Construction Complaints Management System

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Sydney MetroConstruction complaints management systemPROJECTSydney MetroDATE15 March 2017GROUPCommunication and EngagementSTATUSFINALAUTHORRebecca RaapREVISION6.2COMPANYSydney MetroFILE NUMBERA5746179FILE NAMESydney Metro Construction complaints management system

RevisionRevisionDateStatusBrief reason for nielleSmalleyReviewer0.29/11/12DraftIncorporating Danielle corporating Peer roved for distribution to DoPI and Edits based on comments fromEnvironmental Representative andNWRL Principal nalUpdate to report name – SCL-05Rebeccareplaces SCR-05RaapAddition of review requirements tableTable 1 - Update to TfNSW groupname; update to NWRL role ‘Managecall centre’; update to contractorteam removed ‘reasonable’ – 2instancesTable 2 – New table with MCoA2 – New section ‘Receivingcomplaints’Table 4 - Update to position tiles4.3 – Update to process – adviseDPD prior to updating database5.1.1 – Role of the mediatorexpanded5.2 - Update to escalation processincorporating more detail on the roleof the mediator6.2 - Update to actions required7.1 - Table 3 - removed and replacedwith text7.2 – Additions to reportingrequirementsAppendix A - Deleted (incorporatedinto 5.1.1 and 5.2)Author1.25/3/13FinalApproved for distribution to DoPI and eferences to SCR changed to SCL‘Stakeholder and Community Liaison1.1 – Correction to review time,changed to 6 monthsTable 1 – Updated for consistencywith SCL-02 and updates to reflectTSC, SVC and OTS iewer/ApproverSignature

1.3 - MCoA not relevant to SCL-05deleted6.2 – Additional ‘Action’ added forcompletenessAppendix A - Updated complaintform2.019/7/13FinalApproved for distribution to DoPI and ncorporating DoPI commentsRebeccaSmithAuthor3.19/12/13FinalApproved for distribution to DoPIDanielleSmalleyApprover4.03/3/14DraftNew 3.3/3.4 – Evidence required forclassifying complaintsUpdates to 6.2 and 7.RebeccaRaapAuthor4.03/3/14FinalApproved for distribution to DoPI and New section 7 to cover satisfactionsurveysAuthor5.020/11/14FinalApproved for distribution to DoPI and /8/16DraftUpdated to reflect new Sydney Metro Rebeccaorganisational structure; newRaapprogram name; new projectcommunications teams;department/team and role names;update to contractor responsibilitiesbased on new contracts.Author6.05/9/16FinalApproved for distribution tocontractors and Department ofPlanning and pdated to reflect new terminology:Independent Mediator is now knownas Community ComplaintsCommissioner6.2 updates to data entry process;deleted screen shots from thedatabaseRebeccaRaapAuthor6.215/3/17DraftUpdated to reflect ER comments and Rebeccacompliance with Planning ApprovalRaapfor C&SWTable 1 – update to include role ofER, AA and CCC5.1.1 – Addition of ER and AA; andlimitations of the CCCAuthor

5.2 – Addition of ER/AA to resolutionprocess7.1 – Addition of AA to dailycomplaint report listApp A – Addition of endorsementletter6.215/3/17FinalApproved for distribution tocontractors and Department ofPlanning and EnvironmentAnnePurcellApprover

Review RequirementsThis procedure should be reviewed and reissued annually, or as required. Review due 30 July 2013Actual Review Date: 19 July 2013 Review due 30 January 2014Actual Review Date: 9 December 2013Additional Review Date: 3 March 2014 Review due 30 July 2014Actual Review Date: 20 November 2014 Review due 30 July 2016Actual Review Date: 5 September 2016Additional Review Date: 22 February 2017Additional Review Date: 15 March 2017Review due 30 July 2017Actual Review Date:Review due 30 July 2018Actual Review Date:Review due 30 July 2019Actual Review Date:Review due 30 July 2020Actual Review Date:

