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Table ofCONTENTSA Message from Our CEO. 3Our Values. 4Our Commitment Under the Code. 5How to Use Our Code. 5How to Report a Concern or Ask a Question. 6Handling of Reports and Investigations. 7Compliance with Applicable Laws and Ethical Standards. 7Enforcement. 7Waiver. 7Our Commitment to Ethics and the Law. 8Anti-Bribery and Anti-Corruption. 8Gifts and Hospitality. 9Political Contributions and Lobbying Activities. 9Insider Trading and Securities Laws. 10Restrictive Trade Practices and Controls. 10Antitrust and Competition Laws. 11Legal Review of Contractual Obligations. 11Our Commitment to Our Workplace. 12Health, Safety and Environment. 12Employment Practices. 13Workplace Violence. 13Substance Abuse (Drugs and Alcohol). 13Our Commitment to Our Company. 14Conflicts of Interest. 14Financial Reporting and Internal Controls. 15Retention of Business Records. 16Protection of Property, Assets, Data and Information. 16Our Commitment to Our Community. 18Human Rights. 182 Page
A Message fromOUR CEOAt Occidental, what we do is important — and how we do it is even more so. Asa leading energy and commodity chemicals company committed to advancinga lower-carbon future, we work hard to earn the high regard of our partners,investors and other stakeholders around the world. We are committed toconducting our business in a manner that safeguards our employees, protects theenvironment, benefits neighboring communities and strengthens local economies.We demand integrity and personal accountability at every level of the companywith an unwavering commitment to safety and environmental stewardship. As arepresentative of Occidental, you are expected to act with honesty and strongmoral principles while conducting business dealings with colleagues, vendors,partners, government officials and others.The Code of Business Conduct (the Code) embodies Occidental’s undividedcommitment to the principles we use to conduct our business. The Code affirmsOccidental’s obligation to high standards of conduct and reinforces our businessethics, policies and procedures. In many instances, the Code goes beyond therequirements of the law because we value Occidental’s reputation in the community.All Occidental employees, our Board of Directors and anyone representingOccidental – without exception – have a responsibility to read, understandand comply with the principles contained in the Code. This includes reportingcompliance concerns when they arise. Occidental has a policy of non-retaliation– no employee with questions or concerns regarding compliance will be retaliatedagainst for bringing these concerns forward in good faith.Thank you for your continued commitment to adhering to Occidental’s Code ofBusiness Conduct.Vicki HollubPresident and Chief Executive OfficerSeptember 1, 20203 Page
O U RV I S I O NWe will lead the industry by reaching for the impossible, then achieving it. Wedo this by having the right assets in the hands of remarkable people driven bya passion to outperform.O U RV A L U E SLead with PassionWe love what we do and make sure it shows.We aim to revolutionize the industry.Outperform ExpectationsWe demand excellence from ourselves always.We think boldly so we can go farther, faster.Deliver Results ResponsiblyWe hold ourselves accountable. We never stopbuilding value.Unleash OpportunitiesWe unlock potential others don’t see. We takecalculated risks others won’t dare.Commit to GoodWe do the right thing no matter what. We takecare of each other, our company and our world.4 Page
Our CommitmentUNDER THE CODEAt Occidental, we believe the ethical requirements contained in this Code of BusinessConduct (the Code) are vital to the success of our Company and its shareholders. TheCompany’s Board of Directors (Directors) adopted the Code and designated the AuditCommittee to ensure that the Company maintains appropriate ethics and compliancepolicies and procedures. The Chief Compliance Officer, with the advice and supportof the Corporate Compliance Committee and oversight by the Audit Committee, isresponsible for the implementation and enforcement of the Code. The Company’s seniormanagement is responsible for ensuring that the Code and the Company’s policiesgovern all business activities.All employees, Directors and anyone else who represents our Company must complywith the Code. You should set an example of ethical behavior and compliance throughyour own conduct, as well as in your interactions with co-workers and oversight of anysubordinates or third parties acting on behalf of the Company. Any illegal or unethicalaction, or the appearance of misconduct or impropriety by anyone acting on theCompany’s behalf, is unacceptable.How to Use Our CodeThe Code cannot address every situation that may arise and should be used as aresource for general guidance. In addition, your particular business unit or entity mayhave its own policies and procedures that you must follow. For additional information,you should use the reporting channels listed in the Code, as well as the functionaldepartments and Company policies referenced throughout the Code. Companypolicies and contact information for department representatives can be obtained fromsupervisors or through the Company’s intranet site.Read the Code in its entirety and think about how it applies in all that you do forour Company. When confronted with a difficult situation, ask yourself the followingquestions before taking action: Is this action legal, ethical and socially responsible? Does this action comply with both the spirit and the letter of the Code? Will this action appear appropriate when viewed later by others? Is it clear that the Company would not be embarrassed or compromised if thisaction became known within the Company or publicly?Unless you can answer these questions with a “yes,” do not take the action and askyour supervisor or contact the Legal Department.5 Page
