KGU Umschlag_e 16.1.

2007 11:53 Uhr Seite 1

F. Hoffmann-La Roche Ltd

Pharma Site Basel
Regulations
Safety, Health and on collaboration on issues of
Environmental Protection industrial health protection
4070 Basel

2000797
and environmental protection
© January 2007 at F. Hoffmann-La Roche Ltd
KGU Inhalt_e 16.1.2007 11:51 Uhr Seite 1

Regulations

on collaboration on issues of
industrial health protection
and environmental protection
at F. Hoffmann-La Roche Ltd
KGU Inhalt_e 18.12.2006 14:54 Uhr Seite 2

Contents

1. Objective 3

2. Applicability 3

3. Glossary of abbreviations and terms 4

4. Legal framework 5

5. Responsibilities 6
5.1 Responsibilities of the employer 6
5.2 Responsibilities of supervisors 6
5.3 Responsibilities of employees 7
5.4 Responsibilities of employee representatives 7

6. Exercise of SHE participation rights by employees 8

7. Exercise of SHE participation rights by the CIHE 9

7.1 Purpose 9
7.2 Duties 9
7.3 Right to information; confidentiality 9
7.4 Composition of the CIHE 10
7.5 CIHE procedures 10
7.6 Training opportunities for CIHE members 11

8. Closing provision 12

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1. Objective

Employees of F. Hoffmann-La Roche Ltd and other Roche Group

companies located in Switzerland have legally protected employee
participation rights with respect to matters of occupational safety and
health protection. The SHE Handbook is a compilation and record of
what has been accomplished to date to promote safety, health and
environmental protection at the Basel/Kaiseraugst site and forms an
integral part of the present Regulations. These Regulations specify
company policies relating to the exercise of employee participation rights.
Further, they specify the duties and powers of the Committee for
Industrial Health Protection and Environmental Protection (CIHE).

2. Applicability

These Regulations apply to all persons employed by F. Hoffmann-

La Roche Ltd at its Basel/Kaiseraugst site and to the employees of those
other Roche Group companies in Switzerland specified by Management.

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3. Glossary of abbreviations
and terms

AKR Roche Works Council, representing Roche employees covered

by a collective bargaining agreement (German: Arbeiter-
kommission Roche)
ArG Swiss Labour Act (German: Arbeitsgesetz)
ArGV3 3rd Legislative Directive relating to the Swiss Labour Act
AVR Roche Employees Association (German: Angestelltenverband
Roche)
CIHE Committee for Industrial Health Protection and Environmen-
tal Protection
MG Swiss Employee Participation Act (German: Mitwirkungsgesetz)
SHE Safety, health and environmental protection
UVG Swiss Accident Insurance Act (German: Unfallversicherungs-
gesetz)
VUV Legislative directive on preventing accidents and occupational
diseases (German: Verordnung über die Verhütung von
Unfällen und Berufskrankheiten)
Right to be heard The right to present one’s concerns or proposals, either orally
or in writing, to a decision-maker before a decision is made
Right to be The right to be informed in a timely manner about matters
informed relating to industrial health protection and environmental
protection
Industrial health Encompasses all facets of health protection, occupational safety,
protection industrial hygiene and occupational medicine at the Basel site*
and the other sites to which these Regulations apply
Environmental Environmentally sound work and production policies and
protection practices at the Basel site* and the other sites to which these
Regulations apply
SHE Compilation of policies and directives issued at the Basel site*
Handbook with respect to industrial safety, site security, health protection,
environmental protection and risk management
Management For the purpose of these Regulations, “management” refers to
the head of the Basel Site*

*As used here, the designation “Basel site” includes the facilities
in Kaiseraugst, which are therefore not mentioned separately.

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4. Legal framework

Employee participation rights in matters relating to occupational

safety and health protection are governed in particular by the following
legislation:

• ArG Art. 6 Duties of employers and employees

• ArGV3 Art. 5, 6, 7 Information, hearings, responsibilities
• MG Art. 10 Participation rights in matters of occupational
safety and health protection covered by
Art. 82 UVG and Art. 48 ArG
• UVG Art. 82 Preventing occupational accidents and diseases
• VUV Art. 6, 6a Information and consultation rights

For those employees wishing to familiarise themselves more closely with

the above legislation, copies are on file in the secretary’s offices of the
following departments/organisations: PSU, AVR, AKR, Corporate Law
(CL).

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5. Responsibilities

5.1 Responsibilities of the employer

F. Hoffmann-La Roche Ltd (“Roche”) is responsible for designing jobs

and work processes so as to adequately address safety needs, and for
providing effective engineering safeguards and controls and protective
equipment. Workplaces shall be designed so as not expose employees to
health hazards. All employees, including contractor employees working
on the Roche site, shall receive suitable guidance on relevant SHE meas-
ures. For work done on the Roche site, Roche shall issue safety rules and
requirements specifically addressing risks present on the site. Outside
companies are required to instruct temporary staff or subcontractors of
applicable SHE directives in force on the Roche site and to ensure that
they comply in full with all such requirements. Outside companies are
further required to ensure that their temporary staff and subcontractors
are informed about what to do in the event of an incident or accident.
Roche shall be entitled to conduct checks at any time to verify that out-
side companies working on the Roche site are complying with all applica-
ble SHE measures. Neither this right nor any checks actually conducted
shall be construed as imposing a joint liability on Roche, nor shall they in
any way relieve outside companies of their responsibility to ensure
compliance with applicable SHE measures.

5.2 Responsibilities of supervisors

Within the scope of their positions, managers and supervisors at all levels
of the organisation must in particular:
• carefully select the employees working under them and assign these
employees duties and functions suited to their education, training and
skills
• instruct employees effectively and appropriately about relevant safety
regulations
• effectively and appropriately monitor compliance with safety
requirements
• enlist employees’ support and assistance in SHE field

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• act promptly and appropriately on employees’ ideas and suggestions for

improvements in relation to SHE and on employee reports of identified
problems or deficiencies in these areas
• proactively contribute ideas for and assist in preventing accidents,
incidents and environmental damage

5.3 Responsibilities of employees

Non-managerial staff are obligated in particular:

• to follow the directives/instructions issued by the employer and by their
managers/supervisors regarding safety measures and protective devices
and equipment
• to be cognizant of and comply with the safety procedures relevant to
their work
• to consistently use the personal protective equipment issued to them
• to act promptly to correct problems or deficiencies posing a safety
hazard, or alternatively to report such problems or deficiencies to their
managers/supervisors
• to proactively contribute ideas for and assist in preventing accidents,
incidents and environmental damage

5.4 Responsibilities of employee representatives

The organisations representing employees exercise a number of roles in

relation to SHE. In particular:
• Insofar as their resources allow, they proactively contribute ideas and
other support for activities aimed at preventing accidents, incidents and
environmental damage; they may also be involved in efforts to prevent
accidents off the job.
• They assist in explaining SHE issues and concerns to employees.
• They support SHE measures in a variety of ways.
• They designate qualified members to serve on the CIHE and assist it in
finding appropriate solutions for SHE problems.

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6. Exercise of SHE participation

rights by employees

Employees should direct ideas, suggestions and reports of identified

deficiencies relating to SHE to their managers or supervisors, provided
the matter in question falls within line management’s competence.
The manager or supervisor shall take the matter under review, act on it
promptly and brief the employee on the decision taken or the progress
being made towards reaching a decision.

If an employee does not agree with a manager’s or supervisor’s decision,

they can present the matter to a member of the CIHE.

Employees wishing to raise a SHE matter falling outside the competence

of line management may do so at any time by presenting it to a member
of the CIHE: The matter will be then dealt with at a CIHE meeting.

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7. Exercise of SHE participation

rights by the CIHE

7.1 Purpose

The purpose of the CIHE is:

• to contribute to steadily promoting awareness of industrial health
protection and environmental protection among all employees
• to secure the participation rights of employee representatives in matters
relating to industrial health protection

7.2 Duties

The CIHE’s participatory roles include in particular:

• assisting in drafting and implementing guidelines and directives
relating to industrial health protection and environmental protection
• laying the groundwork for Management decisions on proposals for
improving industrial health protection and environmental protection
• reviewing and acting on matters brought before the CIHE by its members

7.3 Right to information; confidentiality

CIHE members are entitled to be informed of all facts with a material

bearing on the performance of their duties, provided this entails no
breach of medical confidentiality by the Medical Service.

Whenever the situation warrants, CIHE members are entitled to

familiarise themselves first-hand with issues under discussion.

If they so request, CIHE members have a right to be appropriately

involved in or consulted on investigations and plant visits conducted by
the authorities. The CIHE has established a procedure that enables
employee representatives to exercise this right effectively.

CIHE members must not disclose any confidential personal or technical in-
formation that comes to their knowledge in the performance of their duties.

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7.4 Composition of the CIHE

The CIHE comprises:

• A Management-appointed chairperson
• One member for each of the following:
– Occupational Safety
– Occupational/Industrial Hygiene
– Medical Service
– Environmental Protection
– Chemical Production
– Engineering
– Human Resources
– Legal Department
• And four members each from
– The AVR
– The AKR

Any member who is unable to attend a CIHE meeting shall ensure that a
qualified individual attends in his or her place.

7.5 CIHE procedures

The CIHE shall meet as needed and as a rule once quarterly. The results
of CIHE meetings shall be recorded in minutes.

The members shall discharge their committee duties in good faith.

The CIHE shall submit its proposals and requests to Management. If the
members fail to reach a consensus, the members in the minority as well as
those in the majority shall be entitled to present their views to Management.

The CIHE may form subcommittees to deal with specific issues. Like
the full CIHE itself, such subcommittees may consult specialists or the
relevant managers or supervisors at any time for guidance or information.

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The CIHE has no authority to issue directives or to allocate funding.

Management shall respond to all requests submitted to it by the CIHE

and, whenever it turns down a request, shall give its reasons for doing so.

If the employee representatives on the CIHE do not agree with a

Management decision, the AVR and AKR shall have an opportunity to
raise the matter again with Management and request that the decision
be reconsidered.

7.6 Training opportunities for CIHE members

CIHE members shall receive pertinent training on an ongoing basis.

The CIHE Chairman shall prepare an annual training programme for all
CIHE members.

CIHE members employed under a collective employment contract shall

be given paid leave to attend approved training courses and events. Such
leave shall not be deducted from members’ contractual leave entitlements.

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8. Closing provision

These Regulations were drafted in collaboration with the employee

representation organisations named below and with the members of the
CIHE. They replace the CIHE Regulations dated 1 May 1999 and are
effective from 1 January 2007.

Basel, 1 January 2007

Roche Employees Association

R. Frank E. Schaffter

Roche Works Council

W. Stahl H. Käppeli

F. Hoffmann-La Roche Ltd

M.M. Baltisberger B. Weissen

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KGU Umschlag_e 16.1.2007 11:53 Uhr Seite 1

F. Hoffmann-La Roche Ltd

Pharma Site Basel
Regulations
Safety, Health and on collaboration on issues of
Environmental Protection industrial health protection
4070 Basel

2000797
and environmental protection
© January 2007 at F. Hoffmann-La Roche Ltd