How do we handle an employee who habitually bypasses his supervisor or internal procedures with complaints?

Reining in chronic complainers and those who choose not to follow organizational policies and procedures is challenging. Employers can start by troubleshooting why the employee feels compelled to bypass his or her supervisor and to complain to higher levels or outside agencies. Once an employer has a better understanding of the reasons behind the employee’s unwillingness to follow the preferred reporting structure, finding an appropriate response may be easier. Below are some steps for organizations to consider:

• Distinguish between the complainer and the complaint. Understanding the concerns raised by the employee may help the organization understand why the employee is not following procedure. What is the exact nature of the employee’s complaints? Is the employee alleging unsafe or illegal practices or discrimination, or is the nature of the complaints unclear? Is the employee reporting improper behavior occurring in his or her department or by his or her supervisor?
• Examine internal complaint processes. Employers should review their internal policies and consider if the employee is aware of the available reporting options. If the employee is aware of the options, and the employer does not see any reason why the employee would be uncomfortable following them, the organization should consider if the internal complaint process itself is unwieldy.
  • Does the organization have a formal complaint process?
  • Does the organization have a confidential and anonymous reporting hotline?
  • How frequently are employees informed about the internal complaint process?
  • How quickly are complaints responded to and resolved?
  • What, if any, communication is provided to employees about their complaint resolution?
  • Review organizational records about who uses the internal complaint process and evaluate employees’ experiences. Are employees encouraged or discouraged from using the complaint system and by whom?
  • Verify if the employee used the internal complaint process; dates, issues and resolution need to be checked. Examine communications to the employee, including those outlining the complaint’s resolution.
  • Look for information about other employees who may have bypassed the internal complaint process. Can patterns be discerned, or is this particular employee an isolated case?
• Understand that some employees may be protected under federal or state retaliation or whistle-blower protections or employer policy. The [KM1] U.S. Department of Labor, the Equal Employment Opportunity Commission, and state whistle-blower laws oversee numerous federal whistle-blower and nonretaliation protections, which protect employees who report employer wrongdoings or illegal acts. If the employee is addressing serious issues, he or she is benefiting the organization by pointing out the concerns, regardless of protocol.
• Examine and consider options. After reviewing the situation, employers should address and weigh the following questions:
  • Is the employee raising legitimate concerns?
  • Is there a reason the employee would be uncomfortable talking to his or her primary supervisor?
  • Does it matter if the employee speaks to another supervisor or to HR about the issue?
  • Is there a need for counseling or training of this employee’s supervisor or all supervisors on organizational policies and procedures or on conflict resolution?

Employees who raise concerns can be an organization’s early warning system signaling compliance concerns. They can also be an organizational barometer measuring the culture and need for reform. Listening to the employee and directing him or her to the most appropriate person who can help solve the concern is the first step in calming the situation.