Our Commitment UNDER THE CODEHow to Report a Concern or Ask a QuestionYou are encouraged to ask questions and expected to report concerns of suspectedor actual violations of the Code to the appropriate person or group. Raising suchconcerns protects our Company, our employees and other stakeholders. As detailedbelow, the Company prohibits retaliation against anyone who brings questions orconcerns forward in good faith. We want to ensure that our conduct meets thehighest legal and ethical standards, and we can only do that if people have thecourage and commitment to report suspected wrongdoing.The Company has established several reporting channels:1. Supervisors/Managers: Your supervisor, manager, department head or anymember of management.2. Human Resources: Your Human Resources Representative.3. Compliance Officers: A Segment Compliance Officer, the Director ofCompliance or the Chief Compliance Officer. To identify and contact aCompliance Officer, use any of the following sethicscomplianceOxy ComplianceLine@oxy.comOccidental Petroleum CorporationAttn.: Chief Compliance OfficerPersonal and Confidential5 Greenway Plaza, Suite 110Houston, Texas 770464. Integrity Helpline: The helpline is the Company’s anonymous, confidentialreporting system maintained by an independent third party that immediatelyrefers all reports to the Chief Compliance Officer.The helpline is available 24 hours a day/7 days a week and can be accessed byanyone wishing to make a report online or via telephone. Reports can be madein many languages, including Arabic, English, French and Spanish. The helplinealso allows for follow up on reports, even if made Canada Toll-free: 1 (800) 699-7702Non-U.S. Local Collect: 1 (704) 973-03465. Corporate Compliance Committee or Audit Committee: The CorporateCompliance Committee, made up of senior executives of the Company, orAudit Committee of the Board of Directors may be contacted if you feel thatappropriate action has not been taken using the reporting channels above.Concerns reported directly to the Corporate Compliance Committee or AuditCommittee should be marked “Confidential” and addressed to the Chairman ofthe Corporate Compliance Committee or Audit Committee, c/o General Counsel,Occidental Petroleum Corporation, 5 Greenway Plaza, Suite 110, Houston, Texas77046.6 Page
Our Commitment UNDER THE CODEHandling of Reportsand InvestigationsCompliance with ApplicableLaws and Ethical StandardsWe are committed to reviewing and responding to allmatters that may violate our ethical and compliancestandards contained in the Code and Companypolicies. This includes promptly conducting fair andthorough investigations tailored to the circumstancesand taking appropriate remedial steps as warranted,including disciplinary action.We conduct our business in accordance with all U.S.and non-U.S. applicable laws, rules and regulations andin a manner that reflects the highest ethical standards.Therefore, you must ensure that you understand andcomply with the laws, rules, regulations and policiesapplicable to your job responsibilities and location.If a question or potential conflict with law arises,seek guidance from or report the matter to the LegalDepartment immediately.Individuals who violate the Code or the Company’spolicies, misuse their positions of authority, refuse tocooperate during an investigation, make a knowinglyfalse complaint or retaliate against someone forreporting or providing information about a claim, maybe subject to disciplinary measures.Cooperation and ConfidentialityYou are expected to fully cooperate in Companyinvestigations and, consistent with applicable law, tokeep your participation in the investigation confidential.Cooperation includes providing clear and truthfulinformation during an investigation. All reports will betreated confidentially to the fullest extent possible. Itis imperative that reporting individuals not conducttheir own preliminary investigations. Such actionscould compromise the integrity of an investigation andadversely affect the Company and others.Non-RetaliationThe Company will not tolerate threats or acts ofretaliation against employees for asking a question,raising a concern in good faith or cooperating in aninvestigation. All forms of retaliation are prohibited,including any form of discipline, reprisal, intimidation orother form of retaliation taken against an employee whohas acted in good faith. Threats of retaliation should bereported immediately.FOR QUESTIONS:Legal DepartmentPOLICY DETAILS:91:80:00 – Speak-Up and Non-Retaliation Policy7 PageEnforcementWe will not tolerate violations or circumvention of anyapplicable laws or regulations by an employee or by anindividual or entity acting for us or on our behalf, nor willthe Company tolerate the disregard or circumventionof Company policies or engaging in unethical dealingsin connection with the Company’s business. Failureto comply with the Code or to cooperate with anyinvestigation may subject you to disciplinary action. AnyDirector, supervisor, manager or officer who directs,approves or allows a violation or has knowledge ofa violation and does not act promptly to report andcorrect it will be subject to disciplinary action.Disciplinary action may include termination, referralfor criminal prosecution and reimbursement tothe Company or others for any resulting losses ordamages. If the reporting individual is involved in theCode violation, the fact that the individual reported theviolation will be given consideration by the Company inany resulting disciplinary action.WaiverThe Audit Committee must approve any waiver ofthe provisions of the Code for Directors or executiveofficers of the Company. The Company will promptlydisclose such waivers to its shareholders as may berequired by law.
