Frequently Asked Questions – About EthicsPoint
About EthicsPoint
Reporting – General
Reporting Security & Confidentiality
Tips & Best Practices
About EthicsPoint
What is EthicsPoint?
EthicsPoint is a comprehensive and confidential reporting tool created by NAVEX that enables management and employees to work together to address fraud, abuse, and other misconduct in the workplace while cultivating a positive work environment.
What is the role of Fannie Mae Ethics?
Fannie Mae Ethics serves as a hub for employees and external parties to raise compliance and ethics concerns confidentially and/or anonymously, and without fear of retaliation; administers the employee and contingent worker codes of conduct; and is available to answer your questions and provide guidance related to the codes of conduct and related policies. Fannie Mae Ethics also manages the Ethics Helpline and facilitates the investigation of all complaints.
Why do we need a system like EthicsPoint?
- Our employees are our most important asset. By creating open channels of communication, we promote a positive work environment and maximize productivity.
- Publicly traded companies are required by law to have a confidential or anonymous reporting vehicle to address accounting and auditing fraud concerns.
- An effective reporting system augments our other efforts to foster a culture of integrity and ethical decision-making.
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Reporting – General
May I report using either the Internet or the telephone?
Yes. EthicsPoint enables you to file a confidential, anonymous report via either the telephone or the Internet. While complaints may be submitted anonymously, we encourage all reporters to provide contact information to ensure Fannie Mae has all the relevant information needed to resolve reports. If you wish to maintain your anonymity, you may provide an unidentifiable email address that allows us to communicate with you without revealing your identity. Please understand that a full investigation may not be possible if an anonymous compliant lacks sufficient information.
What types of situations should I report?
The EthicsPoint system allows employees and third parties to report any violation of law, our stated Code of Conduct, the Service Requirements for Contractors and Consultants, related policies, or other concerns. We strongly encourage you to report immediately any suspected or potential violation of law, our codes of conduct, and policies.
If I see a violation, shouldn't I just report it to my manager, security, or human resources and let them deal with it?
When you observe behavior that you believe violates our Code of conduct or Service Requirements for Contractors and Consultants, we expect you to report it. You may raise questions or concerns to your manager, any people manager or Officer, Human Resources, or Fannie Mae Ethics. We recognize, however, that there may be circumstances when you are not comfortable reporting the issue to your manager, management chain, or other Officer. It is for such circumstances that we have partnered with NAVEX. We would rather you report anonymously than keep the information to yourself.
Raising concerns within Fannie Mae does not prevent you from reporting the same concerns to law enforcement or relevant government entity if you suspect a potential violation of law.
Why should I report what I know? What’s in it for me?
We are committed to fostering a productive, healthy, and safe workplace, where we value and respect each individual and operate to maintain the highest level of integrity. At Fannie Mae, discussion and disclosure of issues is a responsibility shared by all of us. As embodied in our Code of Conduct, “We Raise Compliance and Ethics Concerns,” we step up to address difficult issues and promptly raise compliance and ethics questions and concerns that come to our attention.
By working together, we can maintain a healthy and productive environment, as corporate misconduct can threaten the very existence of an entire company.
Does management really want me to report?
Yes. In fact, we need you to report. You know what is happening at Fannie Mae - 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 Fannie Mae and our people. Also, offering positive input may help identify issues that can improve corporate culture and performance.
Where do these reports go? Who can access them?
Reports are entered directly on the EthicsPoint secure server. NAVEX makes these reports available only to specific individuals within the company who are charged with evaluating the report, based on the type of violation and location of the incident. Each of these report recipients has had training in keeping these reports in the utmost confidence. EthicsPoint is designed so that implicated parties are not notified or granted access to reports in which they are named.
Isn't this system just an example of someone watching over me?
No. EthicsPoint is a positive aspect of our overall philosophy that allows us to ensure a safe, secure, and ethical workplace free of retaliation. As employees, we share a duty and the ability to make Fannie Mae a better place for all of us and seek guidance on ethical dilemmas, provide positive suggestions, or communicate a concern. Effective communication is critical in today's workplace and this is a great tool to enhance that communication.
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Reporting Security & Confidentiality
It is my understanding that any report I send from a company computer generates a server log that shows every website that my PC connects with. Won't this log identify me as the report originator?
NAVEX does not generate or maintain any internal connection logs with IP addresses, so no information linking your PC to EthicsPoint is available.
If you feel uncomfortable making a report on your work PC, you have the option of using a PC outside our work environment (such as one located at an Internet café or at a friend’s house) through the EthicsPoint secure website. Many people choose this option, as NAVEX data shows that fewer than 12% of reports are generated during business hours.
Can I file a report from home and still remain anonymous?
A report from home, a neighbor’s computer, or any Internet portal will remain secure and anonymous. An Internet portal never identifies a visitor by screen name, and the EthicsPoint system strips away Internet addresses so that anonymity is totally maintained.
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 protects 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...".
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 Internet-based report. An interviewer will type your responses into the EthicsPoint Website. 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 to identify yourself, if you wish.
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Tips & Best Practices
I am aware of some individuals acting unethically, but it doesn't affect me. Why should I bother reporting it?
Fannie Mae is committed to ethical decision-making and demonstrating the highest level of integrity in any situation that may arise. It is our shared obligation to know and uphold our Code of Conduct. It helps us manage risk, supports a safe and sound housing system, and guides us to get things done the right way. All unethical conduct, at any level, ultimately hurts Fannie Mae and all employees, including you. If you know of any incidents of misconduct or ethical violations, consider it your duty to yourself and your coworkers to report it.
I am not sure if what I have observed or heard is a violation of company policy, or involves unethical conduct, but it just does not look right to me. What should I do?
File a report. NAVEX 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.
What if my boss or other managers are involved in a violation? Won't they get the report and start a cover-up?
The EthicsPoint system and report distribution ensure 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 company has further questions for me concerning my report?
When you file a report at the EthicsPoint Website or through the EthicsPoint Call Center, you receive a unique, randomized number called a “Report Key” 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 Fannie Mae representative. We strongly suggest that you return to the site in the time specified to answer any questions or requests and ensure Fannie Mae can fully investigate your complaint. You and Fannie Mae have now entered into an “anonymous dialogue,” where situations are not only identified, but can also be resolved, no matter how complex.
Are these follow-ups on reports as secure as the first one?
All EthicsPoint correspondences are held in the same strict confidence as the initial report, continuing under the umbrella of anonymity.
What if I lose my Report Key or forget the Password I created?
To ensure that security and confidentiality is maintained, if you lose your report key or password, you will need to file a new report. Mention in the new report that it is related to a report or question you previously submitted.
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. You can file from home. Many public locations, including the public library, have Internet computers. 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.