ARC Audit Questions and Completion Instructions

Transcription

1 ARC Audit Questions and Completion Instructions Safety Program Questions Does the written Safety Program apply to all staff authorized to operate the carrier s commercial vehicles? Regulation: AR314/2002 Section 40(3) Is safe use and operation of commercial vehicles including; speed limits, seat belt use, drug and alcohol use, defensive driving, load security and fuelling written into the Safety Program? Regulation: AR314/2002 Section 40(1)(a) Is proper records and recording of information including, as required; bills of lading, manifests, dangerous goods documents, time records, driver s daily logs, and weigh slips written into the Safety Program? Regulation: AR314/2002 Section 40(1)(b) Is compliance with the law by drivers written into the Safety Program? Instructions The Safety Program clearly states that it applies to all staff authorized to operate the company s commercial vehicles (including maintenance staff, lease operators, swampers, administration staff, management, etc.). There is evidence that some staff are operating vehicles and you can not find any written documentation indicating that the safety plan applies to them. Carrier is an Owner/Operator and has never had any full-time or part-time drivers since the Audit Start date. Carrier has written policies and instructions relating to the operation of the vehicle. These must include at least such subjects as speed limits, seat belt use, drug and alcohol use, defensive driving, load security, fuelling. The actual policies documented should be relative to the size and type of operation of the carrier. Carrier does not have all policies in place. Should never be answered N/A. Carrier has written instructions on how to properly complete records and record information relevant to their operation including, as required, bills of lading, manifests, dangerous goods documents, time records, drivers daily logs and weigh slips. These instructions may only reference sections of regulations that address completion of relevant documents (e.g. Drivers Hours of Service Regulation AR317/2002 Section 9). However, if only regulatory references are made, then the carrier must be able to produce the legislation referenced and staff must have access to it. No written instructions are in place or if carrier has only a simple statement that drivers will be trained in record completion. Carrier is an Owner/Operator and has no documented on-road violations related to record completion. Carrier has written policy that drivers are to comply with the law. The carrier does not have to list specific acts or regulations. ARC Audit Questions and Completion Instructions -1-

2 Regulation: AR314/2002 Section 40(1)(c) Carrier does not have a written policy in place. Are instructions for the use of safety equipment including, as required; the use of fire extinguishers, goggles and hard hats written into the Safety Program? Regulation: AR314/2002 Section 40(1)(d) Are policies and procedures relating to drivers responsibilities, conduct and discipline written into the Safety Program? Regulation: AR314/2002 Section 40(1)(c) Is evaluating employees driving skills written into the Safety Program? Regulation: AR314/2002 Section 40(1)(e) Should never be answered N/A. Carrier has written instructions for the use of safety equipment that pertains to the operation of their vehicles. Minimum requirement would be the use of approved warning devices, such as, reflectors or advanced warning triangles. If the carrier uses fire extinguishers, goggles and hard hats and if any other safety equipment is used or required by the carrier, then there should be instructions on how and when to use each. The carrier s instructions may state in accordance with a specific regulation if the regulation can be produced and staff must have access to it. Carrier does not have written instructions for the use of safety equipment. Should never be answered N/A. The carrier has a written policy which addresses driver conduct and has a written disciplinary policy for failure to comply (e.g. conducting the safe operation of vehicle by driving defensively and obeying the posted speed limits). The disciplinary procedures should be progressive and outline options, such as, written warnings, training and suspensions and termination. Carrier does not have a written disciplinary policy. Carrier is an Owner/Operator and has never had any full-time or part-time drivers since the Audit Start date. Carrier has a written policy which addresses performance evaluation for driving skills that is on-going (e.g. annual employee reviews through road tests, and/or periodic knowledge testing). Carrier does not have a written program, which addresses driver s ongoing evaluation. Carrier is an Owner/Operator and has never had any full-time or part-time drivers since the Audit Start date. ARC Audit Questions and Completion Instructions -2-

3 Is retention of complete records for drivers written into the Safety Program? Regulation: AR314/2002 Section 40(1)(f) Is ensuring all drivers are properly qualified for the type of vehicle they operate written into the Safety Program? Regulation: AR314/2002 Section 40(1)(g) Does the written Safety Program instruct and explain that no one shall operate or permit another person to operate a commercial vehicle if the vehicle or its equipment is in a condition that is likely to cause danger to person or property? Regulation: AR121/2009 Section 3 Does the carrier instruct or arrange for training of all drivers for Hours of Service requirements, as required? Regulation: AR314/2002 Section 40 (1)(c) & (e) Carrier has a written policy indicating the specific drivers records which will be maintained and for how long; or the carrier has a written policy indicating drivers records will be maintained in accordance with regulation AR314/2002 Section 41(1)(a-j) and 43(1)(a - b). If the carrier states that records will be maintained in accordance with a regulation, then they must be able to produce the Regulation. Carrier does not have a written policy regarding drivers records even if all required documents are on file. Should never be answered N/A. An Owner/Operator does not have to retain an application form or a 3-year employment history for themselves. Carrier has a written policy clearly specifying what the carrier considers to be a qualified driver for the type of vehicles they operate (may be as simple as stating a class of licence that meets the minimum regulatory requirements). Carrier does not have a written policy in place. Carrier is an Owner/Operator and has never had any full-time or part-time drivers since the Audit Start date. Carrier has a written policy clearly specifying that no one shall operate or permit another person to operate a commercial vehicle if the vehicle or its equipment is in a condition that is likely to cause danger to an employee/public or property. Carrier does not have a written policy in place. Should never be answered N/A. Carrier has a written policy clearly specifying what Hours of Service rules drivers are required to follow. Evidence of a written training program and evidence of instruction exists. Examples of items that may indicate instruction has been given include tests, course attendance lists, a certificate of completion, course materials and videos. Also answer Yes if evidence is found that drivers have been adequately instructed by their previous employer and then evaluated and accepted by his current employer. A written record of the evaluation must be present. If the carrier is an Owner/Operator, User should accept any training but comment if they feel it is poor or requires updating. There is no evidence of instruction or an evaluation having been given. Ensure User documents if they identify poor or inadequate training. ARC Audit Questions and Completion Instructions -3-