Our Commitment toETHICS AND THE LAWAnti-Bribery and Anti-CorruptionThe Company prohibits bribery in all forms. We complywith all applicable U.S. and international laws, treaties andregulations forbidding bribery and corruption, including theU.S. Foreign Corrupt Practices Act (FCPA), the UK BriberyAct (UKBA) and the local laws that apply where we conductbusiness. Everyone subject to the Code must understandand comply with the FCPA, the UKBA and any otherapplicable anti-bribery laws, regardless of their location ornationality. Engaging in any form of bribery or corrupt activityrisks exposing you and the Company to criminal and civilpenalties under U.S. federal, state and international laws.Bribery occurs when cash or anything of value ispromised, offered or paid in exchange for an improperbusiness advantage. An improper business advantageincludes improperly obtaining or retaining business, or theimproper performance of an official or commercial function.Bribery and corruption can involve government employeesor officials (including employees or officials of state-ownedor state-controlled enterprises) or members of their family,or can involve entities or individuals engaged in commercialactivity in the private sector.Bribes or corrupt payments can be direct or indirect suchas through a third party. The Company expressly prohibitscorrupt promises, offers or payments made through thirdparty intermediaries or by anyone acting for or on behalf ofthe Company. Kickbacks are also a form of bribery and areprohibited. A kickback occurs when an individual receivesanything of value in exchange for improper preferentialtreatment to a vendor or third party. Facilitation paymentsare explicitly illegal in most jurisdictions and are prohibitedby the Company in all locations.FOR QUESTIONS:Legal DepartmentRELATED POLICY33:60:62 – Ethical Business Conduct (EBC) Policy8 PageAnything of value canpotentially become a bribe,including:An offer of employmentor internshipCash or cash equivalent(gift cards)Charitable contributionsor donationsDiscounts on productsor servicesGiftsHospitalityIn-kind contributionsPersonal favorsScholarshipsFacilitation paymentsare cash payments madeto low-level governmentemployees or officials forthe purpose of expediting orsecuring the performance of aroutine government action.
Our Commitment to ETHICS AND THE LAWGifts and HospitalityThe Company requires the use of good judgment andmoderation when giving or accepting gifts or hospitalityin business settings. Giftsand hospitality (which includeImproper gifts and hospitality:meals, hotels, lodging, traveland entertainment) mustCould be construed as ahave a legitimate businessbribe or kickbackpurpose, be reasonable andInappropriately influence aproportionate, be given openlybusiness decisionand transparently, approvedin accordance with CompanyCarry the expectation of apolicies and properly recordedfavorin the Company’s booksAre not customary in theand records. A legitimatebusiness relationshipbusinesspurposecaninclude advancing a businessCould be perceived asrelationship,developingluxurious or excessivebusinessorexpressingAre cash or cashgratitude. Gifts and hospitalityequivalents (gift card)that are given in exchangeViolate applicable laws,for an improper businessrules or regulationsadvantage are consideredbribes or kickbacks and areHave the appearance ofstrictly prohibited.improprietyGiving to Government Employees orOfficialsOffering, giving or reimbursing gifts or hospitality togovernment employees or officials creates specialconcerns. Some countries, including the U.S., havestrict limitations on the value and nature of gifts andhospitality such officials (including individuals runningfor office) can accept, which must be respected. Itis your responsibility to understand whether you areinteracting with a government employee or official asa part of your job duties, and to consult a ComplianceOfficer if you are in doubt. Any interaction with agovernment employee or official that could have theappearance of impropriety must be avoided. Prior togiving gifts or hospitality of any value to officials in anylocation, you must consult Company policies and, ifnecessary, a Compliance Officer.Receiving Gifts or HospitalityIndividuals and entities the Company does businesswith cannot be placed in a position where they may feel9 Pageobligated to give a gift, provide hospitality or providepersonal favors benefitting an employee in order to dobusiness or continue to do business with the Company.Therefore, employees must not solicit gifts, hospitalityor favors of any value from third parties. Anyone whoreceives gifts or hospitality of any value from a thirdparty, especially an existing vendor or a vendor seekingto do business with the Company, must consultCompany policies and, if necessary, a ComplianceOfficer. You may be required to return or dispose ofgifts that do not comply with Company policies.FOR QUESTIONS:Legal DepartmentPOLICY DETAILS:06:45:00 – Travel & Entertainment (T&E) Policy33:60:62 – Ethical Business