ACCIDENT REVIEW AND APPEAL POLICY

TRI-COUNTY METROPOLITAN
TRANSPORTATION DISTRICT OF OREGON

SYSTEM SAFETY POLICY REVISED: JULY 2010
TITLE: ACCIDENT REVIEW AND APPEAL POLICY


1. PURPOSE
This policy outlines the process for reviewing accidents involving TriMet vehicles equipment and property and accidents involving vehicles, equipment or property operated by TriMet employees acting in the course of employment.

2. SCOPE
This policy applies to all TriMet employees.

3. PREVENTABLE ACCIDENT POLICY
Accidents occurring during the operation of TriMet vehicles and/or in the performance of assigned duties jeopardize the safety of TriMet employees and the public, and impacts TriMet resources.

Therefore, any accident or incident, which causes injury or property damage as a result of failure to observe defensive driving principles or established SOPs, may be judged “preventable.” The circumstances of each accident or incident will be reviewed to determine whether an employee’s action or failure to act fell below performance expectations of the National Safety Council and thereby contributed to the accident or incident.

Each preventable accident/incident will become a part of the employee’s personnel record for twenty four (24) consecutive months for the purpose of the implementation of this policy.

4. SCHEDULE of DISCIPLINARY ACTION for PREVENTABLE ACCIDENTS/INCIDENTS
IMPORTANT NOTE: Not withstanding this schedule, serious, fatal and/or multiple-person injury accidents, or accidents involving extensive property damage, or gross disregard for TriMet property and/or public safety, and/or gross negligence may result in immediate suspension or discharge.

IMPORTANT NOTE: LRV Operators are subject to applicable rule violations, which will be addressed in a manner consistent with the practice at Light Rail and therefore the following schedule may not apply.

First Occurrence
Operator will have a meeting with a member of the Station Management Team and will receive training as warranted.

Note: Station Management’s conversation with the Operator must include a review of the preventable incidents/actions that occurred during the accident, an outline of performance expectations, and forewarning of probable consequences if the Operator’s conduct continues. A follow-up with letter to document discussion with the Operator is also expected.

Second Occurrence
Operator will have a meeting with a member of the Station Management Team and will receive training.

Note: Station Management’s conversation with the Operator must include a review of the preventable incidents/actions that occurred during the accident, an outline of performance expectations, and forewarning of probable consequences if the Operator’s conduct continues. A follow-up with letter to document discussion with the Operator is also expected.

Third Occurrence
Operator will have a meeting with a member of Station Management team, will complete recertification training, and may be subject to discipline.

Note: Station Management’s conversation with the Operator must include a review of the preventable incidents/actions that occurred during the accident, an outline of performance expectations, and forewarning of probable consequences if the Operator’s conduct continues. A follow-up with letter to document discussion with the Operator is also expected.

Fourth Occurrence
Discharge

BUS

5. INITIAL REVIEW
Accidents/Incidents will be reviewed a minimum of once a week by:
• Assistant station manager or
• Operator trainer assigned to a garage

6. ACCIDENT/INCIDENT FILES
Accident reports (Supervisor and Operator) may be found in digital sender.

1. OCC personnel advise Operator and Supervisor to complete State and TriMet accident reports as applicable.
2. OCC advises Road Supervisor of accident.
3. Operator and Supervisor shall turn Accident/Incident report into Station Agents at end of shift or within twenty four (24) hours of notifying dispatch of the accident/Incident. If report is not received within twenty four (24) hours, Assistant Station Manager or Station Agent will follow up with Operator and apply SOR policy as necessary.
4. Station Agent reviews accident reports to ensure they are complete. Station Agent makes necessary copies, enters report into digital sender, forwards original report to Claims, and copies respective Station Management.
5. Assistant Station Manager receives copies and reviews for clarity and completeness then requests supplemental information if necessary.
6. Bus Trainer assigned to garage reviews each accident/incident occurring from a particular garage and places it one of two categories:

Incident: Incident will be closed out in the ACID (Accident and Incident Data Base) and no further action is required.
Ready for Review: Accident/incident will be marked in ACID as “ready to review”.

IMPORTANT NOTE: Any incident or accident involving property damage or personal injury shall be sent for review.

7. ACCIDENT REVIEW COMMITTEE and APPEALS BOARD SELECTION
Operator Representatives designated to serve on the Accident Review Committee and Appeals Board will be selected by the System Safety Representative and Executive Director of Operations or their management designee, and ATU subject to their sole discretion. Eligible employees must minimally:
• Have taken the Defensive Driving Course within the last two years
• Have not had any preventable accidents in the last two years
• Be able to attend the hearings on a regular basis, and are currently serving in their regular assignment.

Term: Selected employees will serve a minimum term of two years.