4 Does the carrier instruct or arrange for training of all drivers for Trip Inspection requirements, as required? Regulation: AR314/2002 Section 40 (1)(c) and (e) Does the carrier instruct or arrange for training of all drivers for load securement requirements, as required? Regulation: AR314/2002 Section 40 (1)(c) and (e) Carrier is not legally required to follow Hours of Service rules. Carrier has a written policy clearly specifying what Trip Inspection rules drivers are required to follow. Evidence of a written training program and evidence of instruction exists. Evidence of documentation indicating that training has taken place and can explain what the training consisted of. Training should cover inspecting at least the regulated items outlined in applicable NSC Standard and Schedule in AR121/2009. Examples to indicate instruction has been given may include tests, a certificate of completion, course materials and videos. Also answer Yes if evidence is found that drivers have been adequately instructed by their previous employer and then evaluated and accepted by his current employer. A written record of the evaluation must be present. There is no evidence of driver instruction or evaluation having been given. Ensure User documents if they identify poor or inadequate training. Carrier is not legally required to follow Trip Inspection rules. Carrier has a written policy clearly specifying what load securement rules drivers are required to follow. Evidence of a written training program and evidence of instruction exists. Examples of items that may indicate instruction has been given include tests, a certificate of completion, course materials and videos. Also answer Yes if evidence is found that drivers have been adequately instructed by their previous employer and then evaluated and accepted by his current employer. A written record of the evaluation must be present. Evidence of documentation indicating that training has taken place and can explain what the training consisted of. Training should cover at least the regulated items outlined in applicable NSC Standard. There is no evidence of driver instruction or evaluation having been given. Ensure User documents if they identify poor or inadequate training. Carrier is not legally required to follow load securement rules. ARC Audit Questions and Completion Instructions -4-

5 Does the carrier instruct or arrange for training of all drivers for all other applicable safety laws (including weights and dimensions, permit conditions, etc.), as required? Regulation: AR314/2002 Section 40 (1)(c) & (e) Have the carrier and the carrier s employees substantially complied with their Safety Program? Regulation: AR314/2002 Section 40(3) Answer Yes if Carrier has a written policy clearly specifying what other applicable safety laws and rules drivers are required to follow. Evidence of a written training program and evidence of instruction exists. Examples of items that may indicate instruction has been given include tests, a certificate of completion, course materials and videos. Also answer Yes if evidence is found that drivers have been adequately instructed by their previous employer and then evaluated and accepted by his current employer. A written record of the evaluation must be present. Evidence of documentation indicating that training has taken place and can explain what the training consisted of. Training should cover at least the regulated items outlined in applicable provincial/federal regulations. There is no evidence of instruction or an evaluation having been given. Ensure Auditor documents if they identify poor or inadequate training. Carrier s commercial transportation operation does not apply to other applicable safety laws. There is evidence on file that there is a substantial level of implementation of the policies in the carrier s current written Safety Program. Note: Carrier does not have to have all required policies in place. If the carrier produces a written Safety Program, they must substantially comply with those policies that are currently in their written Safety Program. There is not a substantial level of compliance. For example, substantial issues may include: no disciplinary action implemented; no implementation of training; or not following guidelines to ensure compliance of safety laws. Comments should be entered as to what is not implemented and specific actions should be addressed in the Action Plan, such as, implement disciplinary program by a specified date. Carrier has no written Safety Program. Driver Files Questions Does the driver file contain a completed application form if hired after April 1, 1998? Regulation: AR314/2002 Section 41(1)(a) Instructions There is a completed application form or resume on file. There is no completed application form or resume on file. ARC Audit Questions and Completion Instructions -5-

