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Code of Ethics and Business Conduct

Since we opened for business in 2001 we have built our global enterprise on a foundation of ethics, values and honesty. We have inherited a legacy from a group of professionals that lived nu the highest standards and professional conduct. It is our responsibility to protect and expand that legacy.

Rohde & Liesenfeld’s vision, mission, values and principles provide guidance in meeting this responsibility. Our values of quality challenge us to deliver innovative solutions and break through strategies and set new standard for excellence in everything we do. Our values of integrity and respect together with the commitments expressed in our principles are a foundation for expanding our business responsibility.

Maintaining our firm’s reputation and position as a global leader in our industry demands a commitment to excellence in service, ethical business practices and compliance with the law. The code of ethics and business conduct helps our employees meet this commitment. It addresses common compliance and ethics issues facing global businesses today and outlines the responsibilities we have to one another, to our clients, stakeholders, to the firm and to our industry.

This code applies to all employees, officers and directors in all Rohde & Liesenfeld (R&L) operating units, offices and subsidiaries worldwide. Third party representatives such a subcontractors, affiliates and agents who work on behalf of R&L, may also be requires to confirm their understanding and compliance with relevant provisions of the code as required by R&L compliance and ethics program and its internal control measures.

Our Vision

A global leader in freight forwarding that positions and established relationships for our clients with stakeholders in an increasing connected and complex world.

Our Mission

To provide logistics for freight to arrive on times in good condition.

We are dedicated to building long-term, rewarding partnerships that add value to clients and people.

Our Values

Quality – Excellence in services and people that drives long term growth and employee satisfaction

Integrity - Responsible, trust worthy partners who are respected industry

Respect – Positive relationships with our colleagues, clients and the communities in which we do business

Mutual benefits- Financial Success that rewards our firm, our employees and our clients

Our Principles:

Rohde & Liesenfeld is committed to honesty

Rohde & Liesenfeld is committed to transparency

Rohde & Liesenfeld is committed to fair dealing

Rohde & Liesenfeld ensures business activity aligns with the interests of all stakeholders: Clients, employees and parties with whom we interact.

Rohde & Liesenfeld strives to model best practices

Rohde & Liesenfeld does not violate legal obligations

Applying Rohde & Liesenfeld’s Principles to day-to-day business activities

By applying Rohde & Liesenfeld’s Principles to our business practices, we demonstrate our commitment to the pursuit of communication excellence based on the powerful standards of performance, professionalism, and ethical conduct. In doing so, we build public trust and protect the reputation of R&L, clients and our profession.

Rohde & Liesenfeld is committed to honesty

We build trust with the public by providing all information necessary for informed and responsible decision making

We adhere to the highest standards of accuracy and truth in advancing the interests of our clients and in communicating with the public
We do not intentionally disseminate false or misleading information or omit critical information that is essential to avoid misinformation
We take reasonable steps to evaluate the reliability and basis for claims, or other information, before releasing on behalf of our clients
We act promptly to correct erroneous communications for which we are responsible

Rohde & Liesenfeld is committed to Transparency

While a lack of transparency can sometimes yield short-term results, it can call into question the integrity of communications and create an unacceptable level of risk for our reputation and that of our clients. We do not act in a way that may appear to be an attempt to deceive public opinion.
We are open and transparent in naming the organization(s) and interests that we represent
We are prepared to identify the source of funding of any public communication we initiate or for which we act as a conduit
We do not pay or provide any other hidden reward in exchange for an expectation of service
We do not engage in campaigns that create or make use of any organization purporting to serve one cause while actually promoting a special or private interest that is not apparent.

Rohde & Liesenfeld is committed to Transparency

Employees, officers and directors deal fairly with clients, competitors, peers, vendors, public officials, the media and the general public. Promoting healthy and fair competition among professionals preserves and ethical climate while fostering a robust business environment.
We avoid false, misleading or exaggerated claims in advertising and marketing our skills and services and in soliciting professional assignments.
We do not mislead clients or colleagues about what can be competently delivered and achieved through public relations or other business activities.
We do not offer to pay or offer anything of value that could be interpreted as an attempt to fraudulently or unethically obtain or retain business. We ensure that business gifts and entertainment meet applicable legal, ethical and culture norms to preserve the free flow of un prejudiced information.
We do not disparage or act in a way that may deprecate the professional reputation of our competitors or their employees.
We follow ethical hiring practices designed to respect free and open competition without deliberate undermining a competitor. We respect valid non-compete or similar agreements.
We respect the right and preserve intellectual rights in the marketplace

Rohde & Liesenfeld ensures business activity aligns with the interests of all our stakeholders: clients, employees and other parties with whom we interact.

