Export Control and Sanctions Compliance
BUYER (customer and ultimate recipient-if different from customer) of the items recognizes that it is Roche's policy to comply with all applicable laws, regulations, permits and consent orders as they apply to the sale, export, re-export, transfer, re-transfer, brokering and import of goods and to act in a proper and ethical manner.

BUYER (customer and ultimate recipient-if different from customer) of the items understands that items (and the know-how as may be contained therein) may be subject to international export or import controls. Buyer (customer and ultimate recipient-if different from customer) commits itself to comply with all national and international laws and regulations as they apply to the sale, export, re-export, transfer, re-transfer, brokering and import of goods. Therefore, Buyer (customer and ultimate recipient-if different from customer) refrains from all transactions if recognized as not being permissible by export control and sanctions compliance regulations.

BUYER (customer and ultimate recipient-if different from customer) of the items hereby warrants that:

■ it has never been debarred or sanctioned (including suspended or fined) by any relevant export control and sanctions authority or under any relevant national/international law;
■ it endorses and carries out its business in a manner that is consistent with the Roche Code of Conduct.

BUYER (customer and ultimate recipient-if different from customer) certifies that the items received will not be used, in their entirety or in part, in connection with and/or for supporting of
■ any nuclear explosive activity,
■ the development, production, handling, operation, maintenance, storage, detection, identification or dissemination of chemical, biological or radiological weapons or the development, production, maintenance or storage of missiles / other systems capable of delivering such weapons, or
■ the development, production, handling, operation, maintenance or storage of cluster munitions or anti-personnel mines
■ or military, proliferation or terrorist uses or for a military end-user, or
■ human rights violations.

BUYER (customer and ultimate recipient-if different from customer) further certifies that the items will not be transferred, in their entirety or in part,

■ to any person, organization or agency listed on international sanctions laws and/or the sanctions laws of the Swiss Confederation(1);
■ to any person, organization or agency listed on international sanctions laws and/or the sanctions laws of the United Nations(2);
■ to any person, organization or agency listed on international sanctions laws and/or the sanctions and restricted party laws of the United States(3).
■ to any person, organization or agency listed on international sanctions laws and/or the sanctions laws of the European Union(4).
BUYER (customer and ultimate recipient-if different from customer) acknowledges that Roche has the right to audit the appropriate use of the provided items. The Ultimate recipient will provide, upon request by Roche, all required documentation and justification necessary to allow a reasonable level of assurance to Roche.

BUYER (customer and ultimate recipient-if different from customer) acknowledges that Roche has the right to inspect the location of the use of the items and to request all necessary information related to the final Ultimate recipient if other than the ultimate recipient specified in this contract.

Notwithstanding the foregoing, including if the Ultimate recipient is subsequently debarred or sanctioned by any relevant export control and sanctions authority or under any under any relevant national/international law, Roche reserves the right to reject and block customer and/or ultimate recipient of different from customer from any further business activities underlying this agreement with immediate effect.

(1) As listed under htps://www.seco.admin.ch/seco/en/home/Aussenwirtschaftspolitik_Wirtschaftliche_Zusammenarbeit/Wirtschaftsbeziehungen/exportkontrollen-und- sanktionen/sanktionen-embargos/sanktionsmassnahmen/suche_sanktionsadressaten.html
(2) As listed under https://www.un.org/securitycouncil/content/un-sc-consolidated-list
(3) As listed under https://legacy.export.gov/csl-search and https://sanctionssearch.ofac.treas.gov/
(4) As listed on the European Union Consolidated Financial Sanctions List under
https://data.europa.eu/euodp/en/data/dataset/consolidated-list-of-persons-groups-and- entities-subject-to-eu-financial-sanctions

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