6 Does the driver file contain a copy of the driver s employment history for at least 3 years prior to working for the carrier if hired after April 1, 1998? Regulation: AR314/2002 Section 41(1)(d) Does the driver file contain a copy of the driver s abstract dated within 30 days of the date of employment or hire, if hired after May 20, 2003? Regulation: AR314/2002 Section 41(1)(b) Does the driver file contain an annually updated driver s abstract? Regulation: AR314/2002 Section 41(1)(c) Driver hired prior to April 01, Driver is an Owner. Driver has been employed by carrier for 5 or more consecutive years. 3-year work history is on file; if driver s entire work history is less than 3 years, then his complete work history must be on file. Less than 3-year work history is on file or if work history is incomplete for drivers employed for less than 3 years. Driver hired prior to April 01, Driver is an Owner. Driver has been employed by carrier for 5 or more consecutive years. There is a copy of an abstract that was obtained within 30 days of the driver first being hired or employed. If driver was a previous employee and was laid off, then re-hired, the abstract should be within 30 days of the later date. Carrier did not obtain an abstract within 30 days prior to hiring, re-hiring, or employing the driver. Driver hired prior to May 20, File contains driver s abstracts, obtained at intervals no greater than 12 months, for the previous 5 years or since the driver was hired. The abstract must be issued by a Government Authorized Agency. Does the driver file contain a record of convictions of safety laws in the current year and each of the 4 preceding years? Regulation: AR314/2002 Section 41(1)(e) Does not have all of the required abstracts on file; abstract issued by other than Government Authorized Agency; abstract located elsewhere such as at an insurance company or school division office. Driver has not been employed for a full year. All convictions known to the User are on file, including those committed while using personal vehicles. Not all convictions are on file. If User is aware of a conviction not on file then the answer is No. Driver did not have any convictions known to the User. ARC Audit Questions and Completion Instructions -6-

7 Does the driver file contain a record of all administrative penalties imposed on the driver under safety laws? Regulation: AR314/2002 Section 41(1)(f) and Traffic Safety Act Section 143 Does the driver file contain a record of all collisions reportable to a Peace Officer involving a motor vehicle? Regulation: AR314/2002 Section 41(1)(g) Does the driver file contain a record of all training completed with respect to the operation of a commercial vehicle and compliance with safety laws? Regulation: AR314/2002 Section 41(1)(h) Evidence that an administrative penalty was imposed on the driver and there is a record of the penalty contained in the driver file. Note: Administrative penalties can be issued by the Registrar on a regulated person and will be identified on the Carrier Profile when imposed. Evidence that an administrative penalty was imposed on the driver and there is no record of the penalty contained in the driver file. User does not have evidence that an Administrative penalty has been imposed on the driver after May 20, All motor vehicle collision information is in the driver s file or the driver s file contains a reference to a separate collision file. Not all motor vehicle required collision information on file. If User is aware of a collision not on file, then the answer is No. No evidence of any reportable collisions. User should consult the Carrier Profile to determine whether the driver has been involved in any collisions in the carrier s vehicles. There is a record of all related training on file (e.g. tests, certificates, or list of all training completed), including any training completed as identified in the carrier s Safety Program. It is acceptable if this information is contained in a separate training file or in a computer system viewable by the User. Note: If no training has been taken by the driver, the answer is N/A. Does the driver file contain a copy of a valid training certificate issued under the Transport Dangerous Goods Control Regulations? Regulation: AR314/2002 Section 41(1)(i) There is no record or records are incomplete of related training completed or received by the driver. Note: If no training has been taken by the driver, the answer is N/A. No training has been taken. Driver file contains a valid training certificate issued by their current employer and the certificate indicates at least the aspects of training covered and the date of the training. ARC Audit Questions and Completion Instructions -7-

8 Driver requires Dangerous Goods training and no valid training certificate is on file or if the training certificate is issued by other than the current employer. A record of training, test, etc. does not fulfill Does the driver file contain a copy of a current medical certificate required for a driver s licence? Regulation: AR314/2002 Section 41(1)(j) Driver does not transport dangerous goods and does not require training. A valid medical, or copy of a valid Class 1, 2, or 4 operator s licence or abstract is on file. Or, a valid medical, current abstract or licence is on file for a Class 3 or 5 operator s licence with a licence endorsement requiring a Periodic Medical. Note: A medical is required every two years if the driver operates an extended length (LCV) vehicle. Also, if a special medical has been requested by the employer or volunteered by the driver, then a copy or a letter from a doctor must be on file. No valid medical or no copy of a valid Class 1, 2, or 4 operator s licence or abstract is on file. Or, no valid medical, abstract or licence on file for a Class 3 or 5 operator s licence with a licence endorsement requiring a Periodic Medical. Driver does not hold a Class 1, 2, or 4 operator s licence, or other class licence which does not have a licence endorsement requiring a Periodic Medical. Vehicle File Questions Does the individual vehicle file contain the following: make, year, unit number, the manufacturer s serial number or a similar identifying mark? Regulation: AR121/2009 Section 37(2) (a)(i-iii) Can the carrier produce Trip Inspection reports as required? Regulation: AR121/2009 Section 37(2) (d) Instructions All required information to identify the vehicle is on file. Can be an electronic database, copy of registration, etc. One or more of the required components is missing. Should never be N/A. A substantial number of documented Trip Inspections for at least the past year are recorded with all the required information. Ensure that carrier is using the most current Trip Inspection Report form that meets and identifies all legislative requirements. See Appendix - E for a list of the Trip Inspection Report requirements. Note: An odometer reading is required, if the vehicle being inspected, IS EQUIPPED with one. If a trailer is equipped with a hubometer or an hour meter, ARC Audit Questions and Completion Instructions -8-

