This document outlines Novo Nordisk's policies for providing sponsorships. It defines sponsorships as financial or non-financial contributions to specific activities or events where Novo Nordisk receives a direct benefit in return. The key requirements for sponsorships include accountability and approval processes, only providing support to appropriate recipients, ensuring Novo Nordisk receives a tangible benefit, determining an appropriate value, requiring a written agreement, obtaining follow-up documentation, and tracking sponsorships according to transparency requirements.

1. ICCA Meetings Africa
Association Day -
Collaboration towards an
Advanced Africa
24 February 2020
Finance & Sponsorship
Dr Mantha T. Makume PhD., PMP
Novo Nordisk South Africa
Medical Affairs

2. PRODUCTS MARKETED IN
170 COUNTRIES
R&D CENTRES
IN CHINA, DENMARK,
INDIA, UK AND US
AFFILIATES IN
COUNTRIES 80
STRATEGIC
PRODUCTION SITES
IN BRAZIL, CHINA, DENMARK,
FRANCE AND US
EMPLOYS APPROXIMATELY
42,700 PEOPLE DKK122
BILLION
TOTAL NET SALES
GROWTH
DISORDERS
OBESITY
HAEMOPHILIA SUPPLIER OF NEARLY
HALF OF THE
WORLD’S INSULIN
30million
PEOPLE USE OUR
DIABETES CARE
PRODUCTS
AMONG THE
WORLD’S TEN LARGEST
PHARMA COMPANIES
MEASURED BY MARKET
VALUE1
DIABETES
Novo Nordisk
at a glance
Founded in Denmark in 1923 with a
focus on diabetes, we have become
one of the world’s leading healthcare
companies.
Today, we are also using our
capabilities to tackle unmet needs in
serious metabolic diseases, such as
obesity, and in rare blood and
endocrine disorders.
2

3. TOP 5 EMPLOYER
In SCIENCE MAGAZINE’S TOP
EMPLOYER RANKING
R&D employs
>5,000 PEOPLE
DEVICES
DIABETES
OBESITY
Diabetes
Obesity
Haemophilia
Growth disorders
CVD
NASH
2019 R&D spend
More than 2.0 BILLION
EURO
R&D AMBITION
Innovate to improve
patient outcomes and
drive growth
MEDICINES
HAEMOPHILIA
R&D at a glance
10 Global R&D sites
4 in Denmark; 3 in US, 1 in UK, China & India
Therapy
areas6

4. Novo Nordisk Medical Affairs- Imperatives
4
Improve patients' lives by
Leading partner in the generation, interpretation and
communication of scientific data with relevant stakeholders
Build the scientific foundation for the next generation of
products across disease areas
Sustain strong scientific position of products marketed in
all Novo Nordisk affiliates

5. Code of Conduct
5
IFPMA MCA Novo Nordisk BECF

6. Who?
What?
Why?
How?
Balancing Act
6
Patient

7. Definitions of Grants/Donations/Sponsorship
03/03/2020
Applies to: Sponsorships, defined as a
financial or non-financial contribution:
✓ for a specific activity/project/event
✓ for the purpose of healthcare related
education, information, research,
scientific exchange
✓ for promotional or non-promotional
purposes
✓ where Novo Nordisk receives a
direct tangible benefit in return.
Applies to: Grants, defined as a
financial contribution:
✓ for a specific event, project or
activity
✓ for the purpose of healthcare related
education, information, research
and/or to facilitate scientific
exchange
✓ where Novo Nordisk does not
provide direction on the use or
implementation of the contribution
✓ where Novo Nordisk does not
receive any direct tangible benefit in
return
✓ where the purpose is not to promote
Novo Nordisk products.
Applies to: Donation, defined as a
financial or non-financial contribution:
✓ for a specific or non-specified
activity/project/event
✓ for charitable or other philanthropic
purposes in line with Novo Nordisk’s
Triple Bottom Line commitment
✓ where Novo Nordisk may have no
control over the final use of the
contribution
✓ where Novo Nordisk does not
receive any direct tangible benefit in
return
✓ where the purpose is not to promote
Novo Nordisk products.
Grant Donation Sponsorship
7Updated requirements for Grants, Donations, and Sponsorships

8. Definitions of Grants/Donations/Sponsorship
03/03/2020
Applies to: Sponsorships, defined as a
financial or non-financial contribution:
✓ for a specific activity/project/event
✓ for the purpose of healthcare related
education, information, research,
scientific exchange
✓ for promotional or non-promotional
purposes
✓ where Novo Nordisk receives a
direct tangible benefit in return.
Applies to: Grants, defined as a
financial contribution:
✓ for a specific event, project or
activity
✓ for the purpose of healthcare related
education, information, research
and/or to facilitate scientific
exchange
✓ where Novo Nordisk does not
provide direction on the use or
implementation of the contribution
✓ where Novo Nordisk does not
receive any direct tangible benefit in
return
✓ where the purpose is not to promote
Novo Nordisk products.
Applies to: Donation, defined as a
financial or non-financial contribution:
✓ for a specific or non-specified
activity/project/event
✓ for charitable or other philanthropic
purposes in line with Novo Nordisk’s
Triple Bottom Line commitment
✓ where Novo Nordisk may have no
control over the final use of the
contribution
✓ where Novo Nordisk does not
receive any direct tangible benefit in
return
✓ where the purpose is not to promote
Novo Nordisk products.
Grant Donation Sponsorship
8Updated requirements for Grants, Donations, and Sponsorships