Training: Each member will receive accident determination training as outlined in the National Safety Council’s “A Guide to Determine Motor Vehicle Accident Preventability,”

8. ACCIDENT REVIEW COMMITTEE
The Accident Review Committee will review all vehicle accidents from all facilities, assigned as requiring further review by the first stage process. This committee will be comprised of the following:
• Two bus trainers
• Two bus Operators
• Chairperson (Safety Department or designee)
• Union representative

Review committee will review the following types of accidents/incidents:
• Revenue vehicles
• Non-revenue vehicles
• MOW vehicles
• Pool cars
• Hi-Rail equipment – not on track

VOTING MEMBERS:
• Two Bus trainers
• Two Bus Operators

NON-VOTING MEMBERS:
• Chairperson (Safety Department or designee)
• Union representative

IMPORTANT NOTE: In the event of a tie vote the Chairperson will become a voting member and will cast the vote to decide the matter.

9. ACCIDENT REVIEW COMMITTEE FINDINGS
Accident Review Committee shall base its findings on the National Safety Council Guidelines, outlined in the “Guide to Determine Motor Vehicle Accident Preventability”.

The Accident Review Committee will review accidents/incidents and assign one of the following:
• Non-Preventable
• Preventable (PA)
• Not enough Information
• Incident
• ONC, Operator no Control
• Safety Related Incident (SRI): A situation in which an incident occurs that does not result in a claim of property damage or personal injury; however, the potential for injury or damage was present due to the actions taken by the Operator of the vehicle.
The Safety Incident category will be used as a catalyst for training, follow-up and establishing District expectations for performance. Appropriate training and actions will be taken to minimize the potential for re-occurrence of the behavior that created the hazardous situation.

At the time of the decision, the Accident Review Committee shall provide a brief summary of their findings and the reasons for assigning the judgement

10. NOTIFICATION OF FINDINGS
Following the decision of the Accident Review Committee, the employee will be informed in writing of the committee’s decision.

Committee findings are placed in ACID by the Chairperson or designee.

Letters of Review Determination are generated by ACID and include the appeal form and information on filing an appeal. They will also include an explanation of what could have been done to prevent the accident as outlined in the National Safety Council’s “A Guide to Determine Motor Vehicle Accident Preventability”.

Form 501: This form shall be attached to any correspondence involving decisions. On receipt of the 501 the employee shall sign, return to the station agent, who signs and date stamps the 501. Following this, the 501 is returned to the Training Department.

11. APPEALS
Enclosed with the Review Determination letter is information outlining the appeal rights of the individual.
Employee has sixty (60) calendar days from the date of the receipt of the notice in which to schedule and attend an appeal of the Review Committee findings.
Request for appeal is entered into ACID.

12. APPEALS BOARD
The Appeals Board will review vehicle accidents from all facilities determined to be Preventable accidents by the Accident Review Committee when an appeal is requested by the Operator. This includes all non-revenue vehicle accidents. The Appeals Board will be comprised of the following participants, who have not previously addressed the matter in accident reviews:
• Two Bus trainers
• Two Bus Operators
• System Safety representative
• Union representative

VOTING MEMBERS:
• Two Bus trainers
• Two Bus Operators

NON-VOTING MEMBERS:
• Chairperson (Safety Department or designee)
• Union representative
IMPORTANT NOTE: In the event of a tie vote the Chairperson will become a voting member and will cast the vote to decide the matter.

UNION REPRESENTATIVE:
The union representative attends the Appeals Board meeting to monitor the process on behalf of the employee and to request that any pertinent questions are addressed.

13. APPEALS BOARD FINDINGS
The Appeals Board shall base its findings on the guidelines outlined in the National Safety Council’s “A Guide to Determine Motor Vehicle Accident Preventability”.

The Appeals Board will review the accident file and question the Operator/driver concerning the event.

At the time of the decision, the Appeals Board shall provide a brief summary of their findings and decision to add to the file outlining the reasons for overturning a decision made by the Accident Review Committee.
The decisions are entered into ACID and the appeals determination letters sent to Operators. If the appeal determination was a PA, the Operator has seven days to request an external appeal. This period begins from date of the employee receipt of notification as indicated on the 501.

14. EXTERNAL TRIMET ACCIDENT APPEALS
Following the Appeals Board decision, the Operator/driver may exercise a further option as the final opportunity to appeal this accident review determination. A Final Appeal may be submitted when the Appeals Board confirms the review determination as Preventable (PA).

A completed External TriMet Accident Appeal form shall be returned to the Safety Department within seven (7) calendar days of receipt of the Appeals Boards decision letter informing them of the decision to uphold the Accident Review Committee decision. An independent Third Party will conduct a review of the accident/incident

15. EXTERNAL TRIMET ACCIDENT APPEAL FINDINGS
Bus Transportation receives notification, in writing, of the Third Party review decision and enters the decision into ACID. They then send out a determination letter to the Operator and close out the accident.

