604-7 Whistleblower

Title:	Whistleblower Policy
Owner:	VP Human Resources
Last Update/Revised:	08/31/2023

Policy: A whistleblower is defined as an employee of AGI/AU/USU who reports an activity that he/she considers to be illegal or dishonest. If you have information regarding possible violations of state or federal statutes, rules, or regulations, or violations of fiduciary responsibility by the Company, we encourage you to report it immediately to your manager or Human Resources.

When employees notify a supervisor, manager, or an appropriate government or law enforcement agency that they have reason to believe their employer is violating a state or federal statute, or violating or not complying with a state or federal rule or regulation, those employees are protected from retaliation. As such, the Company has a strict policy that prohibits retaliation against employees who make such reports while employed in any form of employment. The Company also does not permit retaliation against employees who refuse to participate in an activity that would result in a violation of a state or federal statute, or a violation or noncompliance with a state or federal rule or regulation.

If you wish to report any such matters anonymously, you may call our Whistleblower Hotline. Reports from the Whistleblower Hotline will be sent directly to our outside legal counsel and our Executive Committee Chair, who is not an employee of AGI or AU.

Whistleblower Hotline for AU & AGI Employees:
U.S. Callers: (888) 883-1499
International Callers: (203) 227-1908

Alternatively, if you are an employee in California, you may contact the California State Attorney General's Whistleblower Hotline at (800) 952-5225. The Attorney General will refer your call to the appropriate government authority for review and possible investigation.