9. • 7.4. Sponsorships
• Applies To
• Sponsorships, defined as a financial or non-financial contribution:
• for the purpose of healthcare related education, information, research, scientific exchange
• for a specific activity/project/event
• for promotional or non-promotional purposes
• where Novo Nordisk receives a direct tangible benefit in return.
• Typical examples:
• Support for congress and other third party organised meetings
• Novo Nordisk sponsored satellite symposia at a congress
• ‘Walks’ or similar activities/events arranged by organisations within Novo Nordisk therapeutic areas, e.g. national diabetes or haemophilia foundations
• Team Novo Nordisk
• Contributions to patient organisations.
• These activities are not Sponsorships:
• Funding in response to an unsolicited request for support to a specific activity for the purpose of healthcare related education, information, research, scientific exchange, where the value of any tangible benefit in return is significantly less than the funding being sought - this follows the requirements for Grants
• Covering the costs for an individual healthcare professional to participate in an event or similar activity follow the requirements in sub-section ‘Delegate Support’, in section ‘Interactions w/ HCPs & HCOs’
• Fee for service engagements, see sub-section ‘Engagement of HCPs’ in the ‘Interactions w/ HCPs & HCOs’ section.
• Novo Nordisk organised activities/projects/events see section ‘Interaction w/ HCPs and HCOs’ and/or ‘Interaction w/ Public Officials’
• Activities/projects/events where Novo Nordisk or a third party under Novo Nordisk’s control exercises significant influence on the programme (e.g. on presenters, faculty, audience) or the execution of the activity. In these cases, see section ‘’Interactions w/ HCPs & HCOs’ and/or ‘Interactions w/ Public Officials’
and/or ‘Interactions w/ Patients & Patient Organisations’ or could be in scope for TPR requirements, see section ‘Interactions w/ Third Party Representatives’.
• Interactions with Patients and Patient Organisations, see section ’Interactions w/ Patients & Patient Organisations’.
• Requirements
• Accountability, Review and Approval: Local management of global functions or affiliates must ensure a robust review and approval process. This includes:
• Clear definition of who is responsible and accountable, including for the budget
• Commercial or non-commercial functions can be accountable for decisions and budget as deemed relevant locally depending on the purpose of the Sponsorship
• Criteria for determining whether or not to provide a Sponsorship, including (see non-mandatory ‘Sponsorships checklist’ [link_7.4.1]):
• Appropriate recipient (considering prior experience and publicly available information, e.g. annual reports, website, internal or external exclusion lists, or recent media coverage)
• Valid purpose
• Appropriate commercial value
• Appropriate venue, hospitality, no entertainment, and travel arrangements in line with Novo Nordisk requirements
• Local Legal/Compliance review in case of cross-border Sponsorships
• Cross-border Sponsorships: Where the Sponsorship is provided to a recipient in another country, review must be performed from Local Legal/Compliance in the affiliate of that country to ensure proper application of any local requirements. Remember that compliance with corporate requirements is the responsibility of the HQ function or affiliate providing the Sponsorship.
• Sponsorships by HQ for international congresses targeting an international audience, e.g. ADA, IDF, EASD, EOS, ICO, WHO, ISPAD, WFH, ISTH, ESPE, FEND, do not require approval by Local Legal/Compliance in the receiving country of the Sponsorship. Please note that requirements for global and local review and approval of the underlying Novo Nordisk activities at the respective congresses as per
existing processes, and local HCO payment tracking requirements must be complied with.
• The following criteria must be fulfilled when providing a Sponsorship:
• Appropriate recipient: Sponsorships must only be provided to appropriate, reputable recipients (considering prior experience and publicly available information, e.g. annual reports, website, internal or external exclusion lists, or recent media coverage):,
• not to individuals - e.g. Healthcare Professionals, Patients, political party officials, candidates for political office
• Exception: In limited circumstances it is acceptable to sponsor Patient role models for sporting events, provided that this support is ad hoc and of a value that is appropriate to the type of event, and such engagement is approved by Local Legal/Compliance.
• not to political parties or political campaign efforts
• Tangible benefit: Novo Nordisk must receive a direct tangible benefit in return.
• Typical examples: booth space, symposia timeslot, free registrations at congresses or membership rights, recognition as ‘sponsor’, advertisement space (in paper, electronic or other format, e.g. t-shirts, bags, and similar), Novo Nordisk-sponsored satellite symposia at a congress, membership rights in an organisation
• Appropriate value: Novo Nordisk must determine if the value of the sponsorship is appropriate (and not excessive) for the purpose in light of all circumstances, e.g. the benefits provided to Novo Nordisk and the commercial value and reach of the organisation. The rationale for the amount/value must be
documented.
• Written agreement: If approved, a written agreement with the recipient is required prior to the Sponsorship starting, specifying:
• the support (amount/quantity – if non-financial, the type of contribution and its value)
• purpose of the support
• tangible benefits for Novo Nordisk
• that the recipient is not aware of any conflict of interest which would prevent the recipient from accepting the Sponsorship
• that the recipient will be transparent about the receipt of financial support from Novo Nordisk.
• Sponsorship applications for congresses may take place on web based platforms according to pre-defined terms and conditions (which should be reviewed for acceptability) or based on Novo Nordisk terms in a purchase order/statement of work in case it is not possible to conclude a separate written agreement
between Novo Nordisk and the congress organiser/recipient of the Sponsorship. A printout of the confirmed Sponsorship application must be archived according to the general rules on archiving
• Patient Organisations: Novo Nordisk must not require that it be the sole funder of the Patient Organisation or any of its programmes.
• Follow-up: Appropriate follow-up documentation must be obtained evidencing that the Sponsorship has been used for its intended purpose, e.g. sponsorship package, Novo Nordisk logo and/or name on website, budget record, event/project material, reports, or pictures. The level of follow-up should be
proportionate to the associated risk considering the recipient and the significance of the support. For different types of Sponsorships, Local Legal/Compliance should assess what follow-up documentation is appropriate.
• Appropriate documentation:
• Value rationale (e.g. written explanation in ‘Sponsorship checklist’, or in the meeting minutes relating to the approval of the sponsorship).
• Fully executed written agreement or Sponsorship application including date of Sponsorship being provided
• Follow-up documentation
• Tracking requirements: Sponsorships provided to Healthcare Organisations or Patient Organisations may be in scope for transparency (transfer of value disclosure) requirements. The person responsible for executing the Sponsorship must follow any applicable transparency requirements. See sub-section
‘Transfers of value to HCPs and HCOs’ in the ‘Interactions w/ HCPs & HCOs’ section, and sub-section ‘Transfers of value to Patients, Caregivers, Patient Representatives and Patient Organisations’ in the ‘Interactions w/ Patients & Patient Organisations’ section
How do we fund and provide sponsorship?
9