We serve the global interest by acting as a responsible freight forwarder for our clients. We provide a voice in the marketplace for ideas facts and viewpoints that facilitate informed public debate and decision making. Our business activities are guided by a balanced consideration of the interests of all out stakeholders, including our clients, employees and the general public. We do not unduly favor the interests of one to the detriment of another – or society at large.

We act in a manner that preserves the integrity of the channels of public communication. We respect the independence, rights, rules and guidelines established by the information media.
We are faithful to our client’s needs. We provide independent and objective counsel to our clients and act in their best interests.
We balance the needs of our clients with our obligation to serve the public interest and profession. We avoid taking any action that may discredit our client, our firm or our profession.
We do not represent any prospective client that requires actions that would violate our principles or this ethics code
We respect the customs, rules, practices and codes of conduct that apply to our industry and practice areas in all countries where we operate, including those relating to our clients, colleagues and fellow professionals
We support and respect the free exercise of human rights, the freedom of speech and of association, which affect the right of the individual to give and receive information. In doing so we help to maintain the public’s trust, which is essential for communicating clients’ messages effectively.
We protect confidential, privileged “insider”, or other sensitive information related to R&L and current, former and prospective clients. We do not disclose except on the order of a court or other regulatory agency acting within its jurisdiction, any confidential information without the consent of the relevant parties. We do not use such information to further our own interests.

Rohde & Liesenfeld strives to model best practices in all areas

We acquire and responsibly use specialized knowledge and experience. We advance the profession through continued professional development, research, and education. We build mutual understanding, credibility, and relationships among an array of institutions and audiences. We actively pursue professional development.

we accept and assign work for which practitioners are suitably skilled and experienced. Where appropriate, we collaborate on projects or obtain the necessary skill base or expertise to serve our clients’ needs.
We stay abreast of local, national, and world events, including cultural, business, and political issues, to enable us to provide well-informed counsel to our clients.
We stay informed and educated about practices in the profession to ensure ethical conduct.
We share information and experience about best practices with our fellow employees and associates so we can better serve our clients.

Rohde & Liesenfeld does not violate legal obligations

Obeying the law, in letter and spirit, is the foundation on which R&L's ethical standards are built. All employees must respect and obey the laws of the nations, regions, and cities in which we operate. The Code of Ethics and Business Conduct and other elements of R&L’s compliance and ethics program are intended to help raise employee awareness of the legal requirements that apply to our business. Employees should be aware of situations that may require input from supervisors, managers, the global compliance officer or the office of the general counsel about the legal requirements that apply to their jobs. We do not condone any act that violates the law, even when such action appears to be in a client’s best interests.

Day-to-Day Situation Guide

The Code of Ethics and Business Conduct provides good operating guidance for our business as a whole. However we are often confronted with issues that are unique to our role as communications counselors that merit closer examination and direction. To that end, R&L developed the Day-to-Day Situation Guide. All R&L employees must read and understand the situation guide and apply its insights to their practice needs.

Our responsibility to one another

A global network of professionals dedicated to supporting one another to meet the needs of clients and other stakeholders is fundamental to R&L’s success. In an increasingly interconnected world, the action of any one employee can reflect on the rest of the firm.

