Compliance Responsibilities

Compliance at Roche – our contributions make it happen

We do business in a highly regulated industry; compliance with legal and regulatory requirements is a prerequisite for our licence to operate.

Compliance means our behaviour is in adherence with applicable laws, regulations, industry codes and Roche’s integrity standards.

Roche has established a comprehensive Compliance Management System (CMS), which we are committed to implementing and enforcing. The CMS focuses on prevention, detection and responding to non-compliance behaviour by comprehensively involving people, principles, policies and processes.

Roche believes that the sense of responsibility of each and every employee is the basis of compliance. Thus we must constantly and adequately identify, assess and manage the compliance risks that fall within the sphere of our business responsibilities. Performance is not only measured by the results achieved, but also how these results were achieved.

We at Roche understand compliance as a key Line Management responsibility. As a matter of fact, in many cases non-compliance is the consequence of bad and/or no leadership. Hence, as part of our leadership task, Roche Line Managers are obliged to carefully select, instruct and monitor the employees for whom they are responsible. They are expected to involve compliance aspects in the performance assessment of their employees. Roche is committed to providing adequate training for Line Managers which enables them to meet their responsibility.

Compliance functions are responsible for supporting employees and Line Management in many ways in the comprehensive compliance management.

 

We are all expected to:
  • Make sure that our business behaviour complies with applicable laws, regulations, industry codes and Roche’s integrity standards.
  • Be aware of our responsibility in the comprehensive compliance management.
  • Continuously and adequately identify, assess and manage compliance risks that fall within the sphere of our business responsibilities.
Questions & Answers

I am considering granting an advantage to a business partner in order to achieve my business target. Is a business target a valid justification for the granting of an advantage?

No. At Roche performance is not only measured by results achieved, but also how these results were achieved. Stretched business targets are never an excuse or justification for violating our integrity standards. Always remember, you are responsible and will be held accountable for your behaviour.

I am a Roche Line Manager. What is my role in the comprehensive compliance management?

Compliance is a key Line Management responsibility. As part of your leadership function you are obliged to carefully select, instruct and monitor the employees for whom you are responsible.

What is meant by “carefully monitor the employees for whom I am responsible as a Line Manager”?

For example, if you become aware that one of your employees is not wearing the protective glasses as requested by Roche’s safety and health provisions, you have to make sure your employee is properly informed and instructed and complies with these provisions.

Further Informations