Commercial Vehicle Operators’ Safety Manual


Conducting a Self-Audit: a Step-by-Step Process


Vehicle Maintenance Profile

This profile examines the operator’s daily inspection and driver protocols, record-keeping and the retention of maintenance files. It is broken down into four distinct elements:

  • Detection, reporting and repair (40 points)
  • Preventative-maintenance intervals (30 points)
  • Records (20 points)
  • Periodic mandatory commercial vehicle inspections (10 points)

Step 1 – Calculating Detection, Reporting and Repair

Examine the "event" date indicated on the commercial vehicle inspection report. If an inspection is not available, use any event that places the vehicle on the highway during the past six months.

  1. If the vehicle daily inspection reports (including schedules) are improper or missing, 10 points are deducted.
  2. If inspection reports indicating vehicle defects, copies of roadside inspection reports and report notices are not appropriately submitted by the driver, 10 points are deducted.
  3. If the reported vehicle defects are not repaired before the next vehicle dispatch, 10 points are deducted.
  4. If the maintenance records do not contain the appropriate information required after the reporting of the defect, 10 points are deducted.

** The total number of points (maximum of 40) will be referred to as "A."

Step 2 – Calculating Preventative Maintenance (PM) Intervals

To calculate the PM score, record the most current date of preventative maintenance and work back a total of two years. The vehicle will be scored when:

Operators Maintenance Interval
Points Removed
PM < 90 days
When PM interval exceeds 90 days
PM > 90 days
When PM interval is exceeded
Based on mileage
When interval and 90 days are exceeded

If a vehicle is operated on a highway in contravention of any PM interval, the full 30 points will be deducted.

** The total number of points (maximum of 30) will be referred to as "B."

Step 3 – Annual and Semi-Annual Inspections

Record the most current annual or, if applicable, the semi-annual inspection certificate, to a maximum of three.

If a vehicle is operated on a highway within 24 months of the audit and in contravention to the annual and semi-annual inspection interval, 10 points will be deducted.

** The total number of points (maximum of 10) will be referred to as "C."

Step 4 – Calculating the Score for Records

This element of the vehicle profile is composed of four units, with a value of five points each:

  1. The operator’s PM program is in writing.
  2. The records and reports for the vehicle are maintained at the appropriate location (principal place of business or terminal).
  3. The records and reports have been maintained for two years, or for six months after the vehicle ceases to operate.
  4. The records and reports for the vehicle contain all the applicable information, such as dates, odometer readings of inspection and repair and so on, as required by Highway Traffic Act Regulation 199/07 Section 7 and 16.

Note:

  • When scoring this unit; do not use the daily inspection that was used in Step 1 in detection, reporting and repair.
  • Any leased vehicles or vehicles in the operator’s possession will receive a full score in Step 4 if the information in detection, reporting and repair is compliant.

**The total number of points (maximum of 20 points) will be referred to as "D."

To calculate each vehicle score, add the scores from each of the above steps:

  • A + B + C + D equals a total of 100 potential points.
  • To calculate the eligible points for all vehicles in this profile, add all eligible points from the above steps.
  • The overall compliance achieved is expressed as a percentage of the total points and eligible points.
  • The compliance rate is expressed as points based on the percentage of compliance achieved.

Sample Calculation of the Vehicle Profile

Plate Number Detection, Reporting and Reporting (40%) Preventative Maintenance (30%) Annual and Semi-Annual Inspections(10%) Records Score
111111 10.0% 0.0% 10.0% 5.0% 25.0%
111112 10.0% 0.0% 0.0% 20.0% 30.0%
111113 30.0% 30.0% 10.0% 15.0% 85.0%
111114 0.0% 30.0% 10.0% 15.0% 55.0%
112222 30.0% 30.0% 10.0% 20.0% 90.0%
122223 40.0% 0.0% 10.0% 20.0% 70.0%
TOTAL POINTS 120.0 90.0 50.0 95.0 355.0
Eligible Points 240.0 180.0 60.0 120.0 600.0
Compliance Achieved 50.0% 50.0% 83.3% 79.1% 59.1%
Compliance Rates 20.0 15.0 8.3 15.83 50.17

