Construction Complaints Management System - Sydney Metro City .


Construction ComplaintsManagement System –Sydney MetroCity & SouthwestPROJECTSydney Metro City & SouthwestDATE18/5/22GROUPCommunication and EngagementSTATUSFINALAUTHORVicki KimberREVISION7.2COMPANYSydney MetroFILE NUMBERICentral: 50-200/100FILE NAMESydney Metro Construction Complaints Management System

RevisionRevisionDateStatusBrief reason for 11/12DraftIncorporating DanielleSmalley ting PeerReview commentsRebeccaRaapAuthor1.026/11/12FinalApproved for distribution to DoPIand Edits based on comments fromEnvironmental Representativeand NWRL Principal nalUpdate to report name – SCL05 replaces SCR-05Addition of review requirementstable Table 1 - Update to TfNSWgroup name; update to NWRL role‘Manage call centre’; update tocontractor team removed‘reasonable’ – 2 instancesTable 2 – New table withMCoA 2 – New section‘Receiving complaints’Table 4 - Update to position tiles4.3 – Update to process –advise DPD prior to updatingdatabase5.1.1 – Role of themediator expanded5.2 - Update to escalation processincorporating more detail on therole of the mediator6.2 - Update to actions required7.1 - Table 3 - removed andreplaced with text7.2 – Additions toreporting requirementsAppendix A - Deleted(incorporated into 5.1.1 and 5.2)RebeccaRaapAuthor1.25/3/13FinalApproved for distribution to DoPIand eferences to SCR changed toSCL ‘Stakeholder and CommunityLiaison1.1 – Correction to reviewtime, changed to 6 monthsTable 1 – Updated forconsistency with SCL-02 andupdates to reflect TSC, SVC andOTS contractual requirementsRebeccaRaapAuthorSignaturePage 2Construction Complaints Management System

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 pdated to reflect new SydneyMetro organisational structure; newprogram name; new projectcommunications teams;department/team and role names;update to contractor responsibilitiesbased on new contracts.RebeccaRaapAuthor6.05/9/16FinalApproved for distribution tocontractors and Department ofPlanning and pdated to reflect new terminology:Independent Mediator is now knownas Community Complaints Mediator6.2 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 CCM5.1.1 – Addition of ER and AA; andlimitations of the CCM5.2 – Addition of ER/AA to resolutionAuthorRebeccaRaapPage 3Construction Complaints Management System

process7.1 – Addition of AA to dailycomplaint report listApp A – Addition of endorsementletter6.215/3/17FinalApproved for distribution tocontractors and Department ofPlanning and Environment6.39/10/17Draft1.4.1 – Website text for CCMRebeccaRaap4.4 – Clarification: Complainantscontacting CCM directly will be sentvia the 1800 in the first instance5.1.1 – Clarification: complaintsregarding the SSI only; updatesto wording around independenceof CCM5.1.2 – New CCM process5.2 – References to DPE updated tothe ‘Secretary’5.1 – Clarification - Non-compliancecomplaints will be referred to DPE forinvestigationVarious – update of position title ofPM to Director for C&SWVarious – addition of Sydney Trainsto reflect construction under theirEPLAuthor6.34/12/17FinalApproved for distribution tocontractors and Department ofPlanning and EnvironmentApprover6.413/5/19Draft1.4 – Reference to AustralianVanessaStandard removedLum4.2 & 4.3 – Update of position title ofExecutive Director, Communication &Engagement to Deputy ExecutiveDirector, Communication &Engagement5.2 – Escalation of small businessesadversely affected by constructionadded to flow chartAuthor6.522/7/19FinalApproved for distribution herineHawkinsAuthor1.3 – Conditions ofapproval to relate toSydney Metro City &Southwest.Table 2 – refinement ofreferences andrequirements1.4.3 –confidentialityupdated to reflectprivacy laws andconfidentiality.1.4.4 –Continualimprovement – refinedto articulate annualreview and incorporationof customer feedback.AnnePurcellAnnePurcellApproverPage 4Construction Complaints Management System

Table 3 – updated toreflect Sydney Metro City& Southwest only.3. – addition of Australianand New ZealandStandard Guidelines formanaging complaints andwhat a complaint includes.3.3 refinement ofdetermining unavoidablecomplaint4.1 – additionalinformation regardingreceiving a complaint andthe responsibilities of acomplainant.4.2 – addition of managingunreasonable complainantconduct.Table 5 – update toinclude informationrelating to other agenciessuch as TfNSW, SydneyTrains and SLR.Responding to complaintsflow chart updated5 – Complaint escalation –process of escalationimproved.Flow chart complaintescalation processupdated– role of the CommunityComplaints Mediatorrefined and explained5.2.2 – escalation toRetail Advisory/SupportPanel refined5.2.3 how to refer acomplaint to theCommunityComplaints Mediatorupdated6 – update informationregarding recording withinconsultation manager database7. Update informationregarding daily reporting ofcomplaints to SydneyMetro7.13/7/2020FinalApproved for distributionKristinaCimino7.218/5/22FinalMinor revision to include a newrevision scheduleKristinaCiminoApproverPage 5Construction Complaints Management System

Review RequirementsThis procedure will be reviewed as required.Review due 30 July 2013Actual Review Date: 19 July 2013Review due 30 January 2014Actual Review Date: 9 December 2013Additional Review Date: 3 March 2014Review due 30 July 2014Actual Review Date: 20 November 2014Review 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: 4 December 2017Review due 30 July 2018Actual Review Date: N/AReview due 30 July 2019Actual Review Date: 22 July 2019Review due 30 July 2020Actual Review Date: 3 July 2020Page 6Construction Complaints Management System

Contents1Construction complaints management system81. purposeResponsibilitiesConditions of ApprovalComplaints Handling89121523Receiving complaintsClassification of complaints17193. complaintsAvoidable complaintsDetermining an unavoidable complaintResolving classification191920204Responding to complaints214. a complaintReferring complaintsResponding to complaints (not related to construction)Responding to construction complaints212121235Complaint escalation procedure245.15.2When to escalate a complaintHow to escalate a complaint24266Complaints Register296.16.2Complaint identification numberConsultation Manager29297Reporting on complaints307.17.27.3Daily reporting to Sydney MetroReporting to the EPAMonthly reporting to Sydney Metro303030Page 7Construction Complaints Management System

1Construction complaintsmanagement system1.1Document 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.This includes: Receiving complaints Mediation Classifying complaints Recording complaints Responding to complaints Reporting EscalationThis construction complaints management system will be reviewed as required. This would occur where achange to this plan is necessary due to any of the following: A major change in project scope A change to the planning approval condition B1 Triggered by preventative actions identified as a result of a non-compliance, incident or audit finding.Page 8Construction Complaints Management System

1.2ResponsibilitiesComplaints handling is the responsibility of all team members who come into contact withthe community and stakeholders. The Director, Project Communications is the designatedcomplaints handling management representative for the escalation of complaints.Table 1 Responsibilities for complaintsSource: Sydney Metro Overarching Community Communication Strategy – May 2022Role/OrganisationEnvironmental RepresentativeAcoustic AdvisorResponsibility Assist in resolving complaints in accordance with thisStrategy. Assist in resolving complaints in accordance with this Strategy inrelation to SSI 7400 Chatswood to Sydenham only.Community Complaints Mediator Follow-up, Investigate, Review and provide mediation servicesdeemed relevant to any complaint escalated by the Director,Project Communications where a member of the public is notsatisfied with the response. Request advice from the Environmental Representative,Acoustic Advisor (SSI 7400 only) or the Retail Advisory/SupportPanel, orany other subject matter expert as required to assist in theresolution of an escalated complaint.Retail Advisory/Support Administer the Small Business Owners Support ProgramPanel Provide recommendations to assist in the resolution of escalatedcases from small business operators.Page 9Construction Complaints Management System

Sydney Metro ProjectCommunications team Manage Sydney Metro 24-hour call centre. Implement the Construction Complaints Management System(this document). Treat all people with respect Assist people make a complaint where required Provide feedback and suggestions on ways to improvecomplaint management Implement changes arising from complaints and fromanalysis and evaluation of complaint data as advised bysenior managers. Forward relevant complaints to contractors or Sydney Trainsimmediately. 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, letters/faxes within 24hours (or verbally within two hours if a phone number isprovided or available on Consultation Manager). Keep the complainant informed of the process until the complaintis resolved. Close out complaints within agreed timeframe (with complainant). Provide advice and guidance on complaint management tocontractors and ensure due diligence applied by contractor(s) toimplement recommendations made to mitigate reoccurrenceand/or address complaint. Ensure internal avenues of escalation and review have beenexhausted by the relevant contractor(s) and all opportunities havebeen explored PRIOR to escalation to the Proponent Ensure all avenues of internal escalation are utilised andconsidered by Sydney Metro. Escalate complaints in accordance with Construction ComplaintsManagement System (this document). Record all complaints on Consultation Manager inaccordance with Consultation Manager data entryprocedure within 24 hours. Details should include how itwas managed and closed out.Page 10Construction Complaints Management System

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 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 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, letters/faxes within 24hours (or verbally within two hours if a phone number isprovided or available 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 Mediator within two hours. Comply with advice, guidance and processes as suggested fromthe Sydney Metro Project Communications team and/or theCommunity Complaints Mediator in relation to the resolution of acomplaint prior to the escalation of a complaint, at all stages ofcomplaint management, inclusive of when a complaint has beenescalated. Take all actions and implement all measures inclusive ofthose recommendations made during any escalation orreview process to prevent the reoccurrence of a 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 teamand the Environmental Representative on a daily basis.Record all complaints on Consultation Manager in accordancewith Consultation Manager data entry procedure within 24hours. Details should include how it was managed and closedout.Page 11Construction Complaints Management System

RoleResponsibilitySydney Trains/TfNSW/SLR Refer complaints received directly in relation to Sydney Metrowork back to Sydney Metro for investigation and resolution. Assist in resolving complaints where work may overlap in the railcorridor.Department of Planning &Environment and NSWEnvironmentProtection Authority andlocal Councils Refer complaints received directly in relation to Sydney Metrowork back to Sydney Metro for investigation and resolution in thefirst instance.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 for bothSydney Metro City & Southwest Planning Approvals: Chatswood to Sydenham (SSI 7400) Sydenham to Bankstown (SSI 8256).Page 12Construction Complaints Management System

Table 2 Conditions of Approval relevant to complaint onA Complaints Management System must beprepared and implemented before thecommencement of any work and maintained forthe duration of works/construction and for aminimum for 12 months following completion ofConstruction of the CSSI. This documentThe following facilities/ information must beavailable to facilitate community enquiries andmanage complaints one (1) month from the dateof this approval/before the commencement ofwork and for 12 months following the completionof construction and appropriately broadcast tocollect community enquiries and complaints:(a) a 24- hour telephone number for theregistration of complaints and enquiries aboutthe CSSI;(b) a postal address to which written complaintsand enquires may be sent;(c) an email address to which electroniccomplaints and enquiries may be transmitted;and(d) place-based community manager for each ofthe station locations available to meet withcommunity members on request. (a, b, c) - Section2(d) – ContractspecificCommunityCommunicationsStrategy(d) –Section 5The telephone number, postal address, websiteURL and email address required underCondition B6/B9 of this approval must bepublished in a newspaper circulating in therelevant local area and on site hoarding at eachConstruction site before the commencement ofConstruction and published in the same wayagain before the commencement of Operation.This information must also be provided on thewebsite required under Condition B14/B15 ofthis approval. OverarchingCommunityCommunicationsStrategyThe Complaints Management System mustinclude/A Complaints Register must bemaintained recording information on allcomplaints received about the CSSI during thecarrying out of Work and for a minimum of 12months following the completion of Construction.The Complaints Register must record the: Section 6Page 13Construction Complaints Management System

RefRequirementC2SS2BSection(a) number of complaints received;(b) number of people affected in relation to acomplaint; and(c) means by which the/nature of the complaintwas addressed and whether resolution wasreached, with or without mediation.B9B8The Complaints Register must be provided tothe Planning Secretary upon request, within thetimeframe stated in the request. Section 6B10B11A Community Complaints Mediator that isindependent of the design and constructionpersonnel must be nominated by the Proponent,approved by the Planning Secretary andengaged during Work associated with the CSSI.The request nominating the CommunityComplaints Mediator must be submitted to thePlanning Secretary for approval within one (1)month of the date of this approval or withinanother timeframe agreed with the Secretary. Section 5B11B12The role of the Community Complaints Mediatormust address any complaint where a member ofthe public is not satisfied by the Proponent’sresponse.Any member of the public that has lodged acomplaint which is registered in and executedthrough the Complaints Management Systemidentified in Condition B5/B6 may ask theCommunity Complaints Mediator to review theProponent’s response. The application must besubmitted in writing and the CommunityComplaints Mediator must respond within 28days of the request being made or otherspecified timeframe agreed between theCommunity Complaints Commissioner/Mediatorand the member of the public. Section 5B12B13The Community Complaints Mediator will:(a) review the Proponents unresolved disputesbetween the project and members of the public ifthe procedures and mechanisms underCondition B5 or Condition B2((g) (iii) do not satisfactorily address thecomplaints and(b) make recommendations to the Proponent tosatisfactorily address complaints, resolvedisputes or mitigate against the occurrence offuture complaints or disputes. Section 5Page 14Construction Complaints Management System

RefB141.4RequirementThe Community Complaints Mediator will not actbefore the Complaints Management Systemrequired by Condition B5, including any internalescalation process, has been executed for/theproponent has provided an initial response to acomplaint and will not consider issues such asproperty acquisition, where other disputeprocesses are provided for in this approval orclear government policy and resolutionprocesses are available, or matters which arenot within the scope of the CSSI.C2SS2BSection Section 5Complaints HandlingSydney Metro’s approach to managing complaints is based on the following guiding principles:1.4.1AccessibilityAll Sydney Metro public materials will direct stakeholders wishing to make a complaint to use our: Community information line Community email address Project postal address.The Sydney Metro website includes information about how to make a complaint and the role ofthe Community Complaints Mediator.1.4.2ResponsivenessOur responsibilities for complaint handling include: Investigate and determine the source of a complaint immediately, including an immediatecall to the complainant (when received by phone). Provide an initial response to all complaints within two hours (where a phone number isprovided or available on Consultation Manager) from the time of the complaint unless theenquirer agrees otherwise. Keep the complainant informed of the process until Sydney Metro believes the complaint hasbeen responded to completely.Page 15Construction Complaints Management System

1.4.3ConfidentialityPersonal information that identifies individuals will only be disclosed or used by Sydney Metroas permitted under the relevant privacy laws, secrecy provisions and any relevantconfidentiality obligations.A stakeholder’s contact information along with their complaint will be recorded for the purposesof addressing their complaint. Should they wish to remain anonymous, the complaint will beregistered under an ‘Anonymous’ stakeholder for recording keeping and reporting purposes.Any process undertaken by the independent mediator will be subject to confidentialityprovisions. These provisions will be explained to all parties involved.1.4.4Continual improvementThis construction complaints management system will be reviewed and reissued annually, oras required.Continual review of processes and customer feedback will be incorporated to ensure improvement.Page 16Construction Complaints Management System

2Receiving complaintsSydney Metro has established the following tools for receiving complaints from the community.At a minimum, the telephone number, the postal address and the email address shall bepublished in newspaper(s) circulating in the local area prior to the start of construction for eachproject. This information will also be provided on the Sydney Metro website.Contractors will be encouraged to develop other innovative ways to distribute these tools tothe community.Table 3 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 postboxSydney Metro City & Southwest – 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 MetrowebsiteSydney Metro City & Southwest – 1800 171 386Sydney Metro City & Southwest - PO Box K659, Haymarket, NSW 1240Information about the project will be available on the Sydney Metro website.The website will be referenced in all communication materials as a source ofPage 17Construction Complaints Management System

ToolsExplanation and purposeInformation 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 information https://www.sydneymetro.infoPage 18Construction Complaints Management System

Classification of complaints3The Australian and New Zealand Standard Guidelines for complaint management inorganisations AS/NZS 10002:2014 (AS/NZS Complaint Management Standard) definescomplaints as an:Expression of dissatisfaction made to or about an organisation, related to its products, services,staff or the handling of a complaint, where a response or resolution is explicitly or implicitlyexpected or legally required.Based upon this standard a complaint includes: A complaint about conduct, service or product An internal review of a complaint – request a review of the merits of a decision An internal review about how a complaint was handled An external review of a complaint or how the complaint was handledSydney 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 unfairlypenalise our contractors for complaints received about works they have approval to do.3.1Unavoidable complaintsUnavoidable complaints include a stakeholder’s opposition to the project or governmentpolicy or complaints about issues that are within project planning approvals.For example: A complaint about noise generated at night when planning approval has been granted fornight works and noise generated is within approved criteria. A complaint about how traffic is being controlled when the approved Traffic ManagementPlan is being implemented.3.2Avoidable complaintsComplaints about issues outside planning approval, or a commitment that has been given tothe community or stakeholders. These commitments may be contained in staff inductions orwritten notifications.For example: A complaint about noise at night where work is being performed outside of approved criteria.For example: work outside of approved (or notified) construction hours or approved noiselevels.A complaint about how traffic is being controlled. Only applies when the approvedTraffic Management Plan is not being implemented.A complaint about poor worker behaviour, for example: littering, swearing, poor drivingbehaviour, when an induction has specified that behaviour is not acceptable.Page 19Construction Complaints Management System

3.3Determining an unavoidable complaintWhen categorising a complaint as ‘unavoidable’ evidence should be referred to in the complaintnotes about why the complaint has been categorised this way.Sydney Metro can provide Contractors, with advice and guidance on the types of evidencerequired to be recorded within Consultation Manager.3.4Resolving classificationIf the Sydney Metro Project Communications team and the contractor cannot agree on aclassification of unavoidable, the Independent Environment Representative maybe able to assist inclassifying the complaint as it relates to the planning approval or commitments given to thecommunity.Page 20Construction Complaints Management System

4Responding to complaints4.1Receiving a complaintUpon receipt of a complaint, details of the complaint will be recorded within ConsultationManager. Accurate records will be maintained regarding receipt, handling and outcomes ofcomplaints received.All complainants should be informed in general terms of: The complaints processes and procedures that the organisation will follow in relation tothe complaint The likely timeframes for completing tasks relating to the complaint The responsibility of the organisation in relation to the complaint and the person makingthe complaint.It is important to outline what is expected from complainants. Complainants have responsibility to: Clearly identify their issues of complaints Provide all relevant information about their complaintCooperate with any requests for information or inquiries Act honestlyTreat the people handling their complaint with courtesy and respect.4.2Managing unreasonable complainant conduct.Unreasonable conduct by a complainant can be defined as any behaviour by a current or formercomplainant that due to its nature or frequency raises health, safety, resource or equity issues forrelevant parties. The parties that may be detrimentally affected include the organisationresponsible for handling the complaint, the person managing the complaint, the person dealingdirectly with the complainant, the person making the complaint and other complainants andservices.Unreasonable conduct may take the form of unreasonable persistence, unreasonable demands,and unreasonable lack of cooperation, unreasonable arguments and unreasonable behaviourinclusive of but not limited to aggressive, abusive and threatening behaviour.Unreasonable conduct by complainants will result in referral to senior management for therecommendation of strategies being implemented to manage the behaviour. Complainantswill be advised of the strategy that will establish limits and conditions regarding acceptableand unacceptable conduct and how their complaints will be managed.The recording and response to complaints received by unreasonable complainants will also bethe subject of modification.Page 21Construction Complaints Management System

4.3Referring complaintsRegardless of how a complaint is received, it must be referred to the most appropriate agencyas soon as they are received. The following table outlines the referral process.Table 5 Guideline for referring complaintsType ofcomplaintDescriptionReferred toEarlyconstruction worksComplaint is about early works activities orthe early works contractorPlace Manager, EarlyWorks or contractorrepresentativeConstruction sitespecificComplaint is about construction work, behaviouror activities at/or around a Sydney Metroconstruction site (except early constructionworks)Complaint about the need for the project, theprojects procedures or processes theapproval process, or TfNSW policy positionRelevant constructioncontractor representativeMediaComplaint has come via a member of amedia organisationSydney Metro Director,Project Communication

Construction Complaints Management System 1.2 Responsibilities Complaints handling is the responsibility of all team members who come into contact with the community and stakeholders. The Director, Project Communications is the designated complaints handling management representative for the escalation of complaints.