Doing the right thing is everyone’s responsibility. It’s up to you and the people with whom you work to understand and comply with each of the following in carrying out your duties:

Our Vision, Mission, Values, and Principles
Laws and regulations that apply to your job
Company policies and procedures, including the Code of Ethics and Business Conduct
Client contract provisions (contact your client relationship manager for information on contractual requirements)

Sometimes the correct course of action is not evident as laws and regulations are often complex and answers to ethical dilemmas are not always clear-cut. Our policies and the Code of Ethics and Business Conduct may not cover every possible situation you may encounter in the workplace. To that end, when the right choice of action is not apparent, remember to always

ASK BEFORE YOU ACT

If you are asked to do something or witness an activity that may be considered unethical or against the law, against company policy, or against the Code of Ethics and Business Conduct, you are expected to report your concerns to management as described below. Failure to identify and respond to issues can put you, the firm, and our employees at further risk. If you are aware of illegal or unethical conduct but fail to report it, you may be subject to disciplinary action, where allowable by law. Under some laws you may even be subject to legal action. Employees who violate the standards in this ethics code may be subject to disciplinary action up to and including termination of employment as allowable by law. Claiming that you were following management’s instruction or common practice is not an excuse, nor is claiming that an illegal action is not enforced or is accepted by local culture. You are accountable for ensuring your actions live up to R&L’s standards and expectations.

Reporting Your Questions or Concerns

R&L is committed to responding to its employees’ questions and concerns. If you see illegal or unethical behavior in the workplace, say something. Whenever possible, discuss your questions or concerns with your supervisor first. This is usually the quickest and most direct way to resolve an issue. If you are not comfortable doing so in person, file a report on R&L’s employee website.

The Mirror Test

We must avoid even the appearance of unethical or unlawful behavior. Before taking any action on behalf of R&L, ask yourself the following questions to better understand how the proposed action or decision may be perceived:

What to Expect From Your Managers

The Code of Ethics and Business Conduct can be effective only in a corporate culture that is committed to compliance and ethical business practices. Edelman’s management team plays a crucial role in cultivating this culture. Our managers are expected to:

Live the R&L vision, mission, values and principles
Demonstrate an uncompromising commitment to ethical and legal business practices
Demonstrate consistency between words and actions
Ensure that employees implement the policies, procedures, and internal controls that apply to their positions
Respond consistently and appropriately to violations of our policies, the Code of Ethics and Business Conduct, and applicable laws and regulations
Listen and respond appropriately to questions and concerns that are voiced by our employees

Strengthening our Workplace -Discrimination and Harassment

The diversity of the firm’s staff is a corporate objective. We are committed to providing equal opportunity in all aspects of employment and will not tolerate illegal discrimination or harassment of any kind. Edelman's policy strictly prohibits sexual harassment, retaliation, and harassment because of race, color, national origin, ancestry, citizenship, sex, religion, creed, age, disability, sexual orientation, marital status, military service, or any other basis protected by national, regional, or local laws. Please refer to R&L’s policy on harassment and sexual harassment (www.roliprojectssafety.com)

Ask yourself Is it legal?

Would I make the same decision if I knew it would be disclosed in the newspapers, on TV, or on the Internet?
Would our clients approve?
Would I be comfortable telling my co-workers, family, and friends? If you can answer “yes” to all of these questions, you are on the right track.

Confidentiality and Privacy

The nature of our work often gives us access to confidential information that is not available to the public, which, if disclosed, could be useful to competitors or harmful to the firm or its clients. We may become aware of confidential information while serving our clients or having access to intellectual property and other sensitive R&L information, including client lists, contacts, proprietary tools, and trade secrets Support employees may also have access to confidential internal financial, medical, employee, or supplier information. Before starting their employment at Edelman, all individuals must sign a nondisclosure agreement in which they pledge to maintain the confidentiality and security of confidential or otherwise qualified information entrusted to them by the firm or its clients. Exceptions are granted only when authorized by the general counsel or permitted by local laws or regulations. In handling material between Edelman and clients, employees should use reasonable efforts to keep all such information and materials confidential.

Limit access to confidential information to those who need to know it in order to fulfill contract terms or complete their job responsibilities.
Be careful about discussing sensitive information in public places, like elevators, restaurants and airports.
Secure memos or other documentation containing confidential information.
Always consider confidentiality, privacy, and the need to know before distributing and forwarding correspondence, announcements, or other communications, including e-mail messages, to internal or external parties.

