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首页 UL Standards of Business Conduct

UL Standards of Business Conduct.pdf

UL Standards of Business Conduct

lingcs500
2011-03-21 0人阅读 举报 0 0 0 暂无简介

简介:本文档为《UL Standards of Business Conductpdf》,可适用于服务领域

CorporateLegalDocumentNumber:LEPIssue#:IssuedDate:RevisionDate:EffectiveDate:PageCopyright©UnderwritersLaboratoriesIncAllrightsreservedMaynotbereproducedwithoutpermissionThisdocumentiscontrolledandhasbeenreleasedelectronicallyTheversionontheULintranetistheuptodatedocumentHardcopiesareuncontrolledandmaynotbeuptodateUsersofhardcopiesshouldconfirmtherevisionbycomparingitwiththeelectronicallycontrolledversionUNDERWRITERSLABORATORIESINCSTANDARDSOFBUSINESSCONDUCTAMESSAGEFROMKEITHWILLIAMSTrustTeamworkTransparencyThesethreevaluesmustbeattheheartofwhatwedoatULeverydayTheyarethefoundationforhowweworkwitheachother,ourcustomers,governmentandregulatoryauthorities,retailersand,mostofall,withtheconsumersweservearoundtheworldAtUL,ourguidingprincipleisintegrityOvermorethanyears,wehavebuiltourreputationforintegrityandindependencebasedonapolicyofstrictcompliancewiththelawandthehigheststandardsofmoralandethicalconductUL’sreputationforethical,moralandlegalbehavioriscriticaltoourPublicSafetyMission,ourbusinessandourcommitmenttoCorporateSocialResponsibilityOurcorevaluestrust,teamworkandtransparencywillguideusinmaintainingandbuildingourreputationinthestcenturyTheseStandardsofBusinessConductreflectoursharedvaluesandourcollectivecommitmenttoUL’shighstandardsTheStandardsinformeachofusofourethicalandlegalobligationstoUL,ourcustomers,societyandeachotherEveryoneatULisresponsibleforunderstandingandcomplyingwiththeseStandardsEveryyear,eachofuswillberequiredtoconfirmthatwehaveread,understandandcompliedwithUL’sStandardsofBusinessConductNostandardsorpoliciescanpossiblycovereverybusinesssituationinourcomplexmodernworldIfyouhaveanyconcernsabouttheseStandardsorpotentialviolationsoftheseStandards,ULpoliciesorlaws,pleasecontactyourlocalmanagement,UL’sGeneralCounselorusetheEthicsHelplinedescribedintheseStandardsWecanonlymaintainandbuildourreputationforintegrity,independenceandexcellence–andfulfillourPublicSafetyMission–ifweconsistentlyactethicallyandhonestlyNosinglepersonatULisresponsiblefortheCompany’sintegrityUL’sreputationandourintegritydependoneachofusdoingtherightthingeverydayKeithWilliamsPresidentCEOToviewcoverpage,GotoViewCommentsTitle:StandardsofBusinessConductDocumentNumber:LEP–IssuePageCopyright©UnderwritersLaboratoriesIncAllrightsreservedMaynotbereproducedwithoutpermissionThisdocumentiscontrolledandhasbeenreleasedelectronicallyTheversionontheULintranetistheuptodatedocumentHardcopiesareuncontrolledandmaynotbeuptodateUsersofhardcopiesshouldconfirmtherevisionbycomparingitwiththeelectronicallycontrolledversionSTANDARDSOFBUSINESSCONDUCTTABLEOFCONTENTSTABLEOFCONTENTSETHICALCONDUCTISATTHEHEARTOFOURPUBLICSAFETYMISSIONWHOISRESPONSIBLEFORETHICALCONDUCTATULEveryoneatULisresponsibleforactingethicallyULmanagersareresponsibleforbehavingethicallyandpromotinganethicalbusinessenvironmentDISCIPLINARYACTIONASKINGFORGUIDANCEANDREPORTINGCONCERNSULETHICSHELPLINENORETALIATIONPOLICYCOMPLIANCEWITHLAWS,ULPOLICIESANDPROCEDURESDifferencesbetweenUL’sStandardsofBusinessConductandLocalLaws,PracticesorCustomsCONFLICTSOFINTERESTGIFTSANDENTERTAINMENTCONFIDENTIALINFORMATIONFAIRCOMPETITIONANTITRUSTLAWSPERSONALAPPROPRIATIONOFCORPORATEOPPORTUNITIESBANONBRIBES,KICKBACKS,IMPROPERPAYMENTSANDOTHERCORRUPTPRACTICESSALESANDADVERTISINGPRACTICESENVIRONMENTALCOMPLIANCEGOVERNMENTCONTRACTWORKACTIVITIESWITHOTHERSTANDARDS,CERTIFICATION,MANUFACTURING,TRADEANDPUBLICSAFETYORGANIZATIONSDIVERSITYANDINCLUSIONHarassmentDiscriminationEqualEmploymentOpportunityWORKPLACEHEALTH,SAFETYSECURITYWorkplaceViolenceSubstanceandAlcoholAbuseFINANCIALACCOUNTING,INTERNALCONTROLSAUDITINGPRACTICESACCURACYOFDOCUMENTS,RECORDSANDBUSINESSINFORMATIONRECORDSMANAGEMENT,RETENTIONANDSTORAGEINTELLECTUALPROPERTYEXPORTCONTROLANDTECHNOLOGYTRANSFERTRADESANCTIONSEXTERNALANDGOVERNMENTCOMMUNICATIONSContactwiththeMediaInteractionwithGovernmentsTESTIMONYASANEXPERTORFACTWITNESSPOLITICALACTIVITYTitle:StandardsofBusinessConductDocumentNumber:LEP–IssuePageCopyright©UnderwritersLaboratoriesIncAllrightsreservedMaynotbereproducedwithoutpermissionThisdocumentiscontrolledandhasbeenreleasedelectronicallyTheversionontheULintranetistheuptodatedocumentHardcopiesareuncontrolledandmaynotbeuptodateUsersofhardcopiesshouldconfirmtherevisionbycomparingitwiththeelectronicallycontrolledversionCONTRACTINGWITHTHIRDPARTIESUSEOFCOMPANYASSETSUSEOFCOMPANYNAMEORINFLUENCEUSEOFINTERNET,INTRANETANDOTHERELECTRONICMEDIATitle:StandardsofBusinessConductDocumentNumber:LEP–IssuePageCopyright©UnderwritersLaboratoriesIncAllrightsreservedMaynotbereproducedwithoutpermissionThisdocumentiscontrolledandhasbeenreleasedelectronicallyTheversionontheULintranetistheuptodatedocumentHardcopiesareuncontrolledandmaynotbeuptodateUsersofhardcopiesshouldconfirmtherevisionbycomparingitwiththeelectronicallycontrolledversionETHICALCONDUCTISATTHEHEARTOFOURPUBLICSAFETYMISSIONForoveryears,ULhaspursuedthepublicinterestinproductsafetyandcommerceservices,andtheabilityofthepublictobeassuredthatULhasassessedproductsandservicesagainstapplicablesafetystandardsandrelatedperformanceassessmentcriteriaItiswhyweexistUL’scredibilityinpursuitofthepublicinterest–ournameandreputationforintegrityinallwedo–iscriticaltothefulfillmentofourPublicSafetyMissionAccordingly,itisimportantforallofustorecognizeandacceptthatlivingtheseStandardsofBusinessConductismorethanjust“Therightthingtodo”LivingbytheseStandardsinallwedoatULis“missioncritical”tothefulfillmentofourPublicSafetyMissionWearerequiredtocomplywiththeStandardsofBusinessConductatalltimesandinallbusinessactivitiesAsyoureviewtheseStandards,considercarefullyhoweachparticularstandard,whetheritrelatestoConflictsofInterest,MaintenanceofConfidentialInformation,AccuracyofDocuments,ImproperPaymentsorthelike,serveourultimatePublicSafetyMissionWHOISRESPONSIBLEFORETHICALCONDUCTATULEveryoneatULisresponsibleforactingethicallyUL’sname,reputationandPublicSafetyMission,dependuponourindividualactionsanddecisionsEverypersonwecomeintocontactwithevaluatesus–ourcoworkers,customers,suppliers,consumers,regulatoryauthoritiesandpeopleinourcommunitiesEverytimeweinteractwithotherswehaveanopportunitytodemonstrateourvaluesandbuildUL’sreputationEachofusmust:•Complywiththelawandmeetthehighestethicalstandardsinallourbusinessactivities•Read,understandandcomplywiththeseStandardsofBusinessConductandallofUL’spoliciesandguidelinesthatarerelatedtoourjobs•Participateinethicstrainingandeducationprogramsrequiredforourjobs•Seekguidancewheneverwehavequestionsregardingethicsandcomplianceissues•Beresponsiblefortheaccuracyandintegrityofourworkandthedocuments,recordsandbusinessinformationweworkon,includingtestreports,procedures,noticesofauthorizationtousetheULMarkandotherbusinessdocumentsTitle:StandardsofBusinessConductDocumentNumber:LEP–IssuePageCopyright©UnderwritersLaboratoriesIncAllrightsreservedMaynotbereproducedwithoutpermissionThisdocumentiscontrolledandhasbeenreleasedelectronicallyTheversionontheULintranetistheuptodatedocumentHardcopiesareuncontrolledandmaynotbeuptodateUsersofhardcopiesshouldconfirmtherevisionbycomparingitwiththeelectronicallycontrolledversion•PromptlybringpotentialviolationsoftheseStandards,ULpolicies,lawsorregulationstoUL’sattentionbycontactinglocalmanagement,UL’sGeneralCounselorUL’sEthicsHelpline•CooperatefullyinanyinvestigationofallegedviolationsoftheseStandards,ULpolicies,practices,proceduresandapplicablelawsandregulationsULmanagersareresponsibleforbehavingethicallyandpromotinganethicalbusinessenvironmentUL’sBoardofTrustees,President,andothermembersoftheCompany’smanagementareresponsibleforactingethicallyandsettingthe“toneatthetop”forULOfficersandmanagersmaybeheldaccountableifthepeoplewhoworkforthemviolatetheseStandardsorbreakthelawEveryULmanagermust:•Leadbyexamplebyactingethicallyandpromotingthehighestethicalstandards•ExplaintotheiremployeeswhyitisimportanttocomplywiththeseStandards•Ensurethattheiremployeesparticipateinethicsandcompliancetraining•EncourageongoingdiscussionoftheseStandardsandpotentialproblemsituations•Respondpromptlyandproperlytoconcernsemployeesraise•Protectemployeesagainstretaliationwhentheyreport,ingoodfaith,actionstheyfeelviolatetheseStandards,ULpolicies,practices,proceduresandapplicablelawsandregulations•EnforcetheseStandardsofBusinessConductconsistentlyDISCIPLINARYACTIONViolationsoftheseStandards,ULpolicies,practices,proceduresandapplicablelawsandregulations,mayresultindisciplinaryaction,uptoandincludingterminationofemploymentLocallaw,policiesandpracticewillgovernthespecificdisciplinaryprocess,includingcriminalprosecution,whereapplicableASKINGFORGUIDANCEANDREPORTINGCONCERNSIfyouareconcernedthatyouractionsorsomeoneelse’sactionsmayviolatetheseStandards,UL’spolicies,practices,procedures,applicablelawsorregulations,youshouldpromptlyreportyourconcernsandseekguidanceThereareanumberofwaysyoucanreportyourconcernsandseekguidanceYoucancontactanyofthefollowingpeopleandsources:•Yourmanagerorsupervisor•UL’sGeneralCounselTitle:StandardsofBusinessConductDocumentNumber:LEP–IssuePageCopyright©UnderwritersLaboratoriesIncAllrightsreservedMaynotbereproducedwithoutpermissionThisdocumentiscontrolledandhasbeenreleasedelectronicallyTheversionontheULintranetistheuptodatedocumentHardcopiesareuncontrolledandmaynotbeuptodateUsersofhardcopiesshouldconfirmtherevisionbycomparingitwiththeelectronicallycontrolledversion•HumanResources•UL’sEthicsHelpline•UL’sEthicsOfficeULETHICSHELPLINEYoucancallUL’stollfreeEthicsHelplinetoaskquestionsorreportconcernsTheEthicsHelplineisstaffedbyanindependentcompanyYoucanaskquestionsorreportconcernswithoutgivingyournameifyouchooseTheHelplineisavailablehoursaday,daysaweek,andaninterpretercanbemadeavailableonrequestULtakescallstotheHelplineveryseriouslyandallinformationprovidedtotheHelplinewillbetreatedinaconfidentialmannerwithinthelimitsallowedbylawNORETALIATIONPOLICYNoonewillbepunishedorreprimandedforraisingconcernsoraskingquestionsaboutpotentialviolationsoflaw,regulations,UL’sStandardsofBusinessConductorpolicies,practicesandproceduresthatheorshereasonablybelieveshaveoccurredULwillnottolerateretaliationagainstanyemployee,client,supplierorvisitorformakingagoodfaithcomplaint,complyingwithanyULpolicy,practiceorprocedureorforcooperatinginanyinvestigationEveryallegationofretaliationwillbeinvestigatedandappropriatedisciplinaryactionwillbetakenbasedupontheresultsoftheinvestigationTRUSTgivesustheconfidencetoactWeearnourreputationforintegrityeverydaybykeepingourcommitmentsandtreatingourcolleagues,customersandotherconstituentsfairlyandhonestlyCustomersbuyfrompeopletheytrustPeoplecollaboratewithotherpeopletheytrustMostimportantly,consumers,regulatorsandretailerslookfortheULMarkbecausetheytrustinwhatthatMarkdeliversWemustensurethattheULMarkcontinuestobeatrustedsymbolofsafetyAtUL,trustisbaseduponourintegrity,independenceandexcellenceCOMPLIANCEWITHLAWS,ULPOLICIESANDPROCEDURESULiscommittedtofullcompliancewiththelaws,rulesandregulationsofthecountriesandcommunitieswhereweworkInaddition,ULhasestablisheditsownpolicies,standardsandproceduresAswedoourjobs,eachofusisresponsibleforknowingandcomplyingwithallapplicablelaws,rulesandregulationsinthevariouslocationswherewework,aswellascomplyingwithUL’sownpolicies,standardsandoperatingproceduresDifferencesbetweenUL’sStandardsofBusinessConductandLocalLaws,PracticesorCustomsTheseStandardsofBusinessConductareintendedtoestablishglobalstandardsandexpectationsforeveryoneatULTheStandardsapplytoallbusinesses,countriesandTitle:StandardsofBusinessConductDocumentNumber:LEP–IssuePageCopyright©UnderwritersLaboratoriesIncAllrightsreservedMaynotbereproducedwithoutpermissionThisdocumentiscontrolledandhasbeenreleasedelectronicallyTheversionontheULintranetistheuptodatedocumentHardcopiesareuncontrolledandmaynotbeuptodateUsersofhardcopiesshouldconfirmtherevisionbycomparingitwiththeelectronicallycontrolledversionregionswhereULdoesbusiness,unlesstheStandardsstateotherwiseWerecognize,however,thatlaws,customsandpracticesdifferinsomecountriesandculturesItisimportantforyoutounderstandhowtheseStandardsworkwithlocallaws,customsandpractices•IfalocallawconflictswithapolicyintheseStandards,youmustcomplywiththelocallaw,uponpromptnotificationandacknowledgementbyUL’sGeneralCounsel•IfalocalcustomorpracticeconflictswithapolicyintheseStandards,youmustcomplywiththeseStandards•IfyourbusinessorregionhasabusinesspolicythatconflictswiththeseStandards,youmustcomplywiththeseStandardsTheseStandardsaretheminimumrequirementsthatmustalwaysbefollowedIflocallaw,policiesorbusinesspracticesrequireyoutomeethigherstandardsthantheseStandards,youmustdosoTheonlytimeyoumaydeviatefromtheseStandardsisifalawrequiresyoutodosoandUL'sGeneralCounselisnotifiedinadvanceoftheexceptionIfyouhaveanyquestionsorconcernsaboutthispolicy,contactanyoftheresourcesreferencedintheAskingforGuidanceandReportingConcernssectionaboveCONFLICTSOFINTERESTAconflictofinterestexistswhenapersonalinterestoractivityinterferesorappearstointerferewiththeinterestsoftheCompanyEventheappearanceofaconflictofinterestmaycauseotherstoquestionyour–andUL’sactionsandintegrityAllemployeesareexpectedtoactinUL’sbestinterestsandnottoletpersonalinterestsordividedloyaltiesinfluencetheirjudgmentWeallmustavoidconflictsofinterestandeventheappearanceofaconflictofinterestinboththeperformanceofourdutiesforULandinouroutsideactivitiesthatmayaffectULPotentialconflictsofinterestcanariseinmanysituations,including:•Doingbusinesswithfamilymembers•Havingajobatoramaterialfinancialinterestinanothercompanyinourindustry•Takingasecondjob•Managingyourownbusiness•Servingasanelectedlocal,regionalornationalofficial•Servingasadirectororofficerofanotherbus

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