Conduct (EBC)PolicyPolitical Contributions andLobbying ActivitiesPolitical ContributionsU.S. corporations are barred by federal law from makingpolitical contributions in connection with U.S. federalelections. Many states and non-U.S. jurisdictions havesimilar prohibitions. Therefore, the Board of Directors, theGovernment Affairs Committee or their designee mustapprove the use of Company funds, time or resources forpolitical contributions. Company policies broadly definepolitical contributions and provide additional guidance.You are encouraged to participate in the political processon your own time, and to make political contributionsin your own name and from your own assets. Fromtime to time, communications regarding public issuesimportant to the Company’s business or operations maybe sent to employees. Personal contributions of yourfree time or money to any such political or communityactivities, including Company-approved political actioncommittees, are permissible but entirely voluntary.Lobbying ActivitiesLobbying activities are strictly regulated and may triggerregistration and reporting requirements. Employeesand Directors, or their agents or representatives, mustconsult and comply with Company policies prior tocontacting any U.S. federal, state or local governmentofficial or an employee of a legislative body, government
Our Commitment to ETHICS AND THE LAWagency or department for the purpose of influencingpolicy, legislation, agency rules or regulations or anyother official action on behalf of the Company.FOR QUESTIONS:Government Relations DepartmentPOLICY DETAILS:33:62:00 – Political Contributions, Lobbying andOther Political Activities PolicyInsider Trading andSecurities LawsIn the normal course of business, we may learn material,non-public information (or “inside” information) aboutour Company or another company with which wedo business. There are prohibitions on trading thesecurities of our Company or another company while inpossession of inside information. Additionally, there areprohibitions on recommending the purchase or sale ofany Company securities while in possession of insideinformation (commonly called “tipping”), whether ornot the information underlying the recommendation isactually disclosed. Generally, these activities are illegalunder U.S. laws, as well as laws in other countrieswhere we do business. Penalties for violation of insidertrading laws can be severe for both the individualsinvolved and the Company.If you have any questions about whether you possessinside information or whether you can trade in acompany’s securities, you should consult the LegalDepartment before taking any action.FOR QUESTIONS:Legal DepartmentPOLICY DETAILS:21:50:01 – Insider Trading PolicyRestrictive Trade Practicesand ControlsAntiboycott Practices Financial results and forecastsThe Company will not directly or indirectly engage inany activity that could have the effect of promoting aboycott or restrictive trade practice not approved bythe U.S. government. Such prohibited agreementsmay include refusing to do business with, providinginformation regarding or discriminating against, personsor companies based on race, religion, sex, nationalorigin or nationality. U.S. law requires that a requestto participate in such prohibited activities be reportedpromptly to the U.S. government. A reportable requestto participate in a boycott may include the receiptof a contract or terms and conditions that obligatethe Company to comply with all laws of a boycottingcountry. Failure to report such requests or the actualparticipation in a boycott that the United States doesnot sanction can result in enforcement and penalties.Refer to Company policies and immediately seek theadvice of a Compliance Officer prior to taking anyaction upon such a request. Possible mergers, acquisitions, divestituresand investmentsImport and Export ControlsInformation is considered material if an investor wouldconsider it important in deciding whether to buy, holdor sell a company’s securities. Examples of items thatmay be material include: Obtaining or losing important contracts Significant discoveries or changes to estimatedreserves Major litigation developmentsInformation is considered to be non-public unless it hasbeen widely disseminated to the public and there hasbeen sufficient time and opportunity for the market toassimilate the information.10 PageWe comply with all export and reexport controlsand import laws governing the movement of goods,technology, software and services across borders.In addition to the actual shipment of goods, exportregulations also control the transfer, release or disclosureto foreign persons in the U.S. of controlled commodities.Transmission of technical data or U.S.-origin productsmay require a U.S. export license, even for oral, written orelectronic disclosure. Serious consequences, includingfines and the loss of import and export privileges, canresult if an item or technology that requires a licenseis imported or exported or disclosed without a properlicense.