9 then the carrier is expected to treat it the same as an odometer and to record its reading. Note: All documented Trip Inspections with defects are considered to be inspections under the regulations and these documents must be retained. By regulation the carrier needs to retain these documented records for at least the current year plus 4 previous calendar years, however, for audit purposes the carrier is required to only produce a substantial number of records for at least the past year Can the carrier produce repair records each recorded with: date; vehicle identification; nature of work performed; and, if equipped; odometer/hour meter/hubometer reading? Regulation: AR121/2009 Section 37(2)(b) (i) and (ii) A substantial number of documented Trip Inspection reports with defects are recorded with all the required information and filed for at least the past year. Current and previous 4 years required. 6 mths if no defects noted. A substantial number of inspection reports have been produced, however the reports do not meet the requirements as listed in AR 121/2009 A substantial number of documented Trip Inspections for at least the past year have not been produced or have not been recorded with all the required information (i.e. date; vehicle identification; nature of work performed; and, if equipped, one of the following; odometer reading, or hour meter reading, or hubometer reading). Carrier did not produce any trip inspection reports. Newly purchased vehicle that hasn t yet had any trip inspections. Light Vehicle Exemption by Registrar for vehicle registered for a gross weight of less than 11,794 kilograms. A substantial number of repairs for at least the past year are recorded with all the required information (i.e. date; vehicle identification; nature of work performed; and, if equipped, one of the following; odometer reading, or hour meter reading, or hubometer reading). These repairs are to include; in-house or outside facilities in any jurisdiction. The repair bills must be in the vehicle file or a reference indicating the provider and the invoice or work order number. Note: An odometer reading is required if the vehicle being inspected IS EQUIPPED with one. If a trailer is equipped with a hubometer or hour meter, the ARC Audit Questions and Completion Instructions -9-

10 carrier is expected to treat it the same as an odometer and to record its reading. Can the carrier produce lubrication records each recorded with: date; vehicle identification; nature of work performed; and, if equipped, one of the following; odometer reading, or hour meter reading, or hubometer reading? Regulation: AR121/2009 Section 37(2)(b)(i) and (ii) By regulation the carrier needs to retain these records for at least current calendar year plus 4 previous calendar years, however, for audit purposes the carrier is required to only produce a substantial number of records for at least the past year. A substantial number of repairs for at least the past year have not been produced or have not been recorded with all the required information (i.e. date; vehicle identification; nature of work performed; and, if equipped, one of the following; odometer reading, or hour meter reading, or hubometer reading). User not aware of any repairs conducted on the vehicle. Newly purchased vehicle that hasn t yet had any repairs. A substantial number of lubrications for at least the past year are recorded with all the required information (i.e. date; vehicle identification; nature of work performed; and, if equipped, one of the following; odometer reading, or hour meter reading, or hubometer reading). These repairs are to include; in-house or outside facilities in any jurisdiction. Note: An odometer reading is required if the vehicle being inspected IS EQUIPPED with one. If a trailer is equipped with a hubometer, the carrier is expected to treat it the same as an odometer and to record its reading. By regulation the carrier needs to retain these records for at least current calendar year plus 4 previous calendar years, however, for audit purposes the carrier is required to only produce a substantial number of records for at least the past year. A substantial number of lubrications for at least the past year have not been produced or have not been recorded with all the required information (i.e. date; vehicle identification; nature of work performed; and, if equipped, one of the following; odometer reading, or hour meter reading, or hubometer reading). No lubrication records were produced. User not aware of any lubrications conducted on the vehicle. Newly purchased vehicle that hasn t yet had any lubrications. ARC Audit Questions and Completion Instructions -10-

11 Can the carrier produce scheduled maintenance records each recorded with: date; vehicle identification; nature of work performed; and, if equipped, one of the following; odometer reading, or hour meter reading, or hubometer reading? Regulation: AR121/2009 Section 37(2)(b)(i) and (ii) A comprehensive monthly and annual inspection checklist is used. A substantial number of scheduled maintenance records for at least the past year are recorded with all the required information. A substantial number of scheduled maintenance records are recorded with all the required information. The records include all scheduled maintenance that the carrier has outlined in their maintenance program. A substantial number of scheduled maintenance records for at least the past year are recorded with all the required information (i.e. date; vehicle identification; nature of work performed; and, if equipped, one of the following; odometer reading, or hour meter reading, or hubometer reading). The scheduled maintenance is to include; all scheduled maintenance that the carrier has outlined in their maintenance program. The scheduled maintenance is to include work done; in-house or outside facilities in any jurisdiction. If the carrier has no maintenance program in writing, but verbally stated intervals they are conducting scheduled maintenance and have scheduled maintenance records to substantiate what they follow for a verbal maintenance program. Note: Scheduled maintenance records do not include trip inspections (written maintenance program requires trip inspections to be conducted on the required components, but does not require them to document anything other than a defect notice). Trip inspections are addressed in a separate question. By regulation the carrier needs to retain these records for at least current year plus 4 previous years, however, for audit purposes the carrier is required to only produce a substantial number of records for at least the past year. Note: An odometer reading is required if the vehicle being inspected IS EQUIPPED with one. If a trailer is equipped with a hubometer, the carrier is expected to treat it the same as an odometer and to record its reading. There are no scheduled maintenance reports in the file produced. A substantial number of scheduled maintenance records for at least the past year have not been recorded or not all the required information recorded (i.e. ARC Audit Questions and Completion Instructions -11-

