Responding to employee concerns and complaints 

SOP Number: YES00051 
Effective Date:  11/27/2024 
Revision Date:  11/27/2024 
Owner:  HR 
Review Frequency: [Quarterly] 
 
 

 

Responsibilities 

List the roles and their responsibilities for this procedure. Be specific about who is responsible for each part of the process. 

1. Role 1: Recruiter  

2. Role 2: Account Manager  

Definitions 

Provide definitions for any terms or acronyms used in this SOP that may not be commonly understood. 

Procedure Steps 

 

Conducting workplace investigations is one of the most challenging duties that HR professionals must take on. Workforce demographics are shifting. New laws are constantly popping up. Managers make mistakes because they aren’t properly trained or they’re under pressure to resolve complaints quickly. Employees are more aware of their rights.  

As an Account Manager, an important part of your job involves addressing the problems and concerns of your staff. The following suggestions may help to make these discussions more pleasant and productive. 

TYPES OF COMPLAINTS 

• Harassment - Staff Complaints - Pay, pay practices, overtime calculation, etc. 

• Discrimination - Rude/Aggressive - Favoritism - Leadership/Co-Worker Conflict 

• Unsafe Working Conditions - SO many others… 

     *REPORT TO HR/ALISON ASAP*       Can be investigated by Account Manager 

REACTING TO THE COMPLAINT 

Your reaction to an employee complaint will set the stage for its resolution, so it pays to have a plan. 

• Be friendly and open to talk - Treat every complaint seriously 

• Do not immediately go into defense mode - Be sincere 

• Give the employee your full attention - Listen to their explanation w/out interrupting 

• Remain neutral about issues involving other people 

• If it’s not clear what the problem is, ask “how can I help?” 

• Show understanding, but not necessarily agreement; don’t promise/imply a specific outcome 

• If conversation becomes escalated, calmly but quickly transfer employee to HR/Alison  

 

If uncomfortable and/or unsure of how to proceed, kindly inform the employee that the HR Manager will get back with them as soon as possible; then inform HR/Alison of the issue ASAP 

The first mistake employers often make is not handling the concern promptly; when a lawsuit arises and the claimant says they went to HR to complain but no one followed up, you’re left without much defense. It’s very important to take complaints seriously and follow up. 

YES COMPLAINT PROCESS 

1. Determine type of complaint - Notify HR ASAP for highly sensitive complaints (detailed above) 

2. Document Employee Complaint – While being very cautious of your verbal/nonverbal reactions 

INFORMATION NEEDED 

Employee Name, Current Phone Number 

The name of the company where they work(ed) 

When & Where incident took place; specific dates/times 

Witness(es) & Contact Information 

Complaint/Incident Details 

If they could choose, what outcome would they like to see? 

 

 

 

 

 

3. Respond appropriately to complaint* - Resolve the issue, or clearly explain why you cannot 

1. i.e., YES and/or Client policy, legal constraints, lack of evidence, etc.  **& DOCUMENT** 

4. Notify YES HR if you feel client is acting illegally, maliciously, or retaliatory, etc. 

*RESPONDING APPROPRIATELY TO COMPLAINT 

- Be Objective 

While it may be tempting to tune out an employee who has made many prior complaints, don’t do it. The 10th time they come to you, you still have to listen to them as if it were the first. 

Sometimes people who are upset or angry fail to provide all the relevant information. They are usually focused on their own point of view to the exclusion of all others. Try to understand the whole situation before deciding what to do next. 

• Be Quick but Thorough 

Stretching an investigation out over a lengthy period tells employees the alleged misconduct isn’t important. As time goes by, it will become more difficult to collect evidence and get witnesses to talk. Details are forgotten. Documents disappear. Bad behavior continues. 

• Maintain Confidentiality 

Encourage all those involved in the investigation to keep the proceedings confidential to protect the integrity of the pr2ocess. If word leaks out, other employees will lose trust and might refuse to share what they know. 

Never share information with a colleague if he or she wasn’t directly involved. It’s not that you can’t trust your colleagues. It’s about mitigating risk whenever possible. However, don’t promise an employee that his or her complaint will remain confidential, because it might be necessary to share the information down the road. 

• Reach a Conclusion 

Ultimately, the investigator must weigh the evidence and conclude whether company policies were violated, or misconduct occurred.  

In a criminal trial, prosecutors must prove “beyond a reasonable doubt” that an act occurred. However, the standard for workplace investigations is “the preponderance of the evidence.” Is it more likely than not that the incident occurred? 

• Follow Up 

Whether a written report was submitted or not, follow up with the employee to notify them that action was taken – even if details can’t be shared for privacy reasons.  

Look for patterns in complaints with specific employees/leads/managers/etc. and/or common complaints against a specific client. Notify HR of any patterns or commonalities that you notice. 

SOME ACCEPTABLE PHRASES TO USE: 

“YES takes these complaints very seriously. Let me get you to our HR Manager to discuss in more detail.” 

 

“I can understand why you would be upset about that. May I discuss this feedback w/our client?” 

 

“Thank you for your willingness to share this information. We want to ensure we’re sending employees to companies where they can be happy, safe, and successful. This feedback can help us with that goal.” 

 

“Although I’m unable to send you back to (client name), we have informed them of this feedback and will work with them to ensure this doesn’t happen again in the future.” 

 

 “I’m sorry I wasn’t able to help you get you the outcome that you wanted. You have the right to contact the Labor Commission if you feel there’s more that should be done.” 

 

Guidelines and Best Practices {OPTIONAL} 

Offer any additional guidelines, tips, or best practices to help with successful execution of this SOP. 

Approval and Revision History 

Version	Date	Approved By	Changes Made
1.0	11/27/2024	IT , ML	Initial Creation

Contact Information 

For questions or support related to this SOP, contact: 
Role/Department: HR 
Email: [email protected] 
Extension: 117