Our Guiding Principles (Code Of Conduct)

Zoomlion Ghana Limited

Code of Conduct


“Our Guiding Principles”

Pocket Version

Contents

MISSION, VISION AND VALUES    3
MESSAGE FROM THE EXECUTIVE CHAIRMAN, ZOOMLION GROUP    4
INTRODUCTION    5
ETHICS & INTEGRITY    6
GOVERNANCE AND ANTI-CORRUPTION    8
CONFLICTS OF INTEREST    11
COMMUNICATIONS AND MEDIA RELATIONS    12
FRAUD, ILLEGAL ACTS AND RELATED MISCONDUCT    13
WHISTLE BLOWING    14
MONEY LAUNDERING PREVENTION    15
ANTI-TRUST    16
RECORDS MANAGEMENT    17
TRAVEL POLICY    18
DISCIPLINARY POLICY    19



MISSION, VISION AND VALUES
 

Our Mission

To be at the forefront of the environment and utilization services industry, by the introduction and utilization of simple but modern technologies and methods of waste management at affordable and competitive rate.


Our Vision
Champion of clean, green and healthy Communities

Corporate Values
At Zoomlion Ghana Limited, we cherish the following values or guiding principles:
•    Godliness and Fellowship
•    Integrity
•    Discipline
•    Accountability
•    Speed and Accuracy
•    Simplicity in Innovation



MESSAGE FROM THE EXECUTIVE CHAIRMAN, ZOOMLION GROUP


One of our most important assets is our reputation for ethical behavior, honesty and fair dealing. As you know, reputation is a very fragile asset that can easily be destroyed by the actions or failures of one or more of us. Because of unprecedented scrutiny on corporate behaviour and stringent regulatory requirements on our operations, we need to emphasize and reinforce our commitment and adherence to these Standards.

Zoomlion Ghana Limited’s Code of Ethics and Business Conduct is your guide to your ethical and legal responsibilities with respect to your status as an employee, as well as your dealings with our customers, competitors, and suppliers. Each employee is personally responsible and accountable for helping Zoomlion Ghana Limited maintain its reputation for the highest standards of integrity.  Especially in times of rapid change, we need to earn the trust and loyalty of others. There are no shortcut formulas or automatic answers to the choices we have to make in business today, however, we should decide on ways that are consistent with the Company’s values.

This Code of Ethics and Business Conduct reinforces our values and should be used as a tool to help you make the right decisions and resolve ethical issues you may encounter. It has been designed to be a year round resource and I encourage you to refer to it often.
Zoomlion Ghana Limited will consider disciplinary action including possible dismissal in cases of gross negligence and breach to the code.

Remember any success we achieve if not achieved ethically is no success at all. Thank  you all for being part of the Zoomlion family and for upholding the company’s values.

Sincerely,

Signed

Dr. Joseph Siaw Agyepong
Executive Chairman




INTRODUCTION

Zoomlion Ghana Limited’s Code of Conduct entitled “Our Guiding Principles” covers a wide range of rules, regulations, procedures and policies articulated in one document. This Code of Conducts sets out principles to guide all employees of Zoomlion Ghana Limited on how to conduct themselves accordingly and seek to avoid the appearance of improper behavior. The content of this code also applies to temporary, contract, casual and part-time staff employed by Zoomlion Ghana Limited.

Zoomlion Ghana Limited is fully committed to the principle of honesty, integrity and fair play in all its service delivery and activities. All employees should ensure that businesses of Zoomlion Ghana Limited are dealt with in an open, fair and impartial manner and are in compliance to relevant laws.

Zoomlion Ghana Limited is accountable to clients, venders, suppliers, Government of countries where they operate, board of directors, management and all its members in the conduct of its activities.

All employees are expected to comply with the code. Where the code is silent on any issue, the Group HR Policies as well as Employee terms and conditions of employment shall apply.

The full/main Code of Conduct remains the controlling document on issues on Ethics and Compliance.


ETHICS & INTEGRITY

Employees are to observe these ethical principles in carrying out their duties.
 
•    All employees must exercise the highest level of integrity, ethics and objectivity in actions and relationships which may affect Zoomlion Ghana Limited.

•    Employees must not misuse the authority or influence of their position where they represents or negotiates on behalf of Zoomlion Ghana Limited.

