Accident, Incident, and Complaints Reporting
All accidents, incidents, and complaints must be tracked and reported to the RTO and if applicable, the appropriate authorities. All AIC events must be reported to the RTO within (2) hours, even if the event occurs on a weekend or holiday. Urgent incidents and accidents must be reported to the authorities by calling 911.
Roles and Responsibilities Overview
| Role | Responsibility |
|---|---|
Compliance Team |
Internal OFSS team responsible for reviewing AICs and follow-up actions to determine compliance. |
Prime Contractor |
Submits the initial and follow-up reports, as well as other supporting documentation. Complies with all investigative steps. Monitors the subcontractors performance to ensure compliance and accountability. |
Subcontractor |
Reports all accidents and incidents to the Prime Contractor and complies with the investigative process by submitting pictures, video, police reports, statements, etc. |
Regional Transportation Office (RTO) |
Provides oversight of the AIC process to ensure compliance and accountability by the Prime Contractor. Acts as the investigator. When needed, provides additional follow-up and documentation. |
Human Service Provider (HSP) |
Complies with the AIC process, providing additional updates and documentation as required. |
Passenger Occurrence
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 an 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
Process Flow: Accident and Incident Process
The steps outlined below depict the full accident and incident reporting process.
- Step 1
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TP has two (2) hours to report events utilizing Appendix 24.
- Step 2
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After the receipt of Appendix 24, Manager/RTO has two (2) business days to complete Appendix 26. The RTO will immediately begin the investigative process.
- Step 3
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The RTO has one (1) business day to complete Appendix 27 or provide follow-up to the TP/Subcontractor. TP has three (3) business days to comply with the investigative process and thoroughly complete Appendix 25 documenting all relevant case information.
- Step 4
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After the receipt of Appendix 25, the RTO has one (1) business day to provide a resolution that would yield a case closure.
In special circumstances, the RTO must conduct a rapid response inspection if an AIC event involves vehicle and/or individual safety.
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 follow safety precautions, 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.
If behaviors are a safety concern, the RTO and HSP should decide if an individual should be suspended temporarily or permanently. TPs should not refuse to transport an individual who has demonstrated a change in behavior and has complied with the HSP and/or RTO recommendations.
References and Related Documents
| Document | Description |
|---|---|
Appendix 24 – Vehicle Operator Initial Accident and Incident Reporting Form |
Form used for a TP/Subcontractor to submit a formal accident or incident to DHS. |
Appendix 26 – Regional Transportation Office Initial Accident and Incident Reporting Form |
Form used by the Regional Transportation Office to report an accident or incident. |
Appendix 25 – Vehicle Operator Accident and Incident Follow-up Form |
Form used by the TP/Subcontractor to provide an update or resolution to an accident or incident. |
Appendix 27 – Regional Transportation Office Accident and Incident Follow-up Form |
Form used by the Regional Transportation Office to provide an update or resolution to an accident or incident. |
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 depict 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 Regional Office is considered the 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, records, driver logs, Individual Service Plan (ISP), etc. The Reviewer has three days to provide an update or a case resolution. It is the Reviewer’s responsibility to relay all findings to all involved parties. If the Reviewer cannot complete the tasks within this time frame, the Reviewer must provide a case update to all involved parties. The Reviewer has three additional days to provide an update. The RTO will communicate the resolution to the TP and/or HSP.
- Step 3
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Case updates can be provided sooner if information becomes available. It is the responsibility of the RTO to document delays.
- 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 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.
- Step 6
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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. |