Take particular care in corresponding with outside parties. Do not forward internal-mail messages to outside parties without the knowledge or consent of your general manager. Employees in violation of this policy may be subject to appropriate disciplinary action, up to and including termination as allowable by law

Record Retention

Corporate records are important assets of the firm. These include all records that we produce, whether paper or electronic, related to R&L business. A record may be as obvious as a memorandum, an e-mail, a contract, or a case study or as seemingly insignificant as a computerized desk calendar, an appointment book, or an expense record. The law requires that companies maintain certain types of corporate records for specified periods of time. Failure to do so could subject you and the firm to penalties and fines, cause the loss of legal rights, obstruct justice, spoil potential evidence in a lawsuit, place the firm in contempt of court, or put the firm at a serious disadvantage in litigation. R&L expects all employees to fully comply with any published records retention or destruction policies and schedules. The firm’sRecord Retention Policy, including applicable retention periods, is posted on the employee Web site

Failure to comply with our document retention policies may result in disciplinary action against the employee, including suspension or termination as allowable by law. Questions about this policy should be referred to the office of the general counsel.

Billing and Expense Reporting

In any service business, accurate client billing based on the terms provided in the contract with the client is essential. All employees must diligently follow R&L’s policies and procedures and our client contractual provisions to ensure that we bill our clients appropriately.

Hours

R&L requires that all hours spent working be recorded. Only actual hours worked should be recorded and allocated to the appropriate client or charge code. Timesheets should be filled out daily. In circumstances where this is not feasible, timesheets should be filled out weekly.

Allocation of hours to various projects and activities must be accurately entered into the system. Billing transfers among projects and activities should be made only to correct data entry errors and never to misrepresent where hours were worked

Embargo Laws

Embargos are common tools used in political interactions for resolving conflicts. Each country has the right both to impose such sanctions and to determine whether it recognizes the sanctions of other countries or the United Nations. We must comply with laws regarding such sanctions that apply to our operations and business relationships

If there appears to be an inconsistency or conflict between the sanction policies of the government where your office is located and those of the Canada. that could affect a client engagement, you must contact the global compliance officer or the office of the general counsel for guidance before agreeing to or performing any work for the client.

Anti-Money Laundering

Money laundering laws prohibit engaging in any financial transaction if it is known that the funds used in the transaction were derived from illegal activities. They also can apply to efforts to conceal the identity, source, or destination of money. We must be transparent and complete in recording and documenting all transactions, and ensure that the underlying activities, sources, and destinations of the funds comply with applicable laws and regulations.

Investigations, Audits and Government Reporting

Investigations and audits are a part of business activity. Financial audits validate the integrity of the financial information needed to make business decisions. Investigations are sometimes necessary to address employee questions or concerns or respond to litigation or governmental inquiries. Our firm also is required to file routine reports to various regulatory agencies. Audits and investigations may be conducted by internal personnel such as our human resources, legal, compliance, or internal audit departments, or by financial auditors or governmental regulators. All employees are expected to cooperate fully with audits and investigations. Information provided to an investigator or included in a governmental filing must be factually correct. Never attempt to mislead or fraudulently influence an auditor or investigator or governmental official or agency. Do not alter, modify, or destroy information, or documentation relevant to an actual, threatened, or pending investigation.

Our firm must protect its rights in the case of investigations or litigation. If you are contacted by a government regulator or outside attorney about litigation or an investigation, contact the office of the general counsel

Personal Political Activates

Employees are free to engage in personal political activities, including political campaigns and candidates of their choice. It is important to follow these guidelines to ensure that your personal actives are not associated with R&L due to laws regulating corporate political contributions.

Make it clear that your views and actions are your own and do not reflect those of R&L.
Do not make political donations in R&L’s name or in any way that implies that the contribution is associated with R&L.
Employees may not be reimbursed by R&L for personal political contributions.
Do not use R&L’s equipment, supplies, or other resources for personal political activities.
R&L cannot pay for your time for your personal political activities. Use vacation or take an unpaid leave of absence (with your manager’s approval) to work on a political campaign

Code of Ethics Certification

Every employee must sign an acknowledgement form to confirm their understanding and commitment to comply with the Code of Ethics and Business Conduct. This form is to be maintained in the employee’s personnel file.

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2017-02-28 11:01:14 MST

Code of Ethics and Business Conduct Uploaded by Jan Beringer Bryan - [email protected] IP 204.237.80.62