Contents1Construction complaints management system11.11.21.31.4Document purposeResponsibilitiesConditions of ApprovalAustralian Standard for Complaints Handling11332Receiving complaints63Classification of complaints73.13.23.33.4Unavoidable complaintsAvoidable complaintsDetermining a unavoidable complaintResolving classification77794Responding to complaints104.14.24.34.4Receiving a complaintReferring complaintsResponding to complaints (not related to construction)Responding to construction complaints101011125Complaint escalation procedure135.15.2When to escalate a complaintHow to escalate a complaint13146Complaints Register156.16.2Complaint identification numberConsultation Manager15157Reporting on complaints187.17.27.3Daily reporting to Transport for NSWDaily complaint reporting to the EPAMonthly reporting to Transport for NSW181818Appendix AEnvironmental Representative endorsement letter20

1Construction complaints managementsystem1.1Document purposeThis document forms part of the Sydney Metro Communication and Engagement ManagementSystem. Its purpose is to outline the procedure for managing complaints across Sydney Metro. Thisincludes: Receiving complaints Mediation Classifying complaints Recording complaints Responding to complaints Reporting. EscalationThis construction complaints management system will be reviewed annually and reissued or asrequired.1.2ResponsibilitiesComplaints handling is the responsibility of all team members who come into contact with thecommunity and stakeholders.The Principal Manager, Project Communications is the designated complaints handlingmanagement representative for their respective project.Table 1 Responsibilities for complaintsSource: Sydney Metro Overarching Community Communication Strategy – March 2017RoleResponsibilityTfNSW Public Affairs andEngagement Manage TfNSW call centre.Sydney Metro Communicationand Engagement team Manage Sydney Metro 24-hour call centre. Develop procedures for managing and resolving stakeholder andcommunity complaints directed to Sydney Metro (this document).Environmental Representative City & Southwest Forward any complaints regarding Sydney Metro to the relevantSydney Metro Project Communications team or relevantcontractor.– Assist in resolving complaints in accordance with thisStrategy.– Notify the Secretary if a complaint cannot be resolved.Acoustic Advisor City & Southwest– Assist in resolving complaints in accordance with thisSydney Metro Construction Complaints Management System1

RoleResponsibilityStrategy.– Notify the Secretary if a complaint cannot be resolved.Community ComplaintsCommissioner (known as theIndependent Mediator onSydney Metro Northwest) Follow-up on any complaint where a member of the public is notsatisfied with the response.Sydney Metro ProjectCommunications team Implement the Construction Complaints Management System(this document). Forward relevant complaints to contractors immediately. Investigate and determine the source of a complaintimmediately, including an initial call to the complainant (whenreceived by phone or where a telephone number was provided oravailable on Consultation Manager). Provide an initial response to all complaints within two hours(where a phone number is provided or available on ConsultationManager) from the time of the complaint unless the enquireragrees otherwise. Provide a written response to emails within 24 hours (or verballywithin two hours if a phone number is provided or available onConsultation Manager). Provide a written response to letters/faxes within 24 hours (orverbally within two hours if a phone number is provided oravailable on Consultation Manager). Keep the complainant informed of the process until the complaintis resolved. Close out complaints within agreed timeframe (with complainant). Escalate complaints in accordance with Construction ComplaintsManagement System (this document). Record all complaints on Consultation Manager in accordancewith Consultation Manager data entry procedure within 24hours. Details should include how it was managed and closedout.Contractor deliverycommunication teams Answer all phone calls transferred by the call centre from thecommunity information line (calls to be answered by a teammember 24/7, not an answering machine while constructionactivities are occurring). Develop and implement procedures for managing and resolvingstakeholder and community complaints directed to the contractorin accordance with the Construction Complaints ManagementSystem (this document). and the relevant projects’ Conditions ofApproval. Refer complaints not associated with contractor activities to theSydney Metro Project Communications team immediately. Investigate and determine the source of a complaint2Sydney Metro Construction Complaints Management System

