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Free form template · Word

Ethics Complaint Form

An ethics complaint form lets employees, and sometimes vendors, report a suspected breach of the company's code of conduct, such as an undisclosed conflict of interest, accepting gifts, bribery, data misuse or favouritism in vendor selection. It goes to the ethics committee or compliance officer rather than the line manager.

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Preview of the form

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[Company Logo][Company Name]

ETHICS COMPLAINT FORM

To:
Ethics Committee / Compliance Officer, [Company Name]
Reference No.:
[Reference Number]
Date:
[Date]

Use this form to report a suspected breach of the Code of Conduct. You may remain anonymous. Submit to [Ethics Email] or the sealed ethics box at [Location]. Sexual harassment complaints should be made to the Internal Committee.

Reporter (optional)

Name
Employee ID / Vendor Code
Department
Contact (email / phone)
I wish to remain anonymous (Yes / No)

Type of Concern

  • Undisclosed conflict of interest
  • Gifts, hospitality or cash against policy
  • Bribery or kickbacks
  • Favouritism in hiring or vendor selection
  • Misuse of company assets
  • Data privacy or confidentiality breach
  • Falsification of records or expenses
  • Other code of conduct breach

Details

Person(s) involved (name, role)
Business unit / location
When did it happen or start?
Describe the concern
Approximate value involved (₹ [Amount])
How did you come to know?
Evidence available and where it can be found
Others who may have information

Declaration

I make this report in good faith. I understand the Ethics Committee will review it confidentially and impartially, that I am not expected to investigate myself, and that the company prohibits retaliation against anyone who reports a genuine concern.

Reporter (optional)
[Name]
Date: [Date]

Committee Use

Received on
Acknowledged on
Assigned to
Decision: Investigate / Refer / Close (reason)

What this template includes

  • Code of conduct breach categories
  • Persons and business units involved
  • Approximate value involved where relevant
  • How the reporter came to know
  • Evidence and where it can be found
  • Option to remain anonymous
  • Non-retaliation commitment

When to use it

  • An employee suspects a colleague is favouring a vendor in which they have an interest
  • Gifts or cash are being accepted against company policy
  • Customer or employee data is being shared without authorisation
  • Expense or procurement rules are being bypassed

How to customise this template

  1. 1Match categories to your code of conduct chapters
  2. 2Add your ethics email, helpline or drop box
  3. 3Name your ethics committee or compliance officer
  4. 4Allow vendors and contractors to use the form if your policy permits
  5. 5Link to your whistleblower policy for serious financial matters

HR tips

  • Ask reporters not to collect evidence by accessing systems they are not authorised to use
  • Acknowledge anonymous complaints through a reference number they can quote
  • Escalate matters involving senior leaders to the audit committee or board
  • Keep the complainant's identity on a strict need-to-know basis

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Frequently asked questions

What is an ethics complaint?+

A report of suspected breach of the company's code of conduct, such as conflict of interest, bribery, gifts, fraud or data misuse.

How is an ethics complaint different from a whistleblower complaint?+

They overlap. Ethics complaints cover code of conduct breaches generally, while whistleblower channels are often reserved for serious wrongdoing like fraud or legal violations.

Can I report an ethics issue anonymously?+

Yes, the form allows it, though providing a contact helps the committee ask follow-up questions.