•    The group is committed to protecting employees, partners, vendors, suppliers and the company from illegal or damaging actions by individuals either knowingly or unknowingly.

•    We do not tolerate harassment or discrimination during business engagements.

•    The unauthorized use of the Group’s trade secrets, marketing, operational, personnel, financial and technical information shall not be tolerated.


Ethical Decision making tools

•    Is it in accordance with Zoomlion Ghana Limited Practices and Polices?
•    Is it legal?
•    What do my colleagues/Manager/HR Director/Compliance Officer think?
•    How would I feel about telling someone else what I had done?
•    How would our client react?
•    How would Zoomlion Ghana Limited feel if this was reported in the National newspaper?
•    To what extent will this affect the environment?


Employee Complaints and Grievances

Any employee who believes he or she has been subjected to or has witnessed conduct prohibited by the company’s Policies must immediately report that behavior to one of the following:
•    The employee’s immediate supervisor or next higher level manager.
•    Supervisors, managers and team leaders must immediately report any actual or perceived violations of this policy to Human Resources.

•    the Corporate Human Resources

•    The Compliance Department at:

o    Vodafone Fixed Line & Mobile Numbers (Toll Free): +233-(0)800-10022 (8.00am – 6.00pm on weekdays only)

o    Expresso (Toll Free): +233-(0)28-9009000 (8.00am – 6.00pm on weekdays only)

o    MTN (Paid): +233-(0)244-359035; +233-(0)544-357820 (8.00am – 6.00pm on weekdays only)

o     Email: ethics@kpmg.com.gh; wb@zoomlionghana.com

•    Company Lawyer at (+233-020 840 1611)

•    An anonymous compliant may be made via the suggestion boxes.

Retaliation against any employee for reporting policy violations, or for testifying, assisting or participating in any manner of investigation is strictly prohibited. Any employee who believes he or she has been subjected to or has witnessed retaliation must immediately report the alleged retaliation to the employee’s immediate supervisor, human resource manager, company lawyer, or the head of compliance.

Confidential or Proprietary Information

All employees are required to sign a Confidentiality Agreement at the time of hire which obligates employees to protect the confidential and proprietary information of Zoomlion Ghana Limited.

With respect to confidential information of Zoomlion Ghana Limited, employees must;
•    Not disclose confidential information in any form.
•    Protect confidential information through its creation, storage, usage, transmittal, retention, and disposal.
•    Share Zoomlion Ghana Limited confidential information only with those who have a business need to know the information.
•    Promptly report any actual or suspected unauthorized access to, or disclosure of confidential information.
 
Employees can also help protect confidential information by avoiding;
•    Sharing confidential information with friends and family;
•    Talking about confidential information in public places where you can be overheard;
•    Leaving confidential information unattended at your desk, within facilities, in public areas, etc.

Employees must ensure they obtain approval from relevant authorities before dissemination of written or verbal confidential information to the public.




GOVERNANCE AND ANTI-CORRUPTION

Zoomlion Ghana Limited has zero tolerance for corruption. All employees must never offer to provide anything of value directly or indirectly to government officials and business partners to secure an undue advantage. Zoomlion Ghana Limited prohibits payment, offers of payment as well as anything of value directly or indirectly with the purpose of influencing or obtaining undue business advantage. Prohibited payments include:

•    Payments securing an improper advantage, including a decision to select Zoomlion Ghana Limited  to provide any products or services, or to provide Zoomlion Ghana Limited with more preferential terms, including, but not limited to, providing any confidential, proprietary or competitor information that may provide Zoomlion Ghana Limited  an improper advantage;
•    Payments to influence any act or decision of a government employee in his or her official capacity;
•    Payments to induce a government employee to perform or fail to perform any act;
•    Payments inducing a government employee to use his or her influence with a government or government instrumentality to affect or influence any act or decision of a government or instrumentality; and
•    Payments inducing a government employee to perform a routine duty or service commonly referred to as "facilitating payments". Refer to policy document on facilitation payments for more information.
During the course of business, Zoomlion Ghana Limited representatives must comply with all applicable anti-bribery laws and regulations.

Third Parties will only be contracted to perform tasks which aid business interests provided:
•    Fees to be paid are reasonable
•    All arrangements are clearly documented
•    Arrangements are in compliance with Zoomlion Ghana Limited’s policies

Monitoring of this policy will be done through scheduled, as well as random, anti-corruption audits.

