Accident and Incident Reporting
All accidents and incidents must be tracked and reported to the RTO and if applicable, the appropriate authorities. All urgent incidents and accidents must be reported to the authorities by calling 911 and to the RTO within two (2) hours.
Passenger Occurence
Accidents and incidents involving health or safety hazards during transport, such as the presence of bodily fluids or vermin, should be classified as incidents.
The TP should inform the RTO of any incidents experienced while transporting an individual, regarding falls, safety concerns, and behaviors. Then, the RTO will contact the HSP and any other parties regarding the incident. The RTO will review and make a determination regarding future transport.
Behavioral Occurrence
Any conduct or action, by an individual, that places himself/herself or other individuals in harm’s way while being transported is considered a behavioral incident.
If behaviors or actions are severe and require an intervention by police or other authorities, transportation services will be suspended pending a review of the incident. Behaviors or actions include, but are not limited to, suicidal gestures or attempts, assaults, possession or use of weapons, homicide, frequent medical disruptions, aggressive behavior, and running away.
To remediate a behavior incident, follow the steps for Accident/Incident Reporting:
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Call 911, if applicable
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Call the emergency contact for each individual involved in the incident
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Call the appropriate RTO
The steps outlined below depicts the full accident and incident reporting process.
- Step 1
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TP has two (2) hours to report events via Appendix 24.
- Step 2
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Once receipt of Appendix 24, APM/RTO has two (2) business days to complete Appendix 26.
- Step 3
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Once receipt of Appendix 26, TP has three (3) business days to complete Appendix 25.
- Step 4
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Once receipt of Appendix 25, RTO has one (1) business day to complete Appendix 27.
- Step 5
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Once all supporting documentation is received, the Compliance team will determine a closure date or if additional information is needed.
Accidents and Incidents are categorized by levels. Each level specifies the severity of the occurrence.
- Level 1
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Accident/Incident without injuries to drivers, no individuals on board
- Level 2
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Accident/Incident without injuries to the driver or passenger(s), individuals on board, 911 and/or EMS not engaged
- Level 3
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Accident/Incident with injuries to driver or passenger(s), individuals on board, 911 and/or EMS engaged
- Level 4
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Accident/Incident with injuries to driver or passenger(s), individuals on board, 911 and/or EMS engaged; serious or severe injuries or fatalities.
It is important to note, Level 3 and 4 occurrences should be considered of high-importance and an urgent matter. Director and Deputy Director must be included in all correspondences. A formal consultation is required to include at a minimum: Area Program Manager, Regional Transportation Office, Director, Deputy Director, Compliance Coordinator, and Senior Managers. Until the event is in a closed status, daily updates should be sent to Senior Managers and Directors. * Be mindful that level 3 and 4 occurrences can occur during weekends or holidays and will require constant follow-up that goes beyond regular business hours.
Disruptive or Unsafe Behaviors
Disruptive or unsafe behaviors can be addressed using the Complaint process. The Complaint process should be followed if an individual’s behavior impacts the driver or other passengers in any way. Behaviors such as refusal to stay buckled and seated, playing loud music, and distracting the driver could be considered a complaint and must follow the Complaint process. These behaviors typically do not rise to the level of endangering anyone else.
Reporting Complaints
Complaints regarding the DHS Coordinated Transportation Services, will be handled promptly and objectively. Transportation Providers (TP) should file complaints with the Regional Transportation Office (RTO). Complaints from the HSP, individuals, guardians, and others must be submitted by the Human Service Provider (HSP). It is the HSP’s responsibility to complete the Complaint form (Appendix 6 – Complaint Form) on behalf of the Complainant.
The RTO maintains records of all complaints filed and routes them to the appropriate parties for review and resolution. Information is gathered from both the Complainant and the Subject of the Complaint to determine the issue at hand and develop appropriate steps for resolution, if necessary.
Transportation Providers must follow DHS’s contractual guidelines on reporting complaints, and if requested be able to submit to the Regional Transportation Office, a written document that details their response to events and complaints. The TP must address subcontractor compliance and outline remedies for poor performance.
Complaint Process
Roles and Responsibilities Overview
| Role | Responsibility | ||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|
Complainant |
Files complaint, provides information to the reviewer and participates in a group meeting as requested, and may request a case review in the event of an unsatisfactory resolution. |
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Subject of the Complaint
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Provides information to the reviewer and participates in a group meeting as requested. If the HSP, TP, or Subcontractor is the subject of the complaint, they must execute an Action Plan to resolve a complaint or prevent issues in the future. |
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Reviewer
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Reviews complaint by compiling information gathered from all parties involved and notifies them of the outcome of the review. |
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Regional Transportation Office (RTO) |
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Process Flow: Complaint Process
The steps outlined below depicts the full Complaint process from the filing of a complaint through the complaint resolution.
- Step 1
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TPs or HSPs file complaints directly with DHS. All other complainants, must work with the HSP. The TP or HSP completes the (Appendix 6 – Complaint Form). The Compliance team will review Appendix 6 and assign to the respective Regional Office. The Regional Office will appoint a Reviewer, and appropriately responds to both the subject and Complainant.
- Step 2
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The Reviewer will assist in gathering supportive documentation to substantiate the complaint. Supportive documentation could include photographs and videos, doctors' notes, records, driver logs, Individual Service Plan (ISP), etc. The Regional Office may also serve as the Reviewer. The Reviewer has three days to provide an update or a case resolution. It is the Reviewer’s responsibility to relay all findings to the RTO and all involved parties. If the Reviewer cannot complete the tasks within this time frame, the Reviewer must provide a case update to both the RTO and the Complainant. The Reviewer has three additional days to provide an update. The Compliance team will review the findings and determine if the case can be closed. The Compliance team will relay the information to the Regional Office. The RTO will communicate the resolution to the TP and/or HSP.
- Step 3
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In the case of a review taking longer than the predefined time limit, the Reviewer should provide weekly case updates to the Complainant and RTO. Case updates can be provided sooner if information becomes available. It is the responsibility of the RTO to document delays utilizing the performance log (see Exhibit 15 – Sample DHS Complaint Performance Log).
- Step 4
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Once the review is complete, the Reviewer fills out (Appendix 7 – Complaint Resolution Form). The Reviewer should send the Complaint Resolution Form to all parties involved. The Reviewer will provide corrective actions to resolve the complaint to prevent any future reoccurrence.
- Step 5
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The Compliance team will review all case documentation and communicate with the RTO and determine if all actions are resolved and if the case can be closed.
- Step 6
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The TP or HSP involved should have the option to review the final resolution and file an appeal. The parties will have 10 days to request a case review. The case is re-opened and reviewed by the Compliance team to determine the final resolution.
- Step 7
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The RTO is responsible for tracking and documenting all actions that led to a final resolution.
References and Related Documents
| Document | Description |
|---|---|
Form used for a TP or HSP to submit a formal complaint to DHS. |
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Form is completed once a complaint review is resolved; details steps for the Subject of the Complaint; should follow recommendations to correct the issue and/or prevent the event from reoccurring. |
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Log used by the TSS State Office to track TP performance issues and their resolution. |