10. Groundwork- Where the real work is
PowerPoint Presentation Date 10
DGS Committee
RegulatoryMarketing
Legal & Compliance
Medical
Congress Organiser

11. 11
Accountability, Review and
Approval
Appropriate recipient Tangible benefit
Appropriate value
Follow-up
Written agreement Tracking requirements
How do we fund and provide sponsorship?

12. 12
Accountability, Review and
Approval
How do we fund and provide sponsorship?
• Local management of global functions or affiliates must ensure a
robust review and approval process
• Clear definition of who is responsible and accountable,
including for the budget
• Criteria for determining whether or not to provide a sponsorship

13. 13
Appropriate recipient
How do we fund and provide sponsorship?
• Sponsorships must only be provided to appropriate,
reputable recipients
• Not to individuals
• Not to political parties or political campaign efforts

14. 14
Tangible benefit
How do we fund and provide sponsorship?
Novo Nordisk must receive a direct tangible benefit in return
• booth space, symposia timeslot, free registrations at congresses or
membership rights, recognition as ‘sponsor’, advertisement space
(in paper, electronic or other format, e.g. t-shirts, bags, and
similar), Novo Nordisk-sponsored satellite symposia at a congress,
membership rights in an organisation.

15. 15
Appropriate value
How do we fund and provide sponsorship?
• Novo Nordisk must determine if the value of the sponsorship is
appropriate (and not excessive) for the purpose in light of all
circumstances, e.g. the benefits provided to Novo Nordisk and the
commercial value and reach of the organisation
• The rationale for the amount/value must be documented

16. 16
Written agreement
How do we fund and provide sponsorship?
• If approved, a written agreement with the recipient is required
prior to the Sponsorship starting, specifying:
• the support (amount/quantity – if non-financial, the type of
contribution and its value)
• purpose of the support
• tangible benefits for Novo Nordisk
• that the recipient is not aware of any conflict of interest which
would prevent the recipient from accepting the Sponsorship
• The recipient will be transparent about the receipt of financial
support from Novo Nordisk

17. 17
Tracking requirements
How do we fund and provide sponsorship?
• The person responsible for executing the Sponsorship must
follow any applicable transparency requirements
Follow-up
• Appropriate follow-up documentation must be obtained
evidencing that the Sponsorship has been used for its
intended purpose

18. Thank you
18