Consequences/Penalties  

Violations may result in criminal and civil exposure, including imprisonment and other severe penalties for Zoomlion Ghana Limited as well as each employee involved.  

By law, fines imposed on individuals for violation of anti-corruption laws and regulations cannot be paid by Zoomlion Ghana Limited, but rather the individual committing the violation.  

In addition, Zoomlion Ghana Limited will discipline the employee involved, up to and including termination.



Anti-Bribery/Gifts and Entertainment

Employees of Zoomlion Ghana Limited must not solicit, accept, offer, promise or pay a bribe, either directly or through a third party. This includes so called “facilitation payments”.

Accepting Gifts and Entertainment
1.    Do not solicit, accept, offer, promise or pay a bribe either directly or through a third party. This includes “facilitation payments”.
2.    Do not give or accept anything offered in exchange for something from. Any gifts or entertainment offered to Zoomlion Ghana Limited’s employees by a third party in connection with the purchase of the third party’s good or services must be reported to the Compliance department.
3.    Do not accept transportation, travel expenses or accommodations for trips that are not business related.
4.    Do not offer or accept donations for parties, including going-away parties.
5.    Do not solicit or accept personal discounts that are not available to all Zoomlion Ghana Limited employees or available to the general public.
6.    Do not offer or accept personal rebates or refunds that are a result of Zoomlion Ghana Limited purchases.
7.    Do not offer or accept excessive or inappropriate meals or entertainment. Generally, an excessive amount would be an amount you would not normally spend on yourself.
8.    Do not offer or accept alcohol for consumption on Zoomlion Ghana Limited premises.
9.    Gifts or favors should be in compliance with the policies and standards of conduct of the organization employing the recipient of the gift.
10.    Gifts provided should not give the appearance of unduly influencing, obligating the recipient or providing an improper advantage to Zoomlion Ghana Limited.
11.    Gifts or entertainment should not reflect adversely on Zoomlion Ghana Limited or the recipient’s company and the gifts should be given openly.
12.    The gift or entertainment should be accurately accounted for in the employee’s expense report and on Zoomlion Ghana Limited’s books and records.
13.    If you have questions regarding whether or not to accept or offer a gift or invitation, consult with the Compliance department.  


Gifts and entertainment for government officials

•    Employees are not to authorize, offer, or give any gift or entertainment of value to any government official, either directly or indirectly, with the intent of influencing the award of a contract or other favorable treatment.


Refer to the Anti-bribery/Gifts and Entertainment Policy for further details.

Political Activities

Zoomlion Ghana Limited encourages all employees to participate in national political process.

•    Employees may request time off without compensation for official Election Day activities, such as serving as election judges or non-partisan poll watchers.
•    An employee who is, or seeks to be, a candidate for any government office should make that known to Zoomlion Ghana Limited for appropriate decision to be made.
•    No corporate political contributions will be made to candidates seeking political positions.
•    Contributions made by any employee must be made on a personal basis
•    No employee may solicit campaign funds from other employees on behalf of Zoomlion Ghana Limited.


Contact the Chief Compliance Officer for all other details and further guidance on political activities and approval on corporate political contributions.


Charitable Contributions

This policy ensures that all Zoomlion Ghana Limited contributions are aligned with business and social responsibility goals and are within budget and resource limitations.

•    Contributions must be made from a budget allocation approved by executive management.

•    Contributions must only be made to legitimate charitable organizations.

•    Zoomlion Ghana Limited’s contributions will be towards charitable, welfare, health and sanitation, education, and other types of non-profit institutions situated in communities in which Zoomlion Ghana Limited operates.

Contributions of any kind, including goods, services, fees and memberships, to the following types of organizations are prohibited:

•    Political,
•    Labor,
•    Sectarian,
•    Religious,
•    War veterans', unless the undertakings for which they are seeking funds are for the general welfare of the community,
•    Charities specified by, or that would personally benefit, a government official even if the charity is legitimate.


CONFLICTS OF INTEREST

Employees must ensure that their actions and Business decisions are based on the best interests of Zoomlion Ghana Limited and must not be motivated by personal considerations or relations.

•    Employees must avoid any personal interests that influence their ability to act in the best interest of Zoomlion Ghana Limited.