RAIL and Hi-Rail EQUIPMENT on TRACK

16. INITIAL REVIEW
Rail Administration will access ACID, daily to review entries and assign the following:
• Incident: No further action required
• Accident /Incident: Ready for review

17. RAIL REVIEW COMMITTEE
The Rail Review Committee meets on an as needed basis. The Rail Review Committee will be comprised of the following:
• Two Rail Operators
• Two Assistant Managers or Trainers
• Safety Representative
• Union Representative

The Rail Review Committee will review the following type of accidents/incidents:
• Revenue vehicles
• Hi-Rail equipment on track incidents

VOTING MEMBERS
• Two Rail Operators
• Two Assistant Managers or Trainers

NON-VOTING MEMBERS
• Safety Representative
• Union representative

IMPORTANT NOTE: In the event of a tie vote the Safety Representative will become a voting member and will cast the vote to decide the matter.

18. RAIL REVIEW COMMITTEE FINDINGS
Rail Review Committee shall base its findings on the National Safety Council Guidelines, outlined in the “Guide to Determine Motor Vehicle Accident Preventability”. The Rail Review Committee shall assign accidents/incidents as one of the following:
• Non-Preventable
• Preventable (PA)
• Not Enough Information
• Incident
• ONC, Operator No Control
• Safety Related Incident (SRI): A situation in which an incident occurs that does not result in a claim of property damage or personal injury; however, the potential for injury or damage was present due to the actions taken by the Operator of the vehicle.
The Safety Incident category will be used as a catalyst for training, follow-up and establishing District expectations for performance. Appropriate training and actions will be taken to minimize the potential for re-occurrence of the behavior that created the hazardous situation.

Once the meeting is completed and findings are assigned, Rail Administration enters the findings of the Rail Review Committee in ACID.
Rail Transportation informs the Operators of the findings and of their appeal rights by letter.
Form 501: This form shall be attached to any correspondence involving decisions. On receipt of the 501 the employee shall sign, return to the station agent, who signs and date stamps the 501. Following this, the 501 is returned to Rail Transportation.

19. APPEALS
Employee has ten (10) calendar days from the date of the receipt of the notice in which to request an Appeal.
Request for appeal is entered into ACID.
Enclosed with the Review Determination letter is information outlining the appeal rights of the individual.
The Manager, System Safety is responsible for the scheduling of the Rail Appeals Board hearings. Rail Appeals Board meets on an as needed basis. The Rail Appeals Board will review all rail vehicle accidents from all facilities, determined to be Preventable accidents by the Rail Review Committee if requested by the Operator. The Rail Appeals Board will be comprised of the following:
• Two Rail Operators
• Two Assistant Managers or Trainers
• Safety Representative
• Union Representative

VOTING MEMBERS:
• Two Rail Operators
• Two Assistant Managers or Trainers

NON-VOTING MEMBERS:
• Safety Representative
• Union representative

IMPORTANT NOTE: In the event of a tie vote the Safety Representative will become a voting member and will cast the vote to decide the matter.

UNION REPRESENTATIVE:
The Union Representative attends the Rail Appeals Board meeting to ensure the interests of the employee are met and that any pertinent questions are addressed.

20. RAIL APPEALS BOARD FINDINGS
The Rail Appeals Board will review the accident file and question the Operator/driver concerning the event.

21. EXTERNAL TRIMET ACCIDENT APPEALS
Following the Rail Appeals Board, the Operator/driver may exercise a further option. A Final Appeal may be submitted when the Rail Appeals Board confirms the review determination as Preventable. A completed External TriMet Accident Appeal form shall be returned to Rail Transportation within seven (7) calendar days of receipt of the Rail Appeals Board’s decision letter informing them of the decision to uphold the Rail Review Committee decision. The independent Third Party will review the accident and either uphold, reverse or change the decision.

22. EXTERNAL TRIMET ACCIDENT APPEAL FINDINGS
Operator will be informed in writing of the Third Party review decision.

23. ACCIDENTS/INCIDENTS INVOLVING MAINTENANCE EQUIPMENT/PLANT
Accidents/incidents that do not involve revenue or non-revenue vehicles will be handled in the following manner. Examples of the type of incidents this process will handle are:
• Forklift accidents
• Overhead cranes
• Maintenance equipment and tools

The Garage Manager of the facility where the incident occurred will conduct a review of the event and assign a finding.
• Non-preventable
• Preventable
• Safety Related Incident (SRI): A situation in which an incident occurs that does not result in a claim of property damage or personal injury; however, the potential for injury or damage was present due to the actions taken by the Operator of the vehicle. The Safety Incident category will be used as a catalyst for training, follow-up and establishing District expectations for performance. Appropriate training and actions will be taken to minimize the potential for re-occurrence of the behavior that created the hazardous situation.
The Garage Manager will inform the maintenance employee in writing of the decision.