Zai Lab has contracted with NAVEX EthicsPoint to administer our Whistleblower Hotline, which facilitates our employees (or anyone else) reporting known or suspected violations of law, company policy, or other potential misconduct in a confidential manner outside of company-controlled systems.
We believe that our employees are our most important asset. By creating open channels of communication, we can promote a positive work environment and maximize productivity.
An effective reporting system will augment our other efforts to foster a culture of integrity and ethical decision-making.
Publicly traded companies, like Zai Lab, are legally required to have an anonymous reporting vehicle to address accounting and auditing fraud so that the Audit Committee of the Board of Directors remains updated and informed about all relevant circumstances. EthicsPoint is an important part of our legal and financial controls for the company.
You have the ability to file a confidential report by telephone, mobile device, or the hotline website. You may also remain anonymous if you so choose; however, as explained below, providing your identity will be very helpful to Zai Lab’s ability to fully and effectively investigate your report.
The EthicsPoint system is designed for employees to report any suspected or known violation of,
Company Policy or other Written Standards
Code of Business Conduct and Ethics
Concerns about accounting, internal accounting controls, auditing matters, including suspected fraud, misrepresentation, or inappropriate maintenance of books and records
A suspected or actual violation of laws or regulations
When you observe behavior that you believe to be a violation, we expect you to report it. You can report concerns to your management, Legal, Compliance, or HR Departments.
We recognize that there may be circumstances when you may not be comfortable reporting the issue within the company to another employee. It is for such circumstances that we have partnered with EthicsPoint, an independent third-party, to administer the Zai Hotline.
We certainly do. In fact, we need you to report. You know what is going on in our company - both good and bad. You may have initial knowledge of an activity that may be cause for concern. Your reporting can minimize the potential negative impact on the company and our people. Also, offering positive input may help identify issues that can improve corporate culture and performance.
Never assume another employee has reported the violation or concern. Unless the potential issue is reported, Zai may remain unaware of the conduct. We are depending on you to timely report any instances of misconduct or inappropriate behavior you become aware of.
Reports are entered directly on the EthicsPoint secure server to prevent any possible breach in security. EthicsPoint makes these reports available only to specific individuals within the company who are responsible for conducting internal investigations. All reports and any subsequent investigations will be handled confidentially. Please see the Investigations Protocol for further information regarding the reporting and investigation process.
File a report. We'd rather you report a situation that turns out to be harmless than let possibly inappropriate behavior go unchecked because you weren't sure.
All reports should be made without malice or consideration of personal benefit and the reporting individual should have a reasonable basis for believing the report to be credible.
When you file a report, you will receive a unique report key and will be asked to choose a password. You can return to the EthicsPoint system and access the original report to add more detail, answer questions posed by a company representative, or add further information that will help resolve open questions. We strongly suggest that you answer follow-up questions as this will allow the investigation team to properly assess the suspected violation.
When filing the report, include all information that you believe would be pertinent to the investigation, including individuals involved, timing/date of the violation, any relevant documentation/attachments, detailed description of the incident, and any other relevant information that would help the investigators conduct a thorough review of the report.
All EthicsPoint correspondences are held in the same strict confidence as the initial report.
A more complete and thorough investigation can be conducted if you identify yourself and those involved because it allows the investigator to directly follow-up with you and others, as well as provide updates throughout the investigation process. If you choose to identify yourself when reporting your concern, Zai Lab will make every reasonable effort to hold your name in confidence during the investigation.
If you decide to report anonymously, the EthicsPoint system will protect your anonymity. However, if you wish to remain anonymous, you - as a reporting party - need to ensure that the body of the report does not reveal your identity by accident. For example, “From my cube next to Jan Smith…” or “In my 33 years…”.
The EthicsPoint system will not track or log your IP address, or other identifying information.
Yes. You will be asked to provide the same information that you would provide in an internet-based report and an EthicsPoint interviewer will type your responses into the EthicsPoint Web site. These telephone reports have the same security and confidentiality protections as an internet-based report.
Because of the high level of confidentiality that is maintained for reports, if you lose your report key or password, you will be required to file a new report. Please mention in the new report that this matter relates to a previously filed report.
The EthicsPoint system is designed so that implicated parties are not notified or granted access to reports in which they have been named. As a result, your manager will not know that you have made a report.
Employees or personnel submitting good faith concerns, even if those concerns are ultimately not substantiated, will not be punished for their report, including demotion, removal from job responsibilities, termination, or any other adverse consequences. It is every employee’s duty and responsibility to report behavior that is or may be inappropriate. The company appreciates and values those who help us to continually improve.