Qualification, Records and Reporting (Q,R&R) Profile

This profile consists of several elements that are tailored to fit the specific operational scope of the operator. Driver qualifications, conviction reporting and record retention are examined and, if applicable, the reporting and resolution of collisions. Retention periods vary for each element, and are explained below. Operators may be exempt from certain record-keeping requirements, such as being a driver/owner. Points are blended to represent only those elements applicable to the operator.

The profile elements and their represented weighting are as follows:

  • Qualified Drivers (60 percent)
  • Driver Abstracts (15 percent)
  • Conviction Records (15 percent)
  • Operator Collisions (10 percent)

The driver/owners would not be expected to acquire and retain abstracts and records on themselves. In those cases, the 60-percent rating for qualified drivers is then expressed as 100 percent. Operators with no collisions on their records will automatically receive the 10 percent for operator collisions. Drivers selected for this profile will be used in the hours-of- service profile.

See Appendix A, "Sample Calculation of the QR&R and Hours-of-Service Profiles,” for details.


Hours-of-Service Profile

Definition

A quantified margin of error (QMOE) is the difference, in hours, between what a driver reports on his daily log and the time indicated on a supporting source document. All times are recorded to the quarter-hour (15 minutes).

The margin of error can be calculated in the following manner:

  1. The time in excess of the driving limitations (13-,14- and 16-hour rule)
  2. The time in excess of the cycle limitations (70- and 120-hour rule)
  3. Driver scored "missing 24 hours” for a missing daily log or time record
  4. For a false daily log, time difference doubled when it exceeds two hours

Calculating the Driver Profile

To calculate a driver score, the following steps must be followed:

  1. Record all the on-duty time reported by the driver for a one-month period (call it X).
  2. Examine each day of the month by comparing receipts for bridge tolls, fuel, accommodation and meals, telephone and GPS documents to the entries indicated on the driver’s daily log.
  3. When more than one margin of error is detected in a day, only record the highest.
  4. Total all margins of error for the month (call it Y).

When Y exceeds 10 percent of the X total, the driver has lost all of the 90 points available. The driver can lose 10 data points if the hours-of-service documents fail to record name, duty statuses, odometer readings, location, vehicle plate number, cycle, address, previous hours, date and time/total.

For a sample calculation, refer to Appendix A, "Sample Calculation of the QR & R and Hours-of-Service Profiles.”

For further information on vehicle maintenance and hours-of-service requirements, refer to the Highway Traffic Act.


Facility Audit Sample Size Guideline

Number
(Driver/Vehicles)
Sample Size
(Driver/Vehicles)
1 1
2 to 5 ALL
6 to 9 6
10 to 12 8
13 to 15 9
16 to 18 10
19 to 22 11
23 to 26 12
27 to 32 13
33 to 40 14
41 to 50 15
51 to 64 16
65 to 85 17
86 to 121 18
122 to 192 19
193 to 413 20
144 to 500 21
+ 501 25

For further information on vehicle maintenance and hours-of-service requirements, refer to the Highway Traffic Act.


Vehicle Maintenance

O. Regulation 199/07 (Commercial Motor Vehicle Inspections) http://www.e-laws.gov.on.ca/html/regs/english/elaws_regs_070199_e.htm


Hours-of- Service Requirements

O. Regulation 555/06 (Hours of Service)
http://www.e-laws.gov.on.ca/html/regs/english/elaws_regs_060555_e.htm

For more information please contact:

Facility Audit Administrator

Carrier Safety and Enforcement Branch
Carrier Enforcement Program Office
Ministry of Transportation
301 St. Paul Street, 3rd Floor
St. Catharines, ON L2R 7R4
Tel: (905) 704-2506

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