The Open Door Policy is deeply ingrained in IBM. The fact that each manager's door is Open to any of his or her employees or to others who have a problem and want help has been a key element in maintaining our high standards of human relations.
Each manager has the responsibility for maintaining an effective employee/manager relationship and for taking actions necessary to resolve the problems of employees. The Open Door Policy is a further reflection of our belief in the dignity of the individual and the right to appeal the actions of those for whom one works. It not only provides he means of resolving the employee's problem but also serves as a continuing survey of the health of the company.
Every manager has the responsibility to assure that each f his or her employees understands the Open Door Policy and to support its utilization for the resolution of problems. The Open Door Policy should be discussed with every new employee during the first weeks of employment.
The main components of the Open Door procedure are as follows:
A. Employee Appeal
1. Any employee who has a problem which has not been resolved to that employee's satisfaction by his or her immediate manager may bring the complaint or concern to the attention of higher management.
2. While the employee will normally choose to address an appeal first at the local level, the Open Door procedure makes available to an employee either direct or progressive access to any level of management in the Corporation.
3. Normally the appeal will be brought to the attention of the senior manager at the employee's location or to the personnel manager, if the employee prefers, If more appropriate, it may be made to the regional, operating unit or corporate staff manager.
4. If the employee is still not satisfied the problem may be reviewed with the IBM Chief Executive Officer by mail, or personally if that is appropriate to the resolution.
5. Management should be sensitive to assure that no action is taken which may appear to be retaliation for an employee’s appeal under the Open Door Policy. Management decisions that have been communicated to the employee need not be suspended when the employee requests an appointment to see higher management. However, higher management to whom an appeal is made (or the assigned investigator) may, if judged appropriate, delay implementation of such decisions pending the outcome of the investigation.
B. The Investigation Process
It is inappropriate to establish a rigid procedure for the investigation of Open Door appeals. However, certain guidelines should be followed in the investigation of Open Door appeals. These are:
1. If the recipient of an Open Door appeal does not investigate the issue personally, it should be assigned to an individual who is in responsible position organizationally removed from the employee's immediate management., and who is free of prior involvement in the circumstances of the particular case or individual's appeal.
2. The person making the appeal should receive verbal or written acknowledgment of receipt of the appeal, usually within 24 hours. The facts of the situation should be analyzed and a clear-cut decision made as soon as possible, normally within fifteen working days.
3. Before alerting management, the investigator must contact the person making the appeal to advise the individual of the investigator’s assignment and to make arrangements to discuss the issues raised. To assure maximum objectivity, the investigator will normally meet with the individual to hear his/her views before meeting with management. The investigator should view the situation from the perspective of the individual making the appeal.
4. At their initial meeting, the investigator should fully explore and understand the issues raised by the individual. In addition, the investigator should explain the investigation process, advising the individual that:
a. a fair and impartial review of all relevant facts will be made.
b. management's views have not yet been obtained.
c. the investigation cannot be anonymous; however, discussion will be restricted to those necessary to resolve the issues. Those consulted will be advised to keep the matter confidential.
d. there are often two sides to an issue and the investigation may substantiate the individual's point of view or that of his or her manager.
5. Each investigation should be completed with as little visibility as is required to gather pertinent facts. It may be appropriate, however, to seek advice of staff areas such as medical, personnel, legal, etc.
6. In rare instances, the investigator may find it necessary to meet with two parties simultaneously to clarify a key issue.
7. The investigation of the problem should be confined to all pertinent factors relating to the appeal. However, since we are attempting to judge both the merits of an individual appeal and to assess the health of the business, Open Door investigations should be comprehensive enough to judge whether a pervasive systemic problem exists. Personnel managers and equal opportunity compliance officers are available to assist in this review. Although the examination of such broader issues should not delay resolution of an individual's appeal, the investigator retains the responsibility to assure that such issues are brought to an appropriate conclusion.
8. In the case of investigators assigned by executive management, it will frequently be appropriate for the investigator to review the conclusions reached with that executive before discussing them with the individual making the appeal. In any event, at the close of the investigation, the investigator will review the investigation, findings, and recommended conclusions with the individual. To the degree possible, this review should protect the privacy of others contacted during the course of the investigation and in no case should the person be advised of the extent of management discipline. In the case of Open Door investigations assigned by the IBM Chief Executive Officer, the individual will also be told that the findings will be reviewed by the CEO and a written decision forthcoming.