12 Have all notices of defects received from the manufacturer and the corrective work done on the vehicle in relation to those notices been recorded (Manufacturer Recalls)? Regulation: AR121/2009 Section 37(2) (c) Does the individual vehicle file contain records of all CVIP Inspection certificates, as required? Regulation: AR121/2009 Section 37(2)(b)(i) and (ii) Does the individual vehicle file contain records of CVSA Commercial Vehicle Inspection Reports, as required? Regulation: AR121/2009 Section 37(2)(b) date; vehicle identification; nature of work performed; and, if equipped, one of the following; odometer reading, or hour meter reading, or hubometer reading). Carrier has no maintenance program in writing or verbally stated intervals that they are conducting scheduled maintenance by, or no scheduled maintenance records to substantiate what they follow for a verbal maintenance program. Newly purchased vehicle that hasn t yet had any scheduled maintenance. Evidence on file that all recalls received by the carrier have had the work completed. Evidence that a recall is known by the carrier but no record that work was completed. User is not aware of any recall notice being issued for the vehicle or received by the carrier. Records on file of all CVIP Inspections for the current calendar year plus previous 4 calendar years or for as long as the vehicle has being in service with the carrier. Carrier can produce an exemption permit for a vehicle covered under AR211/2006: Section 76(2). Note: Do not evaluate whether the inspection form contains identification data (i.e. date; vehicle identification; nature of work performed or odometer reading). You cannot locate all CVIP Inspections and/or in the case of a CVIP Station with more than one registered vehicle, if records produced are only in a CVIP Inspection Certificate pad/booklet. User not aware of any CVIP conducted on the vehicle. Newly acquired vehicle that has not yet had any CVIP inspection. A substantial number of CVSA Commercial Vehicle Inspection reports for at least the past year are on file. There are CVSA reports in file from previous years. Note: Level 3 CVSAs (driver only inspections) are not required to be retained in the vehicle file. ARC Audit Questions and Completion Instructions -12-

13 Note: Do not evaluate whether the inspection form contains identification data (i.e. date; vehicle identification; nature of work performed or odometer reading). The carrier needs to retain these records for at least current year plus 4 previous years, however, for audit purposes the carrier is required to produce a substantial number of records for at least the past year. A substantial number of Commercial Vehicle Inspection (CVSA) reports have not been produced for at least the past year. CVSA reports can be verified by crossreferencing Carrier Profile. Are notices of defect(s) being recorded when a defect is identified? Regulation: AR121/2009 Section 10(8) and 14 and 15 User not aware of any Commercial Vehicle Inspection CVSAs conducted on the vehicle in the past year. Carrier indicates he has not had any Commercial Vehicle Inspection CVSAs conducted on the vehicle in the past year. None shown on Carrier Profile. Whether or not a trip inspection report must be completed before trip begins, if driver observes any safety defects in Schedule 1 of NSC Standard 13, Part 2, while driving the vehicle, the driver shall record the defects in a trip inspection report or otherwise in a written document and report that defect to the carrier responsible for the vehicle. If defect is major, then do not drive vehicle. A substantial number of defect notices for at least the past year, indicating vehicle defects identified by the driver, (covering at least the legislated trip inspection components) are on file. Notices can be written on cry sheets, Trip Inspection reports, etc. Notices written only on a whiteboard or equivalent are not acceptable. All defect notices are to be identified with the required regulatory information (nature of inspection, date, vehicle ID, and odometer reading). An odometer reading is required if the vehicle being inspected IS EQUIPPED with one. If a trailer is equipped with a hubometer, the carrier is expected to treat it the same as an odometer and to record its reading. All "defect notices" are considered to be "inspections" under the regulations and these documents must be retained. The carrier needs to retain these records for at least the past year. A substantial number of defect notices have not been produced for at least the ARC Audit Questions and Completion Instructions -13-

14 Are all required records maintained as true, accurate and legible? Regulation: AR121/2009 Section 37(4) past year or not all the required information recorded (i.e. date; vehicle identification; nature of work performed; and, if equipped, one of the following; odometer reading, or hour meter reading, or hubometer reading). A substantial number of trip inspection reports do not indicate any defects found. There are no other types of defect notices in the file. No defect notices were produced. User not aware of any defect notices conducted on the vehicle. It could not be verified that there have been any repairs required on the vehicle. Newly purchased vehicle that hasn t yet had any defect notices. A substantial number of forms are accurate and legible for at least the past year. The forms present in the file are accurate and legible. A substantial number of records are not true, inaccurate or not legible. Newly purchased vehicle that hasn t yet had any defect notices. Hours of Service Questions Does the carrier file records in an orderly manner and are they readily available? Regulation: Provincial AR317/2002 Section 16(2)(a); Federal SOR/ Section 85(3) Can the carrier produce the prior 6 months records of duty status for drivers selected? Regulation: Provincial AR317/2002 Sections 16(1) and 16(2); Federal SOR/ Section 85(3) Instructions Individual driver s Hours of Service records are available when requested and records are sorted by either driver or time period and produced when requested. Individual driver s records cannot be produced when requested or records are not sorted by either month or driver. Should not be answered N/A. It appears that the carrier is maintaining the prior 6 months of duty status records and carrier can produce a substantial number of these records. User should attempt to verify this by viewing at least several months of files for several drivers. Carrier cannot produce a substantial amount of the prior 6 months of duty status records for each driver. Should not be answered N/A. ARC Audit Questions and Completion Instructions -14-

