How to Design an Effective Employee Complaint/Whistle Blowing Policy
The following questions are designed to guide employers in the initial steps of designing an effective employee complaint policy that will "fit" the company's culture.
1.Are there business considerations that would intensify the need to have an effective internal complaint policy in place? Key factors would be whether or not the company:
- is a contractor or subcontractor for a governmental (federal, state or local) entity
- sells or manufactures hazardous materials or goods
- is not publicly owned
- is not engaged in a type of business that negative media coverage over time could damage profits
- operates in the public trust or requires a level of trust to sell goods
2. Are there values within the company practiced and espoused by senior management that would support an internal complaint philosophy?
3. Is the company culture supportive of handling complaints confidentially, including committing resources to investigate, and willing to address wrongdoing if discovered?
4. Are there state laws that should be reviewed prior to the design of a company policy to ensure that the policy is in compliance?
5. Should the company consider other forms of input such as hotlines, open door policies and suggestion boxes?
Complaint policy contents
- Who will write the policy?
- How will the policy be approved and by whom?
- Who will be responsible for maintaining/updating the policy and procedures?
- Will one person/unit be designated to receive all complaints? If so, what person/unit would have this responsibility?
- Will anonymous complaints be accepted?
- What guidelines will govern investigations?
- How will resources be allocated?
- How will confidentiality be maintained?
- Will external parties be used?
- How will the policy be communicated to employees?
- Assuming wrongdoing is found as a result of an investigation, how will the company respond to the wrongdoer?
- What if the complaint concerns the person/unit that is alleged to be part of the problem?
- Should there be timetables for completing investigations and reporting to a higher authority all complaints and the status of investigations?
- Should the complainant be advised of the status of the investigation and/or the outcome?
- Will there be any appeal process for any party involved?
- Should legal counsel be involved to ensure all alleged criminal activities are reported to the proper authorities?
Reprinted with permission. © CCH
How to Design an Effective Employee Complaint/Whistle Blowing Policy. The following questions are designed to guide employers in the initial steps of designing an effective employee complaint policy that will "fit" the company's culture.
How to Design an Effective Employee Complaint or Whistle Blowing Policy
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