•    Employees may only give or receive gift of nominal value

•    Employees must disclose all family ties that may cause an actual or perceived conflict of interest to the compliance department.

•    Employees may not participate in activities where a personal financial stake may influence his/her ability to make objective judgment on behalf of Zoomlion Ghana Limited.

•    Employees must seek appropriate guidance on situations that creates or appears to create a conflict of interest.

•    Employees may not fraternize with other employees within the same chain of command.

•    Employees must avoid disclosing or using confidential information concerning any aspect of Zoomlion Ghana Limited for personal benefit.


COMMUNICATIONS AND MEDIA RELATIONS

This policy provides guidance to employees regarding appropriate internal and external communications pertaining to Zoomlion Ghana Limited.

•    Communication of company-wide issues or other special communication initiatives require prior review and approval from the Communications Department or the Company Lawyer.

•    Employees must coordinate with the communications department before publicly speaking about or on behalf of Zoomlion Ghana Limited,

•    All calls from customers, businesses and trade media for any information must be referred to the Communications department.

•    Employees must not provide the public, including the media, with confidential information at any time unless in compliance with the Fair Disclosure policy.

•    Comments and Information about Pending legal matters, individual employees or retirees, and the Company’s position on political, legislative, or governmental issues should not be provided to the public.

•    If an employee sees any incorrect information in the media or public, they are encouraged to report this to the Communications Department who will help to post a correction.



FRAUD, ILLEGAL ACTS AND RELATED MISCONDUCT


Zoomlion Ghana Limited expects its employees and related persons to act in compliance with all applicable laws while conducting business for the company.  
Employees have a duty to report incidents of suspected fraudulent wrongdoing.

Employees may report any such incident in a timely fashion to either:
•    Their immediate Supervisor or Manager;

•    The Human Resource Manager;

•    The Compliance Department at:

o    Vodafone Fixed Line & Mobile Numbers (Toll Free): +233-(0)800-10022 (8.00am – 6.00pm on weekdays only)

o    Expresso (Toll Free): +233-(0)28-9009000 (8.00am – 6.00pm on weekdays only)

o    MTN (Paid): +233-(0)244-359035; +233-(0)544-357820 (8.00am – 6.00pm on weekdays only)

o     Email: ethics@kpmg.com.gh; wb@zoomlionghana.com

•    Company Lawyer at (+233-020 840 1611)

•    An anonymous report may also be placed in the suggestion box.

An employee’s request for anonymity will be honored to the extent possible without compromising Zoomlion Ghana Limited's ability to conduct a proper investigation
Failure to report such incidents may obstruct the investigation of these incidents.
Any employee or related person of the Group who is found to have attempted, committed or engaged in any illegal act will be subject to discipline.



WHISTLE BLOWING  

Employees are expected to and must report all knowledge or suspicion of wrongdoing to Zoomlion Ghana Limited’s designated whistle blower reporting officer without fear.


Reportable conduct

Employees should report conducts by other employees or related persons which in their view is:

i.    Dishonest
ii.    Fraudulent
iii.    Corrupt
iv.    In breach of state legislation or regulations, or local authority by-laws
v.    A failure to comply with any obligation of Zoomlion Ghana Limited’ Code of Conduct, other internal policies or generally
vi.    Serious improper conduct
vii.    An unsafe work practice which involves substantial risk to health and safety of employees or the public
viii.    Bullying or harassment
ix.    Gross mismanagement or gross negligence
x.    Serious and substantial waste
xi.    Repeated instances of breach of administrative procedures
xii.    Any other conduct which may cause financial or non-financial loss to the Zoomlion Ghana Limited or to be otherwise
xiii.    Any deliberate concealment relating to any of the above
Unless otherwise determined by the Board of Directors, employees can disclose their suspicions to

•    The Chief Compliance Officer,
•    the Company Lawyer, and
•    the Human Resource Manager
•    Employees may in very serious instances make their suspicions known directly to the C.E.O

Employees can report any conduct without disclosing their identity through writing or e-mail to any of the personals stated above.
 
Employees who report conducts must maintain a duty to keep that information confidential and not disclose to any person outside the Group.
Employees who report such wrong conducts are also assured that their interest and identity will be safeguarded by the whistle lower officer they report to.
No employee who reports a misconduct shall be dismisses, demoted or otherwise be disadvantaged because of disclosing a misconduct, provided the disclosure is in accordance with this policy.
Employees who deliberately make malicious reports they know to be false shall be subject to disciplinary measures.
MONEY LAUNDERING PREVENTION

Money Laundering is the process used to move cash or other funds generated from illegal activities in order to make the money appear legitimate.
Employees must report all knowledge or suspicion of money laundering to the company’s Chief Compliance Officer.