15 Is the carrier ensuring that drivers have adequate on-duty hours available prior to and during trips? Regulation: Provincial AR317/2002 Section 6(1); Federal SOR Section 12 Does the carrier conduct internal monitoring of duty status records for completeness, accuracy and hours compliance (federal carriers only)? Regulation: Federal SOR/ Section 87(1) Does the carrier that determines that there has been non-compliance take immediate remedial action and record the dates non-compliance occured, dates of issuance of a notice of noncompliance and the actions taken (federal carriers only)? Regulation: Federal - SOR Section 87(2) Does the carrier have a policy that requires drivers to complete daily records and/or logs? Regulation: None Carrier documents daily and cumulative total on-duty hours for drivers and has a system and/or policy indicating that drivers are to inform the carrier of hours available. Carrier is unaware of the drivers hours of service prior to and during trips and no documented evidence of a process. If hours violations were not documented and disciplinary action taken. Carrier is an Owner/Operator and has no full time or part time employees that are dispatched. Must produce the results of the internal audits conducted (by themselves or contracted) and documentation of violations with a record of any disciplinary action taken and for any training received. Carrier reviews duty status records on a daily or monthly basis. Carrier may conduct at least a sample audit (i.e. a selection of drivers every month). Audits must include the use of supporting documentation (e.g. fuel receipts, toll receipts, CVSA inspection reports, carrier profile, etc.). No internal audits are produced or if audit does not include using supporting documentation (e.g. fuel receipts, bills of lading) to ensure accuracy, or no action taken on identified violations. Carrier is an Owner/Operator with no other drivers employed. Carrier can produce documentation with a record of dates when non-compliance occurred, dates when notice of non-compliance and written disciplinary action were taken. Carrier is unable to produce any records or documentation to show that carrier did any review of log book records and detected any non-compliance. Conducting a review but not taking any action should also be answered No. Carrier is an Owner/Operator with no other drivers employed. Carrier has a written policy requiring daily records and/or logs to be completed. Carrier does not have a written policy in place. Do not require, only RECOMMEND the carrier address the question in the comments. Should never be answered N/A. ARC Audit Questions and Completion Instructions -15-

16 Inspection, Repair, and Maintenance Questions Does the carrier ensure each commercial vehicle operated has a valid CVIP Inspection? Regulation: Commercial Vehicles AR211/2006 Section 19(1)(a) and (d) Vehicles operating under an Operating Authority Certificate AR211/2006 Section 20(1)(a) and (d) Does the carrier ensure each commercial vehicle is operated with a valid CVIP Inspection certificate located within each commercial vehicle? Regulation: Commercial Vehicles AR211/2006 Section 19(1)(b) and 19(2) Vehicles operating under an Operating Authority Certificate AR211/2006 Section 20(1)(b) Does the carrier ensure each commercial vehicle is operated with a valid CVIP Inspection decal affixed to each commercial vehicle? Regulation: Commercial Vehicles AR211/2006 Section 19(1)(c) Vehicles operating under an Operating Authority Certificate AR211/2006 Section 20(1)(c) Instructions No evidence that the carrier s commercial vehicle(s) have operated without a valid CVIP Inspection. Check carrier profile for violations and carrier records to verify if in compliance. Evidence that the carrier s commercial vehicle(s) have operated without a valid CVIP Inspection. Check carrier profile for violations and carrier records to verify if in compliance. Should never be answered N/A. No evidence that the carrier s commercial vehicle(s) have operated without a valid CVIP Inspection certificate issued by a certified station. Check carrier profile for violations and carrier records to verify if in compliance. Note: In the case of a vehicle that is a converter dolly, the original certificate can be located in at the carrier s principle place of business of the owner of the dolly, or within the vehicle that is towing the converter dolly. Evidence that the carrier s commercial vehicle(s) have operated without a valid CVIP Inspection certificate issued by a certified station. Check carrier profile for violations and carrier records to verify if in compliance. Should never be answered N/A. No evidence that the carrier s commercial vehicle(s) have operated without a valid CVIP Inspection decal issued by a certified station. Check carrier profile for violations and carrier records to verify if in compliance. Evidence that the carrier s commercial vehicle(s) have operated without a valid CVIP Inspection decal issued by a certified station. Check carrier profile for violations and carrier records to verify if in compliance. Should never be answered N/A. ARC Audit Questions and Completion Instructions -16-

