Our comprehensive Compliance Officer Network includes more than 150 local Compliance Officers located at our affiliates worldwide. They have the following responsibilities, in particular, but not limited to:

• ensuring that employees know where they can ask for help and advice if they have doubts about the correct business behaviour

• networking and collaborating with local, regional and global compliance experts in order to identify and take advantages of synergies between Pharmaceuticals and Diagnostics/Diabetes Care

• coordination of local compliance endeavours, initiatives and training programs

• support and conduct compliance monitoring, compliance controls and compliance audits

• supporting local line management in integrity risk-management processes

• documenting all local ethical incidents and the steps taken to address them

• supporting Line Management in the adequate handling and reporting of local non-compliance cases (Business Ethics Incidents (BEIs))

• encourage employees to speak up in case of a compliance concern

Anyone who becomes aware of a potential violation of the Roche Group Code of Conduct can and should bring it to the attention of Compliance experts. Please visit our Code of Conduct to find out how to report an incident.

The Chief Compliance Officer (CCO) with the Compliance Officers network is committed to ensuring that the Roche Group Code of Conduct is consistently complied with throughout the Roche Group.

The Chief Compliance Officer serves as a contact person for Roche employees, as well as for shareholders, business partners, customers and the general public on issues relating to the implementation of and compliance with the Roche Group Code of Conduct.

She coordinates and liaises with the local and regional Compliance Officers and strives to continuously improve Roche’s compliance program. This includes ensuring that examples of best practice are regularly shared network and that Compliance regulations and tools are continuously reviewed and updated. She also captures, tracks and monitors alleged violations reported by Compliance Officers resolution through the Business Ethics Incident Management System (BEIMS), until their resolution.