Purpose and Scope
This policy defines how employees at [Organisation Name] can raise work-related concerns informally or formally, and outlines our process for resolving them.
It applies to all employees and covers concerns about:
- Treatment by managers or peers
- Working conditions and workload
- Management decisions
- Application of organizational policies
- Coworker conduct
Specific complaints follow dedicated procedures:
- Harassment and discrimination complaints must follow the [Anti-Harassment Policy].
- Reports of suspected illegal activity or serious wrongdoing must follow the [Whistleblower Policy].
If an employee submits a complaint under this policy that belongs under a dedicated procedure, management or HR will reroute it automatically. The employee does not need to refile.
This policy is not an employment contract and does not change the at-will employment relationship at [Organisation Name].
Working through related paperwork at the same time? See also our Disciplinary Outcome Letter Template, Form I-9 Employment Verification Procedure Template and Layoff / Reduction in Force Policy Template.
Open-Door Approach
Employees may raise workplace concerns with any level of management. While we encourage talking to a direct manager first to resolve issues quickly, employees can contact any of these intake points:
- Direct Manager
- Skip-Level Manager
- [HR Representative]
- [Senior Leader]
Employees do not have to report a concern to anyone named in the complaint.
Managers who receive a concern must act immediately:
- Listen to the employee and document the facts.
- Resolve the issue directly if they have the authority.
- Route the matter to [Role / Department] if it requires higher-level intervention or an investigation.
Raising a Complaint
Employees can submit concerns using any of these options:
- Informal Verbal Reporting: Speak directly, call, or message any manager.
- Formal Written Reporting: Submit a written report to [HR Representative / Email / Internal Form]. Include details of what happened, dates, people involved, and your requested outcome.
- Anonymous Reporting: Submit via [Reporting Channel / System]. We will investigate anonymous reports as far as the provided information allows.
- Group Reporting: Raised jointly by multiple employees regarding shared working conditions, hours, or wages.
- External Reporting: Submit directly to government regulatory or enforcement agencies at any time. Prior internal reporting is not required.
Complaint Handling Procedure
Once we receive a formal written complaint, [Organisation Name] follows these steps:
- Acknowledgment: The receiving manager or [Role] sends a written acknowledgment to the employee within [Timeframe]. This confirms receipt and names the person handling the case.
- Triage: [Role] evaluates the complaint to choose the resolution path: informal discussion, management decision, or formal investigation. Matters involving safety, legal violations, discrimination, or harassment transfer immediately to their dedicated processes.
- Investigation: When a formal review is necessary, an impartial investigator gathers facts, interviews relevant parties (including the subject of the complaint), and keeps detailed notes. No one may investigate a complaint that involves them or their own decisions.
- Outcome Notice: The employee receives written notice of the investigation outcome within [Timeframe], detailing corrective actions where appropriate.
- Follow-Up Check: [Role] checks back with the employee after [Timeframe] to confirm the resolution is working and verify that no retaliation has occurred.
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Protection from Retaliation
We strictly prohibit retaliation against anyone who raises a concern in good faith, participates in an investigation, or supports another employee’s complaint.
Prohibited retaliatory actions include:
- Disciplinary action
- Demotion or cut hours
- Assigning undesirable tasks
- Exclusion from workplace activities
- Harassment or intimidation
Anyone who retaliates will face disciplinary action, up to and including termination.
Good-faith reporting means sharing honest information, whether or not the investigation confirms the issue. Knowingly making false or malicious accusations is misconduct and will lead to discipline under the [Progressive Discipline Policy].
Confidentiality
We share complaint and investigation details strictly on a need-to-know basis with those directly involved in investigating or resolving the issue.
While we cannot guarantee absolute secrecy due to fairness requirements, everyone involved must exercise discretion. Employees and witnesses must keep investigation details confidential to protect the integrity of the process.
Records and Policy Review
- Recordkeeping: [System / Location] stores all formal complaints, investigation notes, outcomes, and follow-up records. Access is restricted to [Roles]. Records are kept for [Retention Period].
- Pattern Analysis: [Role] reviews the complaint log [Frequency] to identify systemic issues, recurring operational challenges, or management trends.
- Policy Owner: [Role]
- Review Cycle: [Frequency, e.g., Annually]
- Next Review Date: [Date]
FAQs on an employee complaint and open-door policy
What is an employee complaint and open-door policy?
An employee complaint and open-door policy defines how employees at your organisation can raise work-related concerns informally or formally, and outlines our process for resolving them.
Having it written down means the same rules apply to everyone, so managers are not making judgement calls case by case under pressure.
What does an employee complaint and open-door policy include?
This template covers open-door approach, raising a complaint, complaint handling procedure and protection from retaliation.
Every section is written to be filled in. The bracketed placeholders mark the decisions that are yours to make, such as timescales, approval owners and retention periods.
How to implement an employee complaint and open-door policy with Whale
Copy this template into Whale and work through the bracketed placeholders so it reflects how your organisation actually operates.
Assign it to the teams it applies to so it sits where people work rather than in a shared drive, and set a review date so it gets revisited on schedule instead of quietly going out of date.
Use our templates to fast-track your documentation
Customize this template and 100s of others for free in Whale, the fastest way to get your team aligned.