17 Does the written Maintenance and Inspection Program provide and identify adequate directions on retaining vehicle inspection, maintenance, and repair records? Regulation: AR121/2009 Section 37 and 38 Does the carrier ensure that no one shall operate a commercial vehicle on a highway unless the vehicle is being maintained accordingly to the applicable standard(s) in the applicable Schedule(s)? Regulation: AR121/2009 Section 5(2) (6) Does the carrier have a recall system for CVIP inspections? Regulation: None Evidence of a written direction is identified explaining the Vehicle Files contain at least: 1. identification of the vehicle as per Section 37(2)(a); 2. record of CVIP inspections; 3. repairs completed; 4. lubrication and maintenance of vehicles including nature of work performed, the date the inspection took place, and odometer or hubometer reading at the time of the inspection; 5. notice of defects received from the manufacturer; 6. trip inspection reports. Carrier has no documentation on retention of all types of maintenance and inspection records. Should never be answered N/A. There is no evidence that no one operated a vehicle with violations identified from the schedule(s). Check carrier profile for violations and carrier records to verify if in compliance. or physically check 2 or 3 vehicles to ensure a copy of applicable Schedule is located in commercial vehicle. There is evidence that the carrier s commercial vehicle(s) have operated with violations identified from the schedule(s). Check carrier profile for violations. Should never be answered N/A. Carrier has a system in place to ensure that vehicles are inspected prior to the expiry date (can be computer spreadsheet, on a whiteboard, sticker on vehicle dash, etc.). If a whiteboard or sticker system is used, carrier should have written records as backup. Carrier does not have any system in place to ensure CVIP Inspections are conducted when required. Should never be answered N/A. ARC Audit Questions and Completion Instructions -17-

18 Maintenance Program All Vehicles Note: All Vehicles: means Trucks/Truck-Tractors/Trailers which means a commercial vehicle as defined in the Common Terms and Definitions; Motor Coaches which means a commercial vehicle used as a Motor Coach as defined in the Common Terms and Definitions; School Bus which means a Commercial School Bus Type A, B, C, D as defined in the Common Terms and Definitions; Other Bus means a commercial vehicle used as a Bus that is not a School Bus or Motor Coach as defined in the Common Terms and Definitions. EXEMPTION NOTE: By Registrar Exemption effective December 17, 2009, a carrier who is the registered owner of a commercial vehicle where the gross weight is less than 11,794 kilograms or a combination of vehicles where the sum of the registered weights is less than 11,794 kilograms is not required to: Carry and produce the applicable schedule of the NSC Standard 13, Part 2 as specified by AR121/2009 subsections 10(9) and (11); or Prepare, carry or produce a Trip Inspection Report as specified by AR121/2009 subsections 12(2), (5) and (6). This exemption also applies to Transit buses while being used to provide transit services. The carrier must ensure their inspection program requires trip inspections to be conducted and also to document and file all scheduled maintenance, lubrication and repair records. The User should sample some vehicle files within this weight range to confirm that the carrier is conducting adequate maintenance and inspection of their commercial vehicles. Questions Instructions Identify Section/Page Number Does the written Maintenance and Inspection Program pertain to all types of NSC commercial vehicles in the fleet? Regulation: AR121/2009 Section 6(1) All NSC vehicles registered to the carrier are part of the carrier s Maintenance and Inspection Program. This can be verified through the vehicle files reviewed. NOTE: All carriers, whether they have a federal or a provincial operating status, must ensure their maintenance and inspection program addresses vehicles registered for 4,501 kilograms or more. However, for audit purposes regarding this question, the content or implementation of the maintenance and inspection program should not be evaluated for provincial carriers regarding any vehicles registered under 11,794 kilograms. Also see Exemption Note above regarding trip inspection requirements. Written means - a program on paper or electronic that can be printed (not just a file system). Chalkboard or equivalent is not acceptable. Lease operators who are following their own program and the carrier (registered owner) have a system in place to confirm each lease operator s program is being implemented. The carrier must be able to produce a copy of the lessee s written maintenance program. Vehicle files do not reflect compliance with carrier s maintenance program or if any lease operators are not providing carrier with a copy of their maintenance program. Not written on paper or electronic form that can be printed. Chalkboard or equivalent is not acceptable. ARC Audit Questions and Completion Instructions -18-

19 Does the carrier with a Provincial operating status include their commercial vehicles registered between 4,501 and 11,793 kilograms (inclusive) in their Maintenance and Inspection program? Regulation: AR121/2009 Section 6(1) Does the carrier maintain a copy of the written Maintenance and Inspection Program at their principal place of business? Regulation: AR121/2009 Section 6(5) Does the carrier have a copy of its written Maintenance and Inspection Program in each carrier location where the maintenance and inspection of the carrier's commercial vehicles are carried out, if other than the principal place of business? Regulation: AR121/2009 Section 6(4) Carrier does not operate any trucks/tractors/trailers; motor coaches; school buses; other buses. The carrier with a provincial operating status has a maintenance and inspection program that contains policies and procedures addressing vehicles registered between 4,501 and 11,793 kilograms and these policies are being implemented. Also see Exemption Note above regarding trip inspection requirements. Written means - a program on paper or electronic that can be printed (not just a file system). Chalkboard or equivalent is not acceptable. Lease operators who are following their own program and the carrier (registered owner) has a system in place to confirm each lease operator s program is being implemented. The carrier must be able to produce a copy of the lessee s written maintenance program. Vehicle files do not reflect compliance with carrier s maintenance program or if any lease operators are not providing carrier with a copy of their maintenance program. Not written on paper or electronic form that can be printed. Chalkboard or equivalent is not acceptable. Carrier has a federal operating status or does not operate any trucks/tractors/trailers; or other buses. Carrier can produce a copy of their written Maintenance and Inspection Program at their principal place of business. Carrier is unable to produce a copy of their written Maintenance and Inspection Program at their principle place of business. Carrier does not operate any trucks/tractors/trailers; motor coaches; school buses; other buses. Carrier can produce a copy of their written Maintenance and Inspection Program at any carrier location where the carrier s vehicles are being maintained and inspected (if other than their principal place of business). Electronic copies and web access copies are acceptable if the User can confirm if the information is accessible by employees. ARC Audit Questions and Completion Instructions -19-

