The Company is committed to maintaining the highest standard of conduct and
professionalism and towards this end has formulated a policy that will provide clarity about the
method and process for stakeholders to voice genuine concerns about unprofessional conduct
in breach of this Code. This policy should be read in conjunction with bharti's Code of
This policy aims to:
- Provide an independent forum by means of the Office of the Ombudsperson, for employees
and external stakeholders of the company to raise concerns and complaints about
improper practices which are in breach of the bharti Code of Conduct.
- Put in place a fair and equitable inquiry process and redressal mechanism
- Reassure employees and other stakeholders raising the concerns, that each one will be
fully protected against possible reprisals, intimidation, coercive action, dismissal, demotion
or victimization when a serious and genuine concern of apparent unprofessional conduct
has been made in good faith
scope of policy
This policy is applicable to all employees of the Bharti Group, and to all other stakeholders
interacting with the Bharti Group. It allows those individual employees and other stakeholders
to raise concerns, issues or information of acts or conduct that are in breach of the company's
Code of Conduct.
This policy provides advice and guidance on the procedures to be followed.
who can raise concerns?
- Any employee - be it full-time, part-time or associate employee - or external stakeholder (e.g.
strategic partners, vendors, suppliers, contractors) who observes unprofessional behaviour
can approach the Ombudsperson to voice his or her concerns. The complainant may be either
an observer who is not directly impacted, or a victim who is directly or indirectly affected by
office of the ombudsperson
- The Ombudsperson will administer the policy, for which he/she will have an office with the
necessary facilities, ensuring complete confidentiality.
- The process is designed to offer protection to whoever discloses concerns regarding
unprofessional conduct to the Ombudsperson or, if the complainant prefers, to any other person
in the organization, provided the disclosure is made in good faith and the alleged action or
non-action constitutes a genuine and serious breach of what is laid down in bharti's Code of
A complainant is not a 'trouble maker' or 'sneak' but a person who has come to the decision to
express a concern regarding possible unprofessional conduct, after a lot of thought. The
policy only requires that there be a genuine doubt - the person making the complaint is not
expected to produce unquestionable evidence in support of the allegation. The Company has
an obligation to ensure that a complainant who makes a disclosure in good faith and without
malice is protected, regardless of whether or not the concern raised is ultimately found to be
correct. No action will be taken against the complainant when an allegation made in good faith
is not confirmed by subsequent investigation.
The Company affirms that it will not allow the person raising a concern to be victimized for
doing so. In the unfortunate event where the person would be victimized, the Company will
treat this as a serious matter and take disciplinary action against the perpetrator. The
Ombudsperson will not reveal evidence of unprofessional conduct, and the Company will take
disciplinary action if an employee destroys or conceals any relevant evidence.
However, if an allegation is made or a concern is raised frivolously, maliciously or for personal
reasons, the Company may decide to take appropriate disciplinary or legal action against the
The Ombudsperson will treat all disclosures in a confidential and sensitive manner. The identity
of the person raising the concern will be kept confidential so long as it does not hinder or
frustrate the investigation process. However, the investigation process may reveal the source
of the information on a 'need-to-know-basis' and, under exceptional circumstances, the
person making the disclosure may be required legally or otherwise to provide a statement as
part of the evidence.
Confidentiality clauses in employment contracts to not have the intention of forbidding or
penalizing a person for raising a complaint. Similarly, the policy does not release employees
from their duty of confidentiality in the course of their work.
procedure for addressing a concern
How to voice a concern
A person wishing to raise a concern may do so with the Ombudsperson, either verbally or in
writing by giving background and history of the unprofessional conduct, the reason and
grounds for raising the concern, the identity of the individuals who may be involved and
documentary evidence, wherever available. The earlier the concern is raised, the better.
Complaints may be sent in either of these forms:
In writing (through hard copy mail) to:
Bharti Enterprises Ltd.
1, Nelson Mandela Road
Vasant Kunj, Phase II
New Delhi - 110 070
In writing (through email) to a secure email id, email@example.com
the investigation process
The policy provides for an investigation and resolution process in 3 stages:
- When a matter is referred to the Ombudsperson, he/she will conduct a preliminary review
to determine whether there is, at first face, a case for pursuing the matter further. The
Ombudsperson will hear the complainant and review the documentary evidence, if any
- If the findings from stage 1 confirm the complainant's allegations, the Ombudsperson will
then instigate a preliminary investigation, in which both complainant and the accused
party will be heard. The evidence provided will be investigated more thoroughly. The
Ombudsperson may involve the required investigative bodies, such as the Internal Audit
team. In most cases, the complaint can be resolved at this stage.
- Should this preliminary investigation confirm the issue raised and it is found to be of a
nature requiring a full investigation, the Ombudsperson will hear any other parties or
witnesses he/she wishes to call. If so required, the Ombudsperson may involve any
(external) investigative body, including the police.
When investigating the complaint, the Ombudsperson will take into account the following factors:
• The seriousness of the alleged improper conduct
• The credibility of the concern
• The likelihood of getting confirmation about the Improper Practice from attributable
Within fifteen working days of raising the concern, the Ombudsperson will send an
acknowledgement of receipt of the complaint to the complainant and write to, oor otherwise
notify, the individual(s) against whom the allegation has been raised. The identity of the
complainant will be kept confidential. It will be disclosed only where strictly necessary or when
there is an overriding need for such disclosure. Any requirement for disclosure will be notified
to and its implications discussed with the complainant in advance.
position of person against whom a concern was raised
The person against whom the complaint has been made will be given an opportunity to be
heard by the Ombudsperson as soon as possible after receipt of the complaint and comment
and state his/her position again before the investigation is finally concluded.
resolution and actions taken
A resolution of the complaint may be achieved at any of the 3 levels. The investigation and
resolution will be handled as speedily and sensitively as possible. However, to ensure that
fairness will not be compromised, hasty investigation procedures will be avoided, which may
from time to time lead to some delayed resolution.
In case the findings of the investigative process support the allegation, action will be taken
against the perpetrator(s).
The Ombudsperson will prepare a detailed report of the final result, including recommended
action to be taken if the complaint/disclosure is found to be genuine. A summary report with
recommended action in line with the Company's Consequence Management Policy, will be
sent to the relevant operational and HR management members. The Ombudsperson will ensure
that any action taken will be in proportion to the severity of the wrongdoing.
communication with complainant
The Ombudsperson will send a note, or inform verbally, on the conclusion of the investigation
and where applicable, action taken to the complainant and close the matter.
An annual report will be prepared by the Ombudsperson of which copies will be sent to the Head
of Internal Assurance. The report will not contain any names. The Head of Internal Assurance
will share the report with the members of the Board Audit Committee.
communication and implementation of the ombudsperson policy
The implementation of this policy will be the responsibility of the Ombudsperson.
A copy of the policy is available to all employees on the various company intranets. The
policy will be explained to new joinees at the time of induction and continuous communication
will ensure that awareness of the Code of Conduct and Ombudsperson Policy is cascaded to all
in the organization.