How to Deal witH employee Complaints anD ConCerns

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DISCLAIMER: The principles and suggestions in this handout and the HOW TO DEAL WITH EMPLOYEE COMPLAINTS AND CONCERNS webinar are presented to apply to diverse personal and company situations. These materials and the overall seminar are for general informational and educational purposes only. The materials and the seminar, in general, are presented with the understanding that CareerTrack is not engaged in rendering legal advice. You should always consult an attorney with any legal issues.

©2011 CareerTrack, a division of PARK University Enterprises, Inc. Registered U.S. Patent & Trademark Office and Canadian Trade-Marks office. Except for the inclusion of brief quotations in a review, no part of this book may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying, recording or by any information storage and retrieval system, without permission in writing from PARK University Enterprises, Inc.

©2011 CareerTrack, a division of PARK University Enterprises, Inc. Registered U.S. Patent & Trademark Office and Canadian Trade-Marks office. Except for the inclusion of brief quotations in a review, no part of this book may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying, recording or by any information storage and retrieval system, without permission in writing from PARK University Enterprises, Inc.

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employee Complaint themes

top ten themes

1. Higher salaries

2. internal pay equity

3. Benefit programs

4. over-management

5. pay increase guidelines

6. Hr Dept. response to questions & concerns

7. Favoritism

8. Communication & availability of management

9. Heavy workloads

10. Facility cleanliness

Based on responses from 2.2 million workers in 2,100 different companies across an array of industries.

©2011 CareerTrack, a division of PARK University Enterprises, Inc. Registered U.S. Patent & Trademark Office and Canadian Trade-Marks office. Except for the inclusion of brief quotations in a review, no part of this book may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying, recording or by any information storage and retrieval system, without permission in writing from PARK University Enterprises, Inc.

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But that’s not all they Complain about!

1. “Beth is just too suntanned!”

2. “my boss breathes too loud.”

3. “wilbur eats all the good cookies.”

4. “sally has big hair.”

5. “i want Fred checked for ticks.”

6. “shelia has bells on her shoes and it’s not even Christmas.”

7. “Juan’s body is magnetic and keeps de-activating my access card.”

8. “rosemary is so polite… it’s infuriating.”

From: CareerBuilder survey of 2, 667 HR Manager’s Oddest Complaints.

©2011 CareerTrack, a division of PARK University Enterprises, Inc. Registered U.S. Patent & Trademark Office and Canadian Trade-Marks office. Except for the inclusion of brief quotations in a review, no part of this book may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying, recording or by any information storage and retrieval system, without permission in writing from PARK University Enterprises, Inc.

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three levels of employee Complaintsemployee Comments

• A report that the employee has seen or heard of a policy violation or rules infraction.

• Generally, the employee is not in distress.

• Thank the employee and get the basic facts…who, what, when, where, etc.

• Partner with HR to determine appropriate next steps.

employee Concerns• A report of behavior that has been ongoing or involves multiple incidents.

• The employee is showing signs of moderate distress.

• Thank the employee, listen actively, acknowledge their emotion, get the facts, take appropriate interim measures, and advise of steps that will be taken.

• Partner with HR to determine course of action.

• Keep employee in the loop as necessary and appropriate.

employee Convictions• A report of serious improprieties, offensive conduct, mistreatment, etc.

• The employee is noticeably agitated and shows high levels of emotion.

• Remain calm, allow venting to occur, thank the employee, acknowledge their emotion, avoid marginalizing the complaint, convey concern and urgency, advise of next steps.

• Partner with HR to determine course of action.

• Keep employee in the loop as necessary and appropriate.

©2011 CareerTrack, a division of PARK University Enterprises, Inc. Registered U.S. Patent & Trademark Office and Canadian Trade-Marks office. Except for the inclusion of brief quotations in a review, no part of this book may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying, recording or by any information storage and retrieval system, without permission in writing from PARK University Enterprises, Inc.

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Complaints occur naturally and inevitably when…

• Employees have different interests.

• Personal goals and priorities conflict.

• Resources are scarce; time is limited.

• Communication is unclear or misunderstood.

• Cultural norms differ.

• Multiple generations are involved.

• Personalities clash.

• Some folks choose to simply be difficult.

©2011 CareerTrack, a division of PARK University Enterprises, Inc. Registered U.S. Patent & Trademark Office and Canadian Trade-Marks office. Except for the inclusion of brief quotations in a review, no part of this book may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying, recording or by any information storage and retrieval system, without permission in writing from PARK University Enterprises, Inc.

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employee ComplaintsFive popular myths

1. “no complaints” mean all is well.