RoleResponsibilityimmediately, including an initial call to the complainant (whenreceived by phone or where a telephone number was provided oravailable on Consultation Manager). Provide an initial verbal response to all complaints within twohours (where a phone number is provided or available onConsultation Manager) from the time of the complaint unless theenquirer agrees otherwise. Provide a written response to emails within 24 hours (or verballywithin two hours if a phone number is provided or available onConsultation Manager). Provide a written response to letters/faxes within 24 hours (orverbally within two hours if a phone number is provided oravailable on Consultation Manager). Keep the complainant informed of the process until the complaintis resolved. Provide feedback to requests for information from the SydneyMetro Project Communications team or the CommunityComplaints Commissioner within two hours. Comply with all directions from the Sydney Metro ProjectCommunications team or the Community ComplaintsCommissioner in relation to the resolution of an escalatedcomplaint. Take all actions and implement all measures to prevent thereoccurrence of the complaint. Close out complaints within agreed timeframe (with complainant). Escalate complaints in accordance with the ConstructionComplaints Management System (this document). Report to the Sydney Metro Project Communications team andthe Environmental Representative on a daily basis. Record allcomplaints on Consultation Manager in accordance withConsultation Manager data entry procedure within 24 hours.Details should include how it was managed and closed out.1.3Conditions of ApprovalEach Project’s approval has requirements around complaints handling including the creation of aConstruction Complaints Management System. This document fulfils this requirement.1.4Australian Standard for Complaints HandlingSydney Metro’s approach to managing complaints is based on the Australian Standard for ComplaintsHandling ‘Customer satisfaction-Guidelines for complaints handing in organisations - ISO10002:2004, MOD’ (Formerly AS4269: Complaints Handing). Contractors must also develop their owncomplaint management procedures using this Australian Standard.The standard requires the following guiding principles:Sydney Metro Construction Complaints Management System3

1.4.1Visibility‘Information about how and where to complain should be well publicised to stakeholders’.All Sydney Metro public materials will direct stakeholders wishing to make a complaint to use our: Community information line Community email address Community information centre and mobile displays Project postal address.1.4.2Accessibility‘A complaints-handling process should be easily accessible to all complainants’.All construction complaints management systems will be available on the Sydney Metro website.Information and assistance in making complaints will be made available if required. Complaints canbe made by phone, email, post, fax or in person to a member of any member of the project orcontractor teams.1.4.3Responsiveness‘Receipt of each complaint should be acknowledged to the complaint immediately. The complainantsshould be treated courteously and kept informed of the progress of their complaint through thecomplaint-handling process’.Our responsibilities for complaint handling include: Investigate and determine the source of a complaint immediately, including an immediate call tothe complainant (when received by phone). Provide an initial response to all complaints within two hours (where a phone number is providedor available on Consultation Manager) from the time of the complaint unless the enquirer agreesotherwise. Keep the complainant informed of the process until the complaint is resolved.1.4.4Objectivity‘Each complainant should be addressed in an equitable, objective and unbiased manner through thecomplaint-handling process’.Our contractors develop and manage their own construction complaints management systems.Complaints unable to be resolved within the agreed timeframe are referred the Principal Manager,Project Communications, who may assist with resolving the complaint. If the complaint is still unableto be resolved in the agreed timeframe, the complaint will be referred to an Community ComplaintsCommissioner for equitable, objective and unbiased advice, to assist with a resolution in a timelymanner.1.4.5Charges‘Access to the complaint-handling process should be free of charge to the complainant’.All Construction Complaints Management Systems will be available free of charge on the SydneyMetro website.4Sydney Metro Construction Complaints Management System

