Legal and the relevant country manager before making any non-routine submission or application to a government department or regulatory agency on behalf of the Company.
  • Consult the Guidance Note on Engaging with Government Officials if you are unsure if your meeting or submission is sensitive or non-routine.
  • Immediately notify the Legal Department if you are contacted by the police, military or a regulatory agency, or if any such authority makes an unscheduled visit to an Albemarle site.
  • Follow this Code (Offering or Accepting Gifts & Hospitality) if you are considering offering anything of value, including gifts or hospitality, to a government official, or receiving the same from a government official.
  • Follow the Code (Hiring New Employees) and Anti-Corruption Policy and obtain pre-approval before offering, promising or giving employment, a temporary contract or an internship to:
    • a government official in a position of influence or authority over Albemarle’s business;
    • the spouse,  partner or a relative of such a government official; or
    • an individual who was such a government official in the past two years.

DEFINED TERMS

Anything of Value

is broadly defined to include any type of benefit to the recipient, such as:

  • money (all currencies including bitcoin, and method of delivery such as cash, check, wire, electronic, mobile transfer);
  • cash equivalents such as gift, store, discount, mobile phone or stored value cards
  • Gifts;
  • meals, entertainment and other hospitality;
  • travel, including flights and accommodation;
  • offers of employment or an internship;
  • a contract for the procurement or sale of goods or services;
  • a contract for the procurement, sale or lease of property;
  • a charitable donation or contribution to a community project;
  • a commercial sponsorship;
  • confidential information;
  • investment opportunity; and
  • any other form of personal favor.
Bribery

Bribery means offering, providing or receiving anything of value with the intent of improperly influencing any person to take an action to obtain an improper advantage. This includes, for example, improper influence over the:

  • the decision whether to accept an application, official form or any other type of paperwork;
  • the grant or revocation of a permit, license, quota, visa or any other award which allows the recipient to undertake a specified activity
  • the award of a commercial procurement or sales contract;
  • the decision to enforce, or not enforce, a particular law or regulation against a company or individual;
  •  the decision to enforce, or not enforce, contractual terms such as performance guarantees;
  • the decision to require, or not require, a payment to be made or how much is to be paid (e.g. taxes); and
  •   the sponsoring or approval of a change in existing law.

Bribery also includes the making of facilitation payments.

Compliance Sensitive Vendor

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).
Facilitation Payments

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.

Government Officials

Defined broadly, and can include:

  • an officer, employee or anyone acting on behalf of any government body including a department or agency at any level (national, regional, or local). Examples include a government minister, regulator, judge, city mayor, police officer, soldier, customs official or chemistry professor at a public university;
  • an employee of public international organizations such as the United Nations and World Bank;
  • an employee of state-owned or controlled enterprises, such as refineries;
  • a political party, party official or candidate for political office; and
  • a person holding an appointment, position or office created by custom or convention, such as, an indigenous community leader or member of a royal family.
Relative

An individual’s spouse or spousal equivalent; the individual’s and the spouse’s grandparents, parents, siblings, children, nieces, nephews, aunts, uncles, and the spouse or spousal equivalent of any of these people; or anyone who shares the same household.

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