Employees are to note, observe and report certain acts on the part of third parties which may be signs of money laundering. These acts may include;
•    the third party having no interest in price discounts

•    the person unwilling or unable to give basic information about the company or its customers

•    the person being known for questionable business practices

•    unusual price mixes

•    the third party has no business infrastructure, e.g., no office, phone number, letterhead, and record keeping

•    the third party does not response to main business phone number

•    No financial reports available (income statement, balance sheet)

•    The person offering to pay with large sums of cash

•    Customer seeks to pay with money orders, traveler's checks, cashier's checks, foreign drafts, third party checks or checks written on the account of an unrelated third party

 

 ANTI-TRUST

This policy prohibits employees of this company from participating in or collaborating with competitors to limit the competition in the market.
Every personnel of this company in carrying out his/her duties must avoid conniving with competitors on issues of;
•    price fixing
•    market allocation
•    group boycotts
•    bid-rigging/collusive tendering


RECORDS MANAGEMENT


This policy applies to every record in any format owned, created, managed or maintained by every employee at any location.
Employees of this company are obligated to ensure that accurate and complete records within their area of responsibility are generated and managed properly.
Employees may not store company data on external devices such as personal computers, USB drives, CDs etc. without written approval from senior management.
Records that pertain to Zoomlion Ghana Limited’s business are considered company property, even if they are labeled “personal” or “confidential.”

Employees are to direct legal and any formal request for information by third parties to the compliance department  
No official record may destroyed without documented approval signatures.


TRAVEL POLICY

All travels and its related expenses incurred must be necessary to the business of the Zoomlion Ghana Limited.

•    All business related travels must be recommended by employee’s line manager in advance and approved by the Chief Executive Officer.

•    All ticketing and travel issues including accommodations should be coordinated through the travel department.

•    Zoomlion Ghana Limited requires employees to submit in a timely manner (within 30 days) their travel report and receipts for reimbursable expenses to the travel department.

•    In order for an expense to be reimbursed, it should have been made in carrying out the business of Zoomlion Ghana Limited.

•    Expenses that are personal and not relate to the business of the Group will not be reimbursed.

•    Employees who use their personal vehicles for pre-authorized company business may claim reimbursement per mile travelled.



DISCIPLINARY POLICY


This policy also outlines the process that will be used if you fail to achieve and maintain the required conducts and competence.

Non-compliance to all relevant policies including the disciplinary policy could result in dismissal.

Disciplinary Procedure
•    The manager will initially issue a query letter to the worker to understand the facts surrounding the issue.
•    Following the response from the query letter an initial fact finding or investigative meeting could be held with the worker to further ascertain the facts of the issue at hand.

Hearing Process
•    The committee chair (a senior manager) will explain the purpose of the hearing, the nature of the complaint and the possible disciplinary sanctions which may result from the hearing.
•    The HRM will facilitate the process and minutes will be taken.

Appeal Process
•    Employees of Zoomlion Ghana Limited will have the right to appeal against any disciplinary sanctions imposed on them
•    A worker who wishes to appeal must do so within 5 working days of receiving the disciplinary outcome letter, copying all relevant parties copied in the original letter.
Refer to the Zoomlion Ghana Limited Disciplinary Handbook for further details.

Compliance with the Code

It is the personal responsibility of every employee of Zoomlion Ghana Limited to read, understand and comply with the Code of Conduct and all policies articulated therein.


Violation of the Code of Conduct

The policies and guidance covered in the Code of Conduct are of utmost importance to Zoomlion Ghana Limited. All employees are expected to adhere to these rules in carrying out their duties.

Zoomlion Ghana Limited will take appropriate action against any employee whose actions are found to violate this code.  
Disciplinary action may include dismissal, termination of appointment suspension from duty without pay, surcharge, demotion and any other Zoomlion Ghana Limited deems fit.

Where the Group suffers a loss, it may pursue its remedies against the individual responsible. Where National Laws of Ghana are violated, the Group will fully cooperate with the appropriate authorities.