9. The investigator will review the investigation findings and conclusions at an appropriate level of the management involved. If a manager's action is reversed, the reasons for the reversal must be reviewed with that manager and with other appropriate management, as well as with the individual making the appeal.
10. When the appeal is of significant complexity or when the made to executive management, a report, to be filed with the original complaint, should be prepared by the investigator to enable such review as may be required during the established retention period. The report should include:
a. A profile of the individual including job title, salary level, performance, and such other facts as may be deemed pertinent.
b. A description of the individual's complaints or perceptions as established by the investigator.
c. Documentation of the findings, normally in chronological format, and of the source of facts, including those interviewed. The file should also reflect the investigator's analysis of pervasive issues suggested by the complaint or any follow-up investigations to be conducted regarding such issues.
d. The conclusions of the investigator regarding what should have been done, actions already taken by management and actions which remain. Responsibility for actions to be taken should be fixed at the level of authority required to assure implementation. Normally this will not be lower than a regional manager or plant/lab manager in the field or a director level at a headquarters location. The individual responsible should be identified together with the date he/she will advise the executive to whom the Open Door was addressed, in writing, that the action has been completed.
e. Confirmation that the investigator has reviewed the recommendations with the individual who made the appeal and his/her reaction.
C. Handling Appeals from Others
1. Open Door appeals received from former employees, applicants, retirees, spouses, or others on their own behalf or in their personal interest will be handled within the guidelines established in Section B, above.
2. Third-party appeals (one individual on behalf of or representing another, i.e., spouse on behalf of employee, clergyman on behalf of former employee) should be acknowledged, and should be explained that we consider the issue a personal one with the affected individual. It will be discussed with him or her, and investigated at his/her direction if appropriate.
3. A third-party appeal should be investigated only upon concurrence of the individual for whom the appeal was made. No report shall be made to the third-party originator.
4. In the event of a complaint received from a lawyer, governmental or private agency, consult the appropriate personnel manager for guidance prior to response.
5. On occasion, unsigned Open Door appeals are received. They will be investigated if the company deems it appropriate.
D. Retention of Open Door Material
To protect an employee's privacy, and to curtail the proliferation of Open Door documentation, the following retention procedures have been established for Open Door files:
1. The individual to whom an Open Door complaint is addressed must retain the investigation documentation and associated material for 3 years from the date closed. At the completion of this retention period, files are to be stored in compliance with litigation requirements.
2. The investigator in an Open Door case (if different than the above) may retain material related to the Open Door for a period not to exceed 90 days. This should allow sufficient time for any necessary follow-up activity. At the conclusion of the 90 day period, the investigator's file must be consolidated with the original file above.
3. There should be no further retention of information related to an Open Door appeal or investigation beyond that specified above.
4. In no case should Open Door material be filed in an employee's personnel folder. Access to any Open Door data should be strictly controlled by the responsible party to whom the Open Door was addressed.
E. Communicating Open Door Data to Employee's Immediate Management
The solution to an Open Door case sometimes requires the assignment of an individual to a new position. When such action is taken, management should make every effort to ensure that the employee’s participation in the Open Door program s kept confidential while at the same time informing the manager of any pending action or commitment to the employee.
F. Documentation of Action Plans or Commitments
Where the final resolution calls for a future course of action by management, or a future commitment is made to the individual, appropriate documentation is required to ensure that such action or commitment is consummated. This documentation should not reference the individual's involvement in an Open Door situation and should be removed from the files when this action or commitment is concluded.
G. Access to Open Door Files
People who request to see their Open Door files should be advised that these cannot be made available for individual review because they often contain information of a private nature relating to others or to proprietary materials. Individuals with a specific concern regarding their Open Door file may be advised that the original investigator will meet with them and will review the file material to see if there is anything in it bearing on the person's concern. Depending on the outcome of this review, it may be appropriate to conduct another investigation to resolve any remaining concern.