What is MyComplianceReport?

MyComplianceReport is a web-based portal supported by the third-party vendor, ComplianceLine. It is a comprehensive and confidential reporting tool that enables all USAble Life Personnel to address fraud, abuse, and other misconduct in our environment and to promote a healthy and safe experience for everyone.

May I report using either the Internet or the telephone?

Yes. The USAble Life Integrity Line accepts reports via telephone (800-910-6728) or the web form.

Is MyComplianceReport and the Integrity Line the same thing?

The Integrity Line is an all-inclusive term and refers to the MyComplianceReport web-based portal as well as the toll-free telephone number.

Can I remain anonymous if reporting through the Integrity Line?

Yes. The Integrity Line does not attempt to identify reporters, whether submitting telephonically or electronically. Reporters have the option to remain anonymous or provide their name and other contact information. Reporters are provided a Report Key that allows for anonymous communication with a member of the Compliance and Ethics Department.

What types of situations should I report?

Any concerns regarding actual or potential violations of applicable law, regulation, company policy or procedure, or the Code of Conduct should be reported. Reporters are protected from retaliation for concerns raised in good faith. Please note: HR matters/employee issues should typically not be reported to the ComplianceLine. Instead, please reach out to your HR business partner for assistance with employee-related matters or concerns.

What information do I need to provide about my complaint?

The Compliance and Ethics Department must receive specific details concerning the matter in order to facilitate a thorough review. Providing partial or incomplete information may result in case closure due to insufficient information. Information needed to complete a thorough review may include:

• First/last name of person(s) or organization(s) engaged in alleged wrongdoing
• Description of the event, location, and date/time of when event occurred
• Specific details or synopsis of the concern(s) being raised
• First/last names of witnesses to the event or others who may have knowledge of the concern(s) being raised
• How the event was discovered if the reporter was not a participant or directly involved
• Supporting documentation if available, including policies, memoranda, emails, text messages, etc.

Why should I report what I know? What’s in it for me?

USAble Life employees have a responsibility to report unsafe practices, unethical behavior or violations of the Code of Conduct, policy or procedure, or applicable law or regulation. When someone’s actions violate these things, it can harm both our Company and our customers. If a law is violated, the result could be civil or criminal action against USAble Life and the person(s) responsible. We take any potential violation seriously. Reports of potential misconduct are reviewed carefully and steps are taken to correct the situation, including disciplinary action when appropriate.

Where do these reports go? Who can access them?

Reports made through the ComplianceLine are maintained on a secure server. Based on the nature of the matter, the report will be routed to the appropriate area for investigation. These individuals will treat all reports and sensitive matters in a confidential manner.

How long will the investigation take?

Each allegation reported through the ComplianceLine is unique, so the estimated time of completion depends on many factors, such as the complexity of the issue, the number of people involved, the nature and extent of documents or other evidence involved, and the urgency of the matter.

How do I get updates from investigators? How do I share additional details? How do I know the outcome of my report?

Reporters are provided a Report Key that allows for anonymous communication with the individual leading the investigation. The Report Key is a form of a report identification number that allows the reporter to check on the status of a case review or communicate with the investigator. On the ComplianceLine homepage, click ‘Follow-up’ to ask questions, provide updates or inquire about the status of the review.

What does “confidentiality” mean? Is it the same as “anonymity?”

Confidentiality means that the individual(s) investigating a particular matter will not disclose information to individuals outside of the reasonable “need to know” standard. This includes information received, used, maintained or accessed during the course of normal duties, such as case reviews.

Anonymity (or “anonymous”) means that you may report any concern through the ComplianceLine without disclosing your identity. Reports made in good faith will be taken and reviewed without an attempt to identify the reporter.

Be advised that:

• There are circumstances in which confidentiality and anonymity may not be maintained, such as disclosures pursuant to a subpoena or court order, a lawful discovery request or a disclosure necessary to resolve a potential compliance matter.
• Anonymity applies to an individual’s identity.
• Confidentiality applies to information received, used, maintained or accessed.
• Reporters may choose to release their identity during or after a completed review.
• Information shared through the ComplianceLine may lead to indirect identification of a reporter given the specific details provided.