Frequently Asked Questions

About EthicsPoint Reporting — General Reporting Security & Confidentiality Tips & Best Practices

About EthicsPoint

What is EthicsPoint?

EthicsPoint is a confidential reporting tool created by NAVEX to assist Grant Thornton LLP and our personnel in addressing fraud, abuse, and other misconduct or unethical behavior in the workplace.

Why do we need a system like EthicsPoint?

  • Grant Thornton makes every effort to foster an environment in which people feel safe to report perceived unethical behavior without the fear of retaliation or retribution. There are multiple channels available within the firm to report violations or other misconduct, and people are encouraged to use them.
  • In addition, EthicsPoint allows an individual to report a concern anonymously. An effective anonymous reporting system will augment our other efforts to foster a culture of integrity and ethical decision-making.

Reporting — General

May I report using either the internet or the telephone?

Yes. With EthicsPoint, you have the ability to file a confidential, anonymous report via either the telephone or the internet.

What type of situations should I report?

The EthicsPoint system is designed for reporting any violation of our stated Code of Conduct, or other concern you may have.

If I see a violation, shouldn't I just report it to my supervisor or human resources and let them deal with it?

If you feel that any laws have been violated or any firm policies or standards breached, we expect you to report it. Ideally, you should bring any concerns forward to your supervisor, human resources or other member of leadership. We recognize, however, that there may be circumstances when you are not comfortable reporting the issue in this manner. It is for such circumstances that Grant Thornton has partnered with EthicsPoint. We would rather you report anonymously than keep the information to yourself.

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

We all have the right to work in a positive environment, and with that right comes the responsibility of acting in an ethical manner and letting the appropriate people know if someone is engaging in misconduct. All unethical conduct, at any level, ultimately hurts the firm and its personnel. Grant Thornton’s success depends upon our collective commitment to the highest standard of ethics, integrity and professional excellence in all we do.

Does Grant Thornton leadership really want me to report?

We certainly do. In fact, we need you to report. You may have initial knowledge of an activity that may be cause for concern. Your reporting can minimize the potential negative impact on the firm and our people.

Where do these reports go? Who can access them?

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 Grant Thornton who are charged with evaluating the report, based on the type of violation and/or location of the incident. Each of these report recipients is required to treat reported information in confidence, and to share information only on a need-to- know basis.

Reporting Security & Confidentiality

Does a report sent from a Grant Thornton laptop generate a server log that shows every web-site that my laptop connects with, and won’t this log identify me as a report originator?

EthicsPoint does not generate or maintain any internal connection logs with IP addresses, so no information linking your work laptop to EthicsPoint is available. In fact, EthicsPoint is contractually committed not to pursue a reporter’s identity.

If you feel uncomfortable making a report on your work laptop, you have the option of using a computer outside of your work environment through the EthicsPoint secure website.

Can I file a report from home and still remain anonymous?

A report from home, your personal computer, or any online portal will remain secure and anonymous. An online portal never identifies a visitor by screen name and the EthicsPoint system strips away internet addresses so that anonymity is maintained. Plus, EthicsPoint is contractually committed not to pursue a reporter’s identity.

I am concerned that the information I provide EthicsPoint will ultimately reveal my identity. How can you assure me that will not happen?

The EthicsPoint system is designed to 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 workspace next to Jan Smith…” or “In my 33 years working in the Orlando office…”.

If the identity of a reporter who desires anonymity is learned or becomes known we will try to protect anonymity if possible. However, anonymity and confidentiality cannot be guaranteed. A reporter’s identity may be discovered (or need to be made known) in connection with an investigation but no retaliation will be permitted against anyone who reporters a concern in good faith.

Is the telephone toll-free hotline confidential and anonymous too?

Yes. You will be asked to provide the same information that you would provide in an online-based report and an interviewer will type your responses into the EthicsPoint Web site. These reports have the same security and confidentiality measures applied to them during delivery.

What if I want to be identified with my report?

There is a section in the report for identifying yourself, if you wish.

Tips & Best Practices

I am not sure if what I have observed or heard is a violation of firm policy, or involves unethical conduct, but it just does not look right to me. What should I do?

File a report. EthicsPoint can help you prepare and file your report so it can be properly understood. We'd rather you report a situation that turns out to be harmless than let possible unethical behavior go unchecked because you weren't sure.

What if my boss or other managers are involved in a violation? Won’t they get the report?

The EthicsPoint system and report distribution are designed so that implicated parties are not notified or granted access to reports in which they have been named.

What if I remember something important about the incident after I file the report? Or what if the firm has further questions for me concerning my report?

When you file a report online or by telephone, you receive a unique user name and are asked to choose a password. You can return to the EthicsPoint system again either by internet or telephone and access the original report to add more detail or answer questions posed by a Grant Thornton representative and add further information that will help resolve open issues. We strongly suggest and encourage you to return to the site in the time specified to answer questions.

Are these follow-ups on reports as secure as the first one?

All EthicsPoint correspondences are held in the same confidence as the initial report, continuing under the umbrella of anonymity.

Can I still file a report if I don’t have access to the internet?

You can file an EthicsPoint report from any computer that can access the internet including from home. If you don’t have access to or are uncomfortable using a computer, you can call the EthicsPoint toll-free hotline, which is available 24 hours a day, 365 days a year.