How to Handle Complaints Properly

Every workplace needs clear, accessible procedures for employees to raise concerns. These procedures should be documented in employment policies and communicated to all staff during induction and regularly thereafter.

Effective complaint procedures outline multiple avenues for raising concerns, from informal discussions with supervisors to formal written complaints. They should specify who complaints can be made to, what information should be included, and what employees can expect in terms of response times and process.

The procedures must be designed to handle various types of complaints, from minor workplace issues to serious matters like bullying and harassment or discrimination. Having different pathways for different types of concerns helps ensure appropriate responses.

Importantly, complaint procedures should include protections against retaliation and assurances of confidentiality where possible. Employees need to feel safe raising concerns without fear of negative consequences for their employment.

The first response to a complaint sets the tone for the entire process. Employers should acknowledge complaints promptly, typically within 2-3 working days, even if a full investigation cannot begin immediately.

The initial response should thank the employee for raising the concern, outline what will happen next, and provide realistic timeframes for the investigation process. This demonstrates that the complaint is being taken seriously and helps manage expectations.

During the initial response, employers should assess the urgency and seriousness of the complaint. Some issues may require immediate action to ensure workplace safety or prevent further harm, while others can follow standard investigation timelines.

It's crucial to maintain confidentiality during this stage and avoid making premature judgements about the complaint's validity. The focus should be on gathering information and planning an appropriate response rather than reaching conclusions.

A thorough and impartial investigation is the cornerstone of proper complaint handling. The investigation should be conducted by someone who is appropriately trained and has no conflict of interest in the matter.

The investigation process must follow principles of natural justice, giving all parties the opportunity to present their version of events and respond to allegations. This includes interviewing the complainant, any witnesses, and the person against whom the complaint is made.

Documentation is critical throughout the investigation. All interviews should be recorded in writing, relevant documents collected, and a clear timeline of events established. This documentation may be crucial if the matter escalates to formal proceedings.

For guidance on conducting thorough workplace investigations, employers should refer to resources on how to run a fair investigation. Complex cases may require external investigators to ensure impartiality.

The investigation should be completed within a reasonable timeframe, typically 4-6 weeks for straightforward matters. If delays are unavoidable, all parties should be kept informed of progress and revised timelines.

Once the investigation is complete, employers must make decisions based on the evidence gathered. This requires careful analysis of all information and consideration of the balance of probabilities rather than requiring absolute proof.

Decisions should be documented clearly, explaining what was found, what conclusions were reached, and the reasoning behind those conclusions. This documentation should be comprehensive enough to withstand scrutiny if the matter is later challenged.

Where complaints are substantiated, appropriate remedial action must be taken. This might include disciplinary action against the respondent, changes to workplace practices, additional training, or other measures to address the underlying issues.

Even where complaints are not fully substantiated, employers should consider whether there are improvements that could be made to prevent similar issues arising. The goal is not just to resolve the immediate complaint but to improve the workplace for everyone.

All parties should be informed of the outcome in writing, with appropriate detail about what was found and what actions will be taken. The level of detail shared may vary depending on privacy considerations and the nature of the complaint.

Proper complaint handling doesn't end with the investigation outcome. Employers should follow up with all parties to ensure that agreed actions have been implemented and that there are no ongoing issues.

Regular check-ins with the complainant help ensure that any remedial measures are working effectively and that there has been no retaliation for making the complaint. This demonstrates ongoing commitment to resolving the issue.

Monitoring should also extend to the broader workplace to identify whether similar issues are arising elsewhere. Patterns of complaints may indicate systemic problems that need addressing through policy changes or cultural improvements.

Documentation of follow-up activities is important for demonstrating that the employer has taken the complaint seriously and followed through on commitments made during the investigation process.

Employers have various legal obligations when handling workplace complaints, stemming from employment law, health and safety legislation, and human rights law. Understanding these obligations is crucial for avoiding legal liability.

The Employment Relations Act requires employers to act in good faith, which includes taking employee concerns seriously and responding appropriately. Failure to handle complaints properly can constitute a breach of good faith obligations.

Health and safety legislation requires employers to provide a safe workplace, which includes addressing complaints about workplace hazards, bullying and harassment, or other safety concerns promptly and effectively.

Human rights legislation prohibits discrimination and harassment on various grounds. Complaints involving these issues require particularly careful handling to ensure compliance with legal requirements and to protect the rights of all parties involved.

Employers should also be aware of their obligations regarding confidentiality, record-keeping, and reporting certain types of incidents to relevant authorities where required.

One of the most serious risks in complaint handling is retaliation against employees who raise concerns. Employers must take active steps to prevent retaliation and respond quickly if it occurs.

Retaliation can take many forms, from obvious actions like demotion or dismissal to more subtle behaviours like exclusion from meetings, reduced responsibilities, or a hostile work environment. All forms of retaliation are prohibited and can lead to serious legal consequences.

Prevention strategies include clear policies prohibiting retaliation, training for managers and supervisors, and regular monitoring of the complainant's treatment following the complaint. Creating a culture where raising concerns is seen as positive rather than problematic is essential.

If retaliation does occur, employers must respond immediately and decisively. This may include disciplinary action against those responsible for the retaliation and additional measures to protect the complainant.

For more information about addressing retaliation issues, see our guide on retaliation and reprisal in the workplace.

While many workplace complaints can be handled internally, there are situations where legal advice is essential. Recognising when to seek professional help can prevent minor issues from becoming major legal problems.

Legal advice should be sought for complaints involving serious allegations such as sexual harassment, discrimination, or criminal behaviour. These matters require specialist knowledge and careful handling to ensure legal compliance and appropriate outcomes.

Complex investigations involving multiple parties, conflicting evidence, or potential disciplinary action may also benefit from legal guidance. Employment lawyers can provide advice on investigation procedures, evidence assessment, and appropriate responses.

If a complaint escalates to a formal personal grievance or other legal proceedings, professional representation becomes crucial. Early legal advice can often prevent escalation or help resolve matters through mediation.

For guidance on when legal assistance is needed, see our comprehensive guide on when to get a lawyer for employment issues.

Proper documentation is essential throughout the complaint handling process. Good records protect both employers and employees by providing clear evidence of what occurred and how it was addressed.

Documentation should begin from the moment a complaint is received and continue through investigation, decision-making, and follow-up. This includes records of all communications, interview notes, evidence collected, and decisions made.

Records should be factual, objective, and contemporaneous. Avoid speculation, personal opinions, or judgmental language. Focus on documenting what was said, what was observed, and what actions were taken.

Confidentiality and privacy considerations are important in record-keeping. Access to complaint files should be restricted to those with a legitimate need to know, and records should be stored securely.

Retention periods for complaint records vary depending on the nature of the complaint and potential legal implications. Generally, records should be kept for at least seven years, and longer for serious matters that could result in legal proceedings.