F-Q142 Ethical Behaviour Assessment
| File Reference : | F-Q142 Ethical Behaviour Assessment |
Ethical behaviour can sound woolly, but both versions keep it to plain questions about how the organisation actually works, each answered yes, partly, no or N/A.
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Further guidance on ethical behaviour and ISO 9001:2026:
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Ethical Behaviour Assessment Template
The Ethical Behaviour Assessment is a check of how an organisation behaves, for the organisation as a whole or for a single branch or department. It comes in a light version for a quick check and a full version for a thorough review. Each question is answered Yes (in place and evidenced), Partly (incomplete or not evidenced), No (not in place) or N/A, and anything to follow up is noted at the end.
ISO 9001:2026 asks top management to promote ethical behaviour (clause 5.1.1 i)) and the people doing the work to be aware of it (clause 7.3 e)). The assessment gives you a practical way to look at where the organisation stands and keep a record of what you found.
Built for ISO 9001:2026 and Responsible Business Conduct
Both versions are set out so the answers mean something.
- A scope and assumptions row records what is being assessed, anything excluded and the basis of the assessment before any question is answered.
- The Partly response separates what is in place and evidenced from what is incomplete or not evidenced.
- Leadership by example and awareness at induction and afterwards are covered alongside honesty, bribery, people, customers, suppliers and the environment.
- A Comments / Actions box at the end lets you note anything to follow up, for example actions added to the organisation's own actions register.
What's Included in the Light Version (F-Q142A)
- Details - company or location, completed by, date completed, and scope and assumptions.
- Questions - each with a response and a comments column, covering written values and code of conduct; leadership by example; honest records; open reporting of mistakes; accurate claims; raising concerns safely; bribery; gifts, hospitality and conflicts of interest; freely chosen work and minimum age; fair pay and terms; fair treatment; customer data; complaints; supplier standards and fair payment; reducing environmental impact and a positive effect on the local community; and awareness of values and standards of conduct at induction and afterwards.
- Comments / Actions - a free-text box, then reviewed by and date.
What's Included in the Full Version (F-Q142B)
The full version uses the same details block and responses, with the questions grouped into sections and a wide Evidence / Comments column.
- Leadership, values and governance - written standards of conduct and who they apply to, accountability in top management, leading by example, ethical risk in significant decisions, and reviewing how well the standards are working.
- Honesty and integrity of information - truthful records, freedom to hold back work that does not meet requirements, open reporting of mistakes, accurate information for customers, regulators, auditors and certification bodies, and evidenced claims.
- Raising concerns - routes for workers and for people outside the organisation, protection from retaliation, and how concerns are looked into and fed back.
- Bribery, corruption and conflicts of interest - bribes and facilitation payments, gifts and hospitality, conflicts of interest, checks on agents and intermediaries, complete financial records, and political or charitable contributions and sponsorship.
- People and working conditions - freely chosen work, minimum age and young workers, fair pay and terms, fair decisions, worker representation, health, safety and wellbeing, and bullying and harassment.
- Customers and fair competition - clear prices and terms, customer data, complaints and redress, customers who may be vulnerable, and fair competition.
- Suppliers and supply chain - standards set for suppliers, ethical risk in selecting and reviewing them, paying on the agreed terms and on time, and acting where a supplier falls short.
- Environment, community and tax - significant environmental impacts including climate change, a precautionary approach, the effect on local communities, and paying the taxes due.
- Human rights and technology - where activities could harm people's human rights, the effects of technology such as artificial intelligence, automated decisions and monitoring of workers, and putting things right.
- Awareness and training - induction, understanding how the standards apply to each role, and keeping them fresh through ongoing training or communication.
- Comments / Actions - a free-text box, then reviewed by and date.
Choosing the Light or Full Version
The light version suits a smaller organisation, a single site or department, or a first look at ethical behaviour. The full version suits a thorough review, for example ahead of a management review, to support ESG or responsible business reporting, or to answer due diligence questions from customers. Use whichever fits the organisation and the depth of review you want.
Who Needs an Ethical Behaviour Assessment?
Organisations working to ISO 9001:2026 that want to show how ethical behaviour is promoted and understood, and any business that wants to check its own conduct against recognised standards of responsible business. It can be completed by a manager or director, or worked through with the people who know each area.
Where the Questions Come From
The questions draw on:
- the UN Global Compact principles
- the UN Guiding Principles on Business and Human Rights
- the OECD Guidelines for Multinational Enterprises on Responsible Business Conduct (2023)
- ISO 26000 clause 4.4 (ethical behaviour)
- ISO 9001:2026 clauses 5.1.1 i) and 7.3 e)
Available with an alphaZ Subscription
Both versions are sold together on this page, and are also available to download with an alphaZ Subscription, along with the rest of the alphaZ document library.
Pairs with the Supplier Appraisal Form
To ask suppliers and contractors about the same kind of conduct, the F-Q9 Supplier Appraisal Form comes with ethical behaviour (F-Q9A) and ethical behaviour and sustainability (F-Q9B) versions. The organisation's values and expected standards of conduct can be written down in the P-52 Ethics and Code of Conduct Policy.