Our Commitment to ETHICS AND THE LAWTrade SanctionsThe Company complies with all U.S. economic andtrade sanctions, or restrictions against certain countries,individuals, entities, vessels and activities. Trade sanctionsimposed by other organizations, like the European Unionor United Nations, also may restrict our business. We fullycomply with all applicable trade restriction laws withinour global operations. If you identify goods or servicespotentially received or transferred through a sanctionedcountry, or conduct involving a sanctioned country, personor activity, you must immediately seek the advice of aCompliance Officer.FOR QUESTIONS:Legal DepartmentSupply Chain Departmentwith competitors (except with respect to certainof these topics in arm’s-length negotiations regardingproduct sales or joint ventures and with the approval of theLegal Department) including at permitted social activitiesor trade association meetings: Pricing policy Terms and conditions of sale or credit Costs or inventories Marketing and product plans Market surveys and studies Production plans and capabilities Allocation or division of territories Sales, customers or jobs Group boycottsPOLICY DETAILS:33:60:62 – Ethical Business Conduct (EBC) Policy91:01:30 – Antiboycott Policy91:01:40 - Sanctions and Import Export ControlsPolicyOther activities prohibited byantitrust and competition lawinclude:Market and customerallocationAntitrust andCompetitionLawsWeconductbusinessactivities in accordance withall applicable antitrust andGroup boycotts/refusalscompetition laws. Activitiesto dealthat include any form of anResale price maintenanceagreement or understandingwith competitors to fix prices,Unlawful tying arrangementsto implement bid rigging, toUnlawful exclusivityallocate customers or restrictagreementssupplies are strictly prohibited.MonopolizationUnlawful agreements do notneed to be in the form of aPrice discriminationwritten contract or consistor manipulationof express commitments orUnlawful terminationmutual assurances. Courtsof dealers, suppliers orsometimes infer agreementsdistributorsbased on “loose talk,”“price signaling,” informalUnder certaindiscussions, or the merecircumstances, attemptsexchange of informationto engage in these typesbetween competitors fromof activitieswhich pricing agreements orother collusion could result.Anticompetitive behavior may be illegal and can result inbusiness and reputational issues for the Company.The following topics must be avoided during discussions11 Page Information relating to employee compensation orbenefitsIf a competitor raises any such topic, even lightly orwith apparent innocence, you should object, stopthe conversation immediately and tell the competitorthat under no circumstances are these matters to bediscussed. If necessary, you should leave the meeting.Refer to Company policies and immediately seek theadvice of the Legal Department in these circumstances.FOR QUESTIONS:Legal DepartmentPOLICY DETAILS:91:01:10 – Antitrust PolicyLegal Review of ContractualObligationsContractual obligations must accurately reflect theintention of the contracting parties as to all material itemsand issues. No “secret” or unwritten side contracts,agreements, settlements, arrangements, modifications orwaivers are permitted.Before entering into any legally binding arrangementor contractual obligation, review and approval by theLegal Department may be necessary. Consult the LegalDepartment or Company policies prior to entering into acontractual obligation on behalf of the Company.FOR QUESTIONS:Legal DepartmentPOLICY DETAILS:33:61:00 – Authorized Approvals Policy
Our Commitment toOUR WORKPLACEHealth, Safety and EnvironmentKeeping our workforce healthy and safe and protecting the environment are among theCompany’s highest priorities throughout our worldwide operations. You are responsiblefor understanding and supporting Company policies regarding health, safety, processrisk management and environmental protection.While on the Company’s premises or acting within the scope of your job performance,you must comply with all applicable health, safety and environmental laws, Companypolicies and procedures and assume responsibility for the protection of yourself, yourco-workers and the environment. You must immediately report accidents, unsafepractices or conditions and any potential noncompliance with applicable laws orCompany policies and procedures.Failure to meet the Company’s health, safety and environmental performanceexpectations could pose potential risks to you, your co-workers, third parties, neighboringcommunities and the environment. Under many health, safety and environmental laws,misconduct, even if unintentional, also carries serious penalties and could result incriminal prosecution of persons involved and our Company.You are expected to report potential noncompliance with applicable laws or Companypolicies and procedures. Reports should be first addressed to your supervisor forresolution by management. Reports may also be made directly to the SecurityDepartment, the Health, Safety and Environment Department or any of the reportingchannels listed in the Code.FOR QUESTIONS:Health, Safety and Environment DepartmentSecurity DepartmentPOLICY DETAILS:89:10:00 – Health, Environmental Protection and Safety Policy90:01:00 – Security Policy12 Page
Our Commitment to OUR
The Code of Business Conduct (the Code) embodies Occidental's undivided commitment to the principles we use to conduct our business. The Code affirms Occidental's obligation to high standards of conduct and reinforces our business ethics, policies and procedures. In many instances, the Code goes beyond the
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