20 Do employees have access to the carrier's written Maintenance and Inspection Program, as required? AR121/2009 Sections 6(4) Does the written Maintenance and Inspection Program call for a regular and continuous program of inspection? Regulation: AR121/2009 Section 6(3) Carrier is unable to produce a copy of their written Maintenance and Inspection Program where the carrier s vehicles are being maintained and inspected (if other than principal place of business). Carrier does not operate any trucks/tractors/trailers; motor coaches; school buses; other buses or if the carrier does not operate any maintenance facility where their vehicles are being maintained. Carrier can produce a copy of their written Maintenance and Inspection Program at their principal place of business and every location where maintenance and inspections are carried out under the carrier s program so it is easily accessible for all employees. You can confirm that written Maintenance and Inspection Program is not easily accessible for all employees who carry out the maintenance and inspection program at any of the locations where maintenance and inspections are carried out. Carrier does not operate any trucks/tractors/trailers; motor coaches; school buses; buses. Program indicates inspections are to be conducted within specific intervals (e.g. hours of operation, distance and/or time traveled). Written means - a program on paper or electronic that can be printed (not just a file system). Chalkboard or equivalent is not acceptable. Does the written Maintenance and Inspection Program cover the requirement to conduct Commercial Vehicle Inspection Program (CVIP) inspections (annually or semi-annually)? Regulation: AR121/2009 Section 6(3) (c) Program does not indicate any specific intervals for inspection. Not written on paper or electronic form that can be printed. Chalkboard or equivalent is not acceptable. Carrier does not operate any trucks/tractors/trailers; motor coaches; school buses; buses. Program indicates inspections to be conducted annually for (trucks/tractors/trailers) and/or semi-annually for (motor coaches, school buses and buses). Written means a program on paper or electronic form that can be printed (not just a file system). Chalkboard or equivalent is not acceptable. ARC Audit Questions and Completion Instructions -20-

21 Does the written Maintenance and Inspection Program ensure that each commercial vehicle contain a copy of the applicable Trip Inspection Schedule of NSC Standard 13, Part 2 including any modifications made to the Schedule? Regulation: AR121/2009 Section 10(9) Does the written Maintenance and Inspection Program require that drivers or persons authorized to conduct Trip Inspections inspect all required items identified in the applicable Schedule of NSC Standard 13, Part 2? Regulation: AR121/2009 Section 10(2)(a) and (b); (4)(b); 10(5); 11(1), (2), (3) Does the written Maintenance and Inspection Program require that drivers or persons authorized complete written Trip Inspection Reports, as required? Program does not indicate any specific intervals for this mandatory inspection. Carrier does not operate any trucks/tractors/trailers; motor coaches; school buses; buses. Carrier s written Maintenance and Inspection Program specifies that all commercial vehicles must contain a copy of the applicable NSC Schedule, Standard 13, Part 2. No evidence that the carrier s commercial vehicle(s) have operated without a copy of applicable NSC Schedule, Standard 13, Part 2. Check carrier profile for violations and carrier records to verify if in compliance, or physically check 2 or 3 vehicles to ensure a copy of applicable Schedule is located in commercial vehicle. Carrier has no written program where it specifies that all commercial vehicle must contain a copy of the applicable NSC Schedule, Standard 13, Part 2. Evidence that the carrier s commercial vehicle(s) have operated without a copy of applicable NSC Schedule, Standard 13, Part 2. Check carrier profile for violations and a few of carrier s vehicles to verify if in compliance. Carrier is legally exempt from carrying or producing the applicable schedule of the NSC Standard 13, Part 2. Carrier includes completion of trip inspections in their maintenance program covering at least the components outlined in: NSC Standard 13: Schedule 1, Part 2, for Trucks/Truck-Tractors/Trailers; NSC Standard 13: Schedule 2, Part 2, for Buses; NSC Standard 13: Schedule 3 & 4, Part 2, for Motor Coaches. Carrier does not include trip inspections as part of their maintenance program. Carrier does not operate any trucks/tractors/trailers; motor coaches; school buses; buses. Carrier is legally exempt from carrying or producing the applicable schedule of the NSC Standard 13, Part 2. Carrier s written Maintenance and Inspection Program specifies that all drivers or authorized persons are required to complete carrier s written Trip Inspection Report forms. ARC Audit Questions and Completion Instructions -21-