42Gears Global Trade Compliance

1. Purpose
   This policy ensures that 42Gears Mobility Systems Private Limited headquartered in India and its subsidiaries and affiliates in the United States, United Kingdom, and Canada (“42Gears”) comply with the applicable export, re-export, import, and trade compliance laws in all countries in which 42Gears do business. It is our policy to comply fully with applicable export and trade control laws of jurisdictions in which we operate worldwide such as U.S. export and trade control laws.

2. Scope
   This policy applies to all 42Gears subsidiaries, affiliates, and employees. 42Gears also requires its partners and customers to comply with these laws and regulations when they purchase and use our products and services.
   Any person or entity exporting or re-exporting 42Gears products, services, or technical data directly or indirectly and via any means, including electronic transfer, is wholly responsible for doing so in accordance with the applicable export control and economic sanctions laws and regulations, including, but not limited to, the laws and regulations of the United States, United Kingdom, and the European Union. This policy is an integral part of the 42Gears Business Code of Conduct which requires compliance with the laws and establishes corporate ethical standards applicable to all 42Gears business dealings.

3. Laws and Regulations
   Many 42Gears products are subject to the U.S. Export Administration Regulations (“EAR”) and must comply with U.S. export control requirements.
   The U.S. Department of Commerce and the U.S. Department of the Treasury administer and enforce the following export compliance laws and regulations:

   1. Export Administration Regulations (EAR), 15. C.F.R. Parts 730 et seq., administered by the Department of Commerce
      
   2. Foreign Assets Control Regulations and other related sanctions programs regulations, 31C.F.R. Parts 500 et seq., administered by the Department of the Treasury

It is important to note that an export or re-export transaction need not necessarily involve a sale of the product. Exports or re-exports can also include the shipment or electronic transmission of software or technology for beta, quality assurance, demonstration, or other purposes. The release of software source code or technology within the U.S. to a non-U.S. national or non-permanent resident alien is also an export.

4. Prohibited End-Users

   In accordance with the United States, India and applicable export control and economic sanctions laws and regulations, all 42Gears products and services are prohibited for export/reexport/transfer (includes in- country transfer) to or access by (includes cloud access) the following:

   1. Any company or national of Cuba, Iran, North Korea, Syria, and the Crimea region, Ukraine's Donbas and other Russian controlled areas of Ukraine as they exist in fact, Belarus*, Russia* and Venezuela*. Export licensing of commodities or services intended for these countries is presumed denied;
   2. Re-export to these countries is prohibited; you may not proceed with any proposed transaction if you “know or have reason to know” it would be contrary to U.S. or applicable laws or regulations;
   3. Entities listed in the U.S. Government Denied Party/Person List. See Bureau of Industry and Security’s (BIS) The Denied Person List, the Office of Foreign Assets Control's Economic and Trade sanctions list (OFAC), and the Directorate of Defense Trade Controls (DDTC). Any customer you know or have reason to know, who is involved in the design, development, manufacture, or production of nuclear technology, or nuclear, biological, or chemical “weapons of mass destruction.”

Note: Cloud access and/or download from these countries or regions is considered an export under U.S. export and applicable economic sanctions laws and regulations and is therefore prohibited.

5. Anti-Boycott Laws
   

   Anti-boycott laws are a set of rules and regulations in the EAR that certainly prohibits the U.S. entities to comply with Boycotts that the U.S. government doesn't support. For example, the Arab League boycott against Israel is not recognized by the U.S. government.
   Having an entity in the U.S.; 42Gears is obligated to comply with Anti-Boycott Laws and refuse to accept any foreign boycott which is not sanctioned by the U.S. government. Anti-boycott regulations prohibit 42Gears from supporting any non-U.S. sanctioned boycott.
   Prohibited conduct includes:

   1. Agreements to refuse or actual refusal to do business with or in Israel or with blacklisted companies.
   2. Agreements to discriminate or actual discrimination against other persons based on race, religion, sex, national origin, or nationality.
   3. Agreements to furnish or actual furnishing of information about business relationships with or in Israel or with blacklisted companies.
   4. Agreements to furnish or actual furnishing of information about the race, religion, sex, or national origin of another person.

Requests to comply with non-U.S. sanctioned boycotts must be denied and escalated to the Legal Department

6. ECCN (Export Control Classification Number)
   

   A five-digit alphanumeric classification system was used to determine U.S. export licensing requirements. The ECCN represents a specific commodity defined in the U.S. Export Administration Regulations (EAR). For more information on the EAR please visit the BIS website or contact their offices directly. http://www.bis.doc.gov/

   Bureau of Industry and Security, Washington, D.C. (202) 482-4811.
   In conformity with the applicable law, 42Gears has also obtained ECCN for a few of its products.

Classification Matrix for 42Gears Products is as follows:

Product Name	ECCN
SureMDM	5D992 (C)
SureLock	5D992 (C)

7. ENC/Restricted and Government End-Users
   

   ENC/Restricted products may be exported or re-exported to most civilian and commercial end-users located in all territories where 42Gears operates, except embargoed destinations and countries designated as supporting terrorist activities. Export or re-export of ENC/Restricted products to government entities in many countries requires specific authorization from the U.S. government. However, government entities located in the following countries do not require a specific authorization to receive ENC/Restricted products: Austria, Australia, Belgium, Bulgaria, Canada, Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Japan, Latvia, Lithuania, Luxembourg, Malta, Netherlands, New Zealand, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey, United Kingdom, and the United States.

8. Policy Violations
   Failure to comply with export control laws, regulations, and policies may result in the imposition of criminal and/or civil fines against 42Gears and/or its employees. Additionally, failure to comply with export control laws, regulations, or policies or this policy could result in disciplinary action, up to and including termination.

9. Look out for Red Flags
   A red flag is something about a transaction that is unusual or out of the ordinary and can be an indication 42Gears product could be destined for restricted end-use, restricted end-user, or restricted country or region. As an example, a small bakery seeking to purchase advanced voice biometrics products that are typically sold to and used by intelligence agencies is a red flag.
   The product and its technology don't align with the end-user's business which could be an indication they are a front company purchasing for another party with the intent to divert the product to a restricted end-user, restricted end-use, or restricted destination.
   If a red flag, restricted party, restricted end-use, or sanctioned country is encountered the transaction must be stopped and escalated to the Legal Department.

10. Review and Update
    Given the changing nature of the international research landscape, this policy will be reviewed annually, unless guided otherwise by legislation or good practice.

11. Questions
    

    Please direct any questions concerning export controls or this policy to the legal@42gears.com.