1.4.6Confidentiality‘Personally identifiable information concerning the complainant should be available where needed, butonly for the purposes of addressing the complaint within the organisation and should be activelyprotected from disclosure, unless the customer or complainant expressly consents to its disclosure’.A stakeholder’s contact information along with their complaint record will be recorded for the purposesof resolving their complaint. Should they wish to remain anonymous, the complaint will be registeredunder an ‘Anonymous’ stakeholder record for recording keeping and reporting purposes.1.4.7Customer focussed approach‘The organisation should adopt a customer-focussed approach, should be open to feedback includingcomplaints, and should show commitment to resolving complaints by its actions’.Stakeholders will be informed of all works likely to cause an impact and of mitigation measures toreduce those impacts. Should this be unsatisfactory, complaints can be made by phone, email, post,fax or in person to a member of the project team.Our contractors develop and manage their own construction complaints management systems.Complaints unable to be resolved within the agreed timeframe are referred the Principal Manager,Project Communications, who may assist with resolving the complaint. If the complaint is still unableto be resolved in the agreed timeframe, the complaint will be referred to an Community ComplaintsCommissioner for equitable, objective and unbiased advice, to assist with a resolution in a timelymanner.1.4.8Accountability‘The organisation should ensure that accountability for and reporting on the actions and decisions ofthe organisation with respect to complaints handling is clearly established’.The accountability for and reporting on the actions and decisions with respect to complaints handlingare outlined in this document.1.4.9Continual improvement‘The continual improvement of the complaints-handling process and the quality of products should bea permanent objective of the organisation’.This construction complaints management system will be reviewed and reissued annually, or asrequired.Sydney Metro Construction Complaints Management System5

2Receiving complaintsSydney Metro has established the following tools for receiving complaints from the community. At aminimum, the telephone number, the postal address and the email address shall be published innewspaper(s) circulating in the local area prior to the start of construction for each project. Thisinformation will also be provided on the Sydney Metro website.Contractors will be encouraged to develop other innovative ways to distribute these tools to thecommunity.Table 2 Community contact toolsToolsExplanation and purposeCommunityinformation lineThis allows stakeholders and the community to have access to the project teams24 hours a day during construction. All communication materials and the websitewill include the community information line number.During construction, calls will be redirected to relevant contractors as required.Community emailaddressThis allows stakeholders and the community to have access to the project teams.All communication materials and the website will include the community emailaddress.During construction, emails will be redirected to relevant contractors as required.Community postboxThis central postal address allows stakeholders and the community to haveaccess to the project teams.The website will include a central Sydney Metro community postal address.Correspondence will be redirected to relevant project teams and contractors asrequired.Sydney MetrowebsiteInformation about the project will be uploaded to Sydney Metro website. Thewebsite will be referenced in all communication materials as a source ofinformation and will be updated on a regular basis. Information will include: Project information including:– Description of the project, current status and timing– Newsletters– Notifications– Up-to-date project information– Graphics and images on the project background and progress– Copies of relevant reports– Photos, images and maps– Links to documents as required under the relevant projects Conditions ofApproval– A link to Sydney Metro contractor webpages Contact information6Sydney Metro Construction Complaints Management System

Classification of complaints3Complaints may include any interaction with a community member or stakeholder who expressesdissatisfaction with the project, policies, contractor’s services, staff members, actions orproposed actions of Sydney Metro.Sydney Metro classifies complaints into two categories for reporting purposes: Unavoidable complaints Avoidable complaints.The main aim of these complaint categories is to record complaints received, but not unfairly penaliseour contractors for complaints received about works they have approval to do.3.1Unavoidable complaintsUnavoidable complaints include a stakeholder’s opposition to the project or government policy orcomplaints about issues that are within project planning approvals.For example: A complaint about noise generated at night when planning approval has been granted for nightworks and noise generated is within approved criteria. A complaint about how traffic is being controlled when the approved Traffic Management Plan isbeing implemented.3.2Avoidable complaintsComplaints about issues outside planning approval, or a commitment that has been given to thecommunity or stakeholders. These commitments may be contained in staff inductions or writtennotifications.For example: A complaint about noise at night where work is being performed outside of approved criteria. Forexample: work outside of approved (or notified) construction hours or approved noise levels. A complaint about how traffic is being controlled. Only applies when the approved TrafficManagement Plan is not being implemented. A complaint about cars parking in parklands when the notification has stated we would not parkcars in the parklands. A complaint about poor worker behaviour, for example: littering, swearing, poor driving behaviour,when an induction has specified that behaviour is not acceptable.3.3Determining a unavoidable complaintWhen categorising a complaint as ‘unavoidable’ evidence should be referred to in the complaint notesabout why the complaint has been categorised

Handling ‘Customer satisfaction-Guidelines for complaints handing in organisations - ISO 10002:2004, MOD’ (Formerly AS4269: Complaints Handing). Contractors must also develop their own complaint management procedures using this Australian Standa

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