2. Good managers keep complaints to a minimum.

3. Complainers are problem employees and troublemakers.

4. Handling complaints is a waste of time.

5. all complaints should be handled the same way regardless of who’s complaining.

©2011 CareerTrack, a division of PARK University Enterprises, Inc. Registered U.S. Patent & Trademark Office and Canadian Trade-Marks office. Except for the inclusion of brief quotations in a review, no part of this book may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying, recording or by any information storage and retrieval system, without permission in writing from PARK University Enterprises, Inc.

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improperly Handled Complaints lead to….

• Resentment

• Low morale

• Decreased productivity

• An overly active and negative rumor mill

• Increased turnover

• Lack of respect and trust in leadership

• Litigation

• More complaints!

©2011 CareerTrack, a division of PARK University Enterprises, Inc. Registered U.S. Patent & Trademark Office and Canadian Trade-Marks office. Except for the inclusion of brief quotations in a review, no part of this book may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying, recording or by any information storage and retrieval system, without permission in writing from PARK University Enterprises, Inc.

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Complaint resolution processa positive and proactive process

1. improves identification of issues.

2. triggers dialogue and stimulates generation of solutions.

3. prompts reality adjustment and change.

4. improves organizational knowledge.

5. enhances creativity.

6. Builds trust.

7. Creates unity and understanding throughout the organization.

8. increases motivation.

9. Develops problem solving skills.

10. reduces turnover churn.

©2011 CareerTrack, a division of PARK University Enterprises, Inc. Registered U.S. Patent & Trademark Office and Canadian Trade-Marks office. Except for the inclusion of brief quotations in a review, no part of this book may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying, recording or by any information storage and retrieval system, without permission in writing from PARK University Enterprises, Inc.

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Best practice pointerOffer Employees Multiple Channels to Voice Their Complaints and Concerns

• Personal one-to-one meetings

• Written, standardized forms

• Telephone hot lines

• Special email addresses

• Town hall forums

• Peer review panels

• Third party mediation or arbitration programs

©2011 CareerTrack, a division of PARK University Enterprises, Inc. Registered U.S. Patent & Trademark Office and Canadian Trade-Marks office. Except for the inclusion of brief quotations in a review, no part of this book may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying, recording or by any information storage and retrieval system, without permission in writing from PARK University Enterprises, Inc.

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an open Door policy“Hey boss, can I have a few minutes of your time?”

Benefits of an open Door policy:

• The employee’s personal courage, conflict resolution, and problem solving skills are enhanced.

• High employee trust is generated from a successful experience with management.

• The junior manager’s problem solving skills are enhanced.

• The organization benefits from shared information and feedback.

important to note:

• Chain of command is honored.

• Parameters are set and honored regarding how to use the open door so it’s not a revolving door.

• The effective open door policy is a win for all participants, including the employee’s immediate supervisor.

©2011 CareerTrack, a division of PARK University Enterprises, Inc. Registered U.S. Patent & Trademark Office and Canadian Trade-Marks office. Except for the inclusion of brief quotations in a review, no part of this book may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying, recording or by any information storage and retrieval system, without permission in writing from PARK University Enterprises, Inc.

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more about your open Door policy

• Policy guidelines should enable problem solving at all levels of the company.

• However, the most effective open door policy provides the expectation that employees will address problems first with their supervisor.

• When an employee wants to talk about a variety of issues, such as the company, the markets, employee needs and wants, the senior manager must listen.

• But, if the employee is complaining about their supervisor, the senior manager must ask if the employee has addressed the issue with their supervisor.

• If the answer is “no,” the manager must redirect the employee to first address the issue with his or her immediate supervisor, or bring the employee and supervisor together to assess the situation.

©2011 CareerTrack, a division of PARK University Enterprises, Inc. Registered U.S. Patent & Trademark Office and Canadian Trade-Marks office. Except for the inclusion of brief quotations in a review, no part of this book may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying, recording or by any information storage and retrieval system, without permission in writing from PARK University Enterprises, Inc.

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responding to a Complaintinitial phase

• Avoid “reacting.”

• Allow the employee to vent.

• Actively listen for underlying issues.

• Acknowledge the employee’s emotions or feelings.

• Articulate the facts by paraphrasing or backtracking.

• Ascertain the employee’s interests.

second phase

• Acknowledge shared points of view.

• Address differences calmly and in a matter-of- fact manner.

• Ask questions such as, “What if…” “What do you think about…..” etc.

• Attempt to generate multiple options.

• Agree to agree (or agree to disagree amicably).

• Always follow-up within 24 hours.

©2011 CareerTrack, a division of PARK University Enterprises, Inc. Registered U.S. Patent & Trademark Office and Canadian Trade-Marks office. Except for the inclusion of brief quotations in a review, no part of this book may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying, recording or by any information storage and retrieval system, without permission in writing from PARK University Enterprises, Inc.

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aBC’s for ComplaintsRemember Your ABCs the Next Time Someone Complaints to You.

Belief

Consequences

attitude

“this is a waste of my time.”

or…

“this is important to you, me and the company.”

“what a whiner.”

or…

“what you have to say is valued and respected.”

“Continued conflict and ongoing problems.”

or…

“Collaborative spirit and improved outcomes.”

©2011 CareerTrack, a division of PARK University Enterprises, Inc. Registered U.S. Patent & Trademark Office and Canadian Trade-Marks office. Except for the inclusion of brief quotations in a review, no part of this book may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying, recording or by any information storage and retrieval system, without permission in writing from PARK University Enterprises, Inc.

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Complaint resolution: a two-way streetOpen Dialogue – a bilateral exchange based on inquiry and trust.

• Parties distinguish “positions” from “interests.

• Parties assume neither of them has the whole answer; each has something to contribute to a mutually satisfying solution.

• Parties collaboratively explore what they have in common and build on that shared foundation.

• Parties see matters holistically and proactively seek new possibilities and opportunities.

• Parties desire to continue conversation, not bring discussion to a halt.

©2011 CareerTrack, a division of PARK University Enterprises, Inc. Registered U.S. Patent & Trademark Office and Canadian Trade-Marks office. Except for the inclusion of brief quotations in a review, no part of this book may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying, recording or by any information storage and retrieval system, without permission in writing from PARK University Enterprises, Inc.

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stop telling…start asking

ask questions that:

• Paraphrase the employee’s own words.

• Establish and build rapport.

• Get employees involved in possibility thinking.

• Pose hypothetical options.

• Explore “what.”

• Avoid “why.”

• Inquire instead of interrogate.

• Expose more facts and details… not more emotion.

©2011 CareerTrack, a division of PARK University Enterprises, Inc. Registered U.S. Patent & Trademark Office and Canadian Trade-Marks office. Except for the inclusion of brief quotations in a review, no part of this book may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying, recording or by any information storage and retrieval system, without permission in writing from PARK University Enterprises, Inc.

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Are You Really Listening?Six Listening Levels

1. passive

2. responsive

3. selective

4. attentive

5. active

6. empathetic

Five listening styles

1. appreciative

2. encouraging

3. Comprehensive

4. Discerning

5. evaluative

©2011 CareerTrack, a division of PARK University Enterprises, Inc. Registered U.S. Patent & Trademark Office and Canadian Trade-Marks office. Except for the inclusion of brief quotations in a review, no part of this book may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying, recording or by any information storage and retrieval system, without permission in writing from PARK University Enterprises, Inc.

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listen for a w-i-nComplaints are the expression of unsatisfied:

• Wants

• Interests

• Needs

©2011 CareerTrack, a division of PARK University Enterprises, Inc. Registered U.S. Patent & Trademark Office and Canadian Trade-Marks office. Except for the inclusion of brief quotations in a review, no part of this book may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying, recording or by any information storage and retrieval system, without permission in writing from PARK University Enterprises, Inc.

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Complaint resolution is like matchmaking…rational solutions work best when they have an emotional appeal and connect to a want, interest, or need.

emotional Connections rational Connections

wants

interests

needs

solutions

©2011 CareerTrack, a division of PARK University Enterprises, Inc. Registered U.S. Patent & Trademark Office and Canadian Trade-Marks office. Except for the inclusion of brief quotations in a review, no part of this book may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying, recording or by any information storage and retrieval system, without permission in writing from PARK University Enterprises, Inc.

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emotional thinking rational thinking

When Does Complaint Resolution Really Begin?resolution begins only when both parties are on the right side of the vertical line.

©2011 CareerTrack, a division of PARK University Enterprises, Inc. Registered U.S. Patent & Trademark Office and Canadian Trade-Marks office. Except for the inclusion of brief quotations in a review, no part of this book may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying, recording or by any information storage and retrieval system, without permission in writing from PARK University Enterprises, Inc.

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Effective Complaint Resolution Requirements• Create a safe atmosphere for delivering complaints; let employees know their complaints

are welcomed.

• Be hard on the facts; differentiate fact from opinion.

• Resist being “Mr./Ms. Fix It.”

• Sometimes, just listening is the solution.

• Work collaboratively and share responsibility for finding solutions.

• Look for middle ground without suggesting compromise.

• Recognize each increment of agreement.

• Be patient with people; be persistent in following a process.

©2011 CareerTrack, a division of PARK University Enterprises, Inc. Registered U.S. Patent & Trademark Office and Canadian Trade-Marks office. Except for the inclusion of brief quotations in a review, no part of this book may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying, recording or by any information storage and retrieval system, without permission in writing from PARK University Enterprises, Inc.

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the real meaning of win-win Complaint resolution

Compromise CollaborationBoth parties give something up in the process. Both parties get what they want…and more.

©2011 CareerTrack, a division of PARK University Enterprises, Inc. Registered U.S. Patent & Trademark Office and Canadian Trade-Marks office. Except for the inclusion of brief quotations in a review, no part of this book may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying, recording or by any information storage and retrieval system, without permission in writing from PARK University Enterprises, Inc.

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strategies for the Chronic ComplainerConsider the following:

• Say, “You might be right” and then change the subject.

• Say, “Now that you’ve discovered this problem, what are you doing about it?”

• Say, “I have to go in another minute. What exactly did you want to tell me?”

Don’t:

• Get on their bandwagon of misery…misery loves company.

• Offer suggestions, counter opinions, or “the facts.”

• Take responsibility for changing their attitude.

• Solve their problems for them.

Beware of Chronic Complainers Who Exhibit These Behaviors:

• Hostility to you or others.

• Erratic, irrational thought processes that are escalating.

• Resentment.

• Hyper-sensitivity.

• Overly demanding or demeaning language.

©2011 CareerTrack, a division of PARK University Enterprises, Inc. Registered U.S. Patent & Trademark Office and Canadian Trade-Marks office. Except for the inclusion of brief quotations in a review, no part of this book may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying, recording or by any information storage and retrieval system, without permission in writing from PARK University Enterprises, Inc.

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When Complaining Becomes Hostile, Resentful, Erratic…1. Understand the mindset of the hostile, resentful, hyper-sensitive complainer.

The person has a compelling need to communicate his grievance to someone now! Give him a verbal outlet. Even if he is wrong, the individual is acting on perceptions that are real to him. In the over-whelming number of cases, the person just wants fairness.

2. practice “active listening.”

stop what you are doing and give the person your full attention. listen to what is really being said. Use silence and paraphrasing. Ask clarifying, open-ended questions.

3. Avoid confrontation. Instead, build trust and provide help.

Be calm, courteous, respectful and patient; open and honest. Never belittle, embarrass or verbally at-tack a hostile person.

4. allow a total airing of the grievance without comment or judgment.

Make eye contact (but don’t stare). Allow verbal venting of emotion. Let the person have his say (not necessarily his way). Ignore challenges and insults – don’t take it personally; redirect attention to the real issue.

5. allow the aggrieved party to suggest a solution.

a person will more readily agree to a resolution that he helped formulate. and it might surprise you that the person’s suggestion may be very reasonable.

6. move toward a win-win resolution.

preserve the individual’s dignity. switch the focus from what you can’t do toward what you can.

7. stay safe.

Call in additional resources, e.g., supervisor, Human Resources, Employee Assistance Program, Security, or Police.

©2011 CareerTrack, a division of PARK University Enterprises, Inc. Registered U.S. Patent & Trademark Office and Canadian Trade-Marks office. Except for the inclusion of brief quotations in a review, no part of this book may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying, recording or by any information storage and retrieval system, without permission in writing from PARK University Enterprises, Inc.

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Call on your Hr professional when you are Dealing with…

• Hostile employees

• Claims of discrimination

• Civil rights issues

• Sexual harassment issues

• Ethics violations

Whenever you are faced with disciplinary situations, terminations, or have personnel related questions, call an HR pro. Don’t try to manage these conflicts on your own!

©2011 CareerTrack, a division of PARK University Enterprises, Inc. Registered U.S. Patent & Trademark Office and Canadian Trade-Marks office. Except for the inclusion of brief quotations in a review, no part of this book may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying, recording or by any information storage and retrieval system, without permission in writing from PARK University Enterprises, Inc.

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steps to moving from Complaint to resolution

1. welcome the opportunity to handle the complaint.

2. Appreciate the person for raising the issue; acknowledge their feelings.

3. Clearly define the problem or issue in terms of wants, interests, and needs.

4. Focus on facts. problem solving is a rational process that leads to solutions that are emotionally satisfying.

5. Collaborate without compromise. look for “bigger and better” ideas instead of opting for either party’s initial thoughts.

6. Adopt and implement partial agreements that constructively address the core issue, leaving outstanding issues for another discussion.

7. implement